UNITARY LARGE EQUIPMENT CERTIFICATION PROGRAM

Transcription

1 UNITARY LARGE EQUIPMENT CERTIFICATION PROGRAM ULE OM JANUARY Wilson Blvd, Suite 500 Arlington, Virginia (703) Sponsored and administered by:

2 PREFACE The following manual outlines the procedures and policies of the Performance Certification Program for Unitary Large Equipment (ULE) 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, The ULE Certification Program by AHRI provides for independent verification of the Unitary Large Equipment 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 ULE Certification Mark hereinafter referred to as the Mark. The Mark is the Participant s public representation that the ratings of randomly selected samples 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 Mark 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 the Operations Manual. Provisions of the Operations Manual may be amended as provided in the Certification Agreement. Note: This manual supersedes the Unitary Large Equipment Operations Manual, January Printed in U.S.A. Copyright 2013, by Air-Conditioning, Heating, and Refrigeration Institute Registered United States Patent and Trademark Office

3 CERTIFICATION PROGRAMS OPERATIONS MANUAL FOR UNITARY LARGE EQUIPMENT TABLE OF CONTENTS SECTION 1 Program Overview PAGE 1.1 Applicable Rating Standard Product Definitions Unitary Air-Conditioner Air-Source Unitary Heat Pump Condensing Unit Indoor Unit Outdoor Unit Single Packaged System Split System Program Scope Intended Market Basic Model Groups (BMGs) Qualification Process 2.1 Original Equipment Manufacturer Applicants... 2 STEP Certification Application Package... 2 STEP Processing Application Package STEP Performance Certification Agreement for Original Equipment Manufacturer... 2 STEP Participation and Licensing Fee Invoice... 2 STEP Selection and Acquisition of Test Samples... 2 STEP Number of Qualification Tests... 2 STEP Acquisition of Qualification Test Samples/ Selection Criteria... 2 STEP Qualification Testing... 3 STEP Operating Tests... 3 STEP Successful Completion of All Qualification Tests... 3 STEP First Sample Qualification Test Failure... 3 STEP Second Sample Qualification Test Failure... 3 STEP Welcome to the Program Private Brand Marketer Applicants... 3 STEP Certification Application Package... 3 STEP Processing Application Package... 4 STEP Performance Certification Agreement for Private Brand Marketer (PBM Agreement)... 4 STEP OEM Agreement on Behalf of the PBM Applicant... 4 STEP Licensing Fee Invoice... 4 STEP Welcome to the Program... 4

4 3 Equipment Selection and Testing 3.1 Annual Testing Requirement Location of Tests Selection of Test Samples Quarterly Loading Method of Acquiring Test Samples For 65,000 Btu/h to less than 250,000 Btu/h Alternate Model Selection Two Sample Supply Option For 250,000 Btu/h to less than 760,000 Btu/h Sample Delivery Deadlines Required Equipment Provisions Break-in Operation and Start-up of Test Units Contact List for Testing Support Certified Data Air-Cooled and Water-Cooled Unitary Air-Conditioners from 65,000 Btu/h [19,000 W] to below 250,000 Btu/h [73,200 W] Air-Cooled Unitary Heat Pumps from 65,000 Btu/h [19,000 W] to less than 250,000 Btu/h [73,200 W] Air-Cooled Air-Conditioning Condensing Units from 135,000 Btu/h [39,500 W] to less than 250,000 Btu/h [73,200 W] Air Cooled Single Packaged Unitary Air-Conditioners from 250,000 Btu/h [73,200 W] to less than 760,000 Btu/h [220,000 W] Voltage Indoor Coil Airflow Rate Additional Tests during First Year of Program Participation Test Failures Options Following 1 st Sample Failure Options Following 2 nd Sample Failure Energy Policy Act (EPACT) Re-Rating Requirements Consequences for Improper Ratings Double Selection Mode Requirements Probation Mode Requirements Penalty Mode Requirements Challenge Tests AHRI Directory of Certified Product Performance 5.1 Publication of Ratings in Certified Directory Data Forms Assessment and Payment of Certification Fees 6.1 Equipment Delivery/Disposal Fees Issuance of Violations and/or Termination Program Hierarchy, Complaints, and the Appeals Process Proper Use of the AHRI Certification Mark and Claims to Certification... 9

5 Appendices and Forms Appendix A Data Submittal Sheet for Unitary Large Equipment Appendix B Types of Unitary Large Equipment Appendix C Sample Manufacturer s Decision Forms Appendix D ULE Testing Support Contact List Tables Table 1 Minimum External Pressure... 7 Table 2 Commercial and Industrial Air-Conditioning Equipment Certification Table 3 Commercial and Industrial Air-Conditioning Heat Pump Equipment Certification... 12

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7 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 340/360, Performance Rating of Commercial and Industrial Unitary Air-Conditioning and Heat Pump Equipment, and AHRI Standard 365, Commercial and Industrial Unitary Air-Conditioning Condensing Units (Standard). A copy of the Standard is available for download from the AHRI website, Product Definitions Unitary Air-Conditioner. One (1) or more factory-made assemblies ordinarily including an evaporator or air cooling coil(s), an air moving device, compressor(s) and refrigerant condenser(s) (air-cooled, evaporatively-cooled, and/or water-cooled) combination and may include a heating function Air-Source Unitary Heat Pump. One or more factory-made assemblies ordinarily including an indoor air-conditioning coil(s), an air moving device, compressor(s) and outdoor air coil(s), including means to provide heating and may include a cooling function Condensing Unit. A factory-made assembly of refrigeration components designed to compress and liquefy a specific refrigerant. It consists of one (1) or more refrigerant compressors, refrigerant condensers (air-cooled, evaporatively cooled, and/or water-cooled), condenser fans and motors (where used) and factory-supplied accessories Indoor Unit. A component of a split-system central air conditioner or heat pump that is designed to transfer heat between refrigerant and air, or refrigerant and water, and which consists of an indoor coil, an air movement device, and a temperature sensing control with the integrated controls for the matching Outdoor Unit Outdoor Unit. A component of a split-system central air conditioner or heat pump that is designed to transfer heat between refrigerant and air, or refrigerant and water, and which consists of an outdoor coil, compressor(s), an air moving device, and in addition for heat pumps, a heating mode expansion device, reversing valve, and defrost controls 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 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. 1.3 Program Scope. This program applies to 60 Hz Production Models of Unitary Large Equipment, as defined in Section 1.2. The program entails the following: Unitary Air-Conditioners and Heat Pumps from 65,000 Btu/h to less than 250,000 Btu/h; o Single Packaged and Split Systems o Air-cooled and water-cooled Air-cooled Air-Conditioning Condensing Units from 135,000 Btu/h to less than 250,000 Btu/h; Air-Cooled Single Packaged Unitary Air-Conditioners from 250,000 Btu/h to less than 760,000 Btu/h. 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. 1.5 Basic Model Groups (BMGs). A Participant s listings shall be grouped by BMG. A BMG shall consist of the same condenser(s) and compressor(s) with several indoor blower and coil combinations. 1

8 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 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 ULE-DS1 and supplemental spreadsheet; One test report for each BMG; An Applicant requesting AHRI to submit data to CEC, DOE, FTC, and NRCan shall submit third-party authorization, compliance forms and other necessary information; and Additional information may be needed to meet EPA ENERGY STAR program requirements. STEP Processing Application Package. STEP 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 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 Selection and Acquisition of Test Samples. STEP Number of Qualification Tests. For 65,000 Btu/h to less than 250,000 Btu/h. 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. For 250,000 Btu/h to less than 760,000 Btu/h. 20% 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 Acquisition of Qualification Test Samples/Selection Criteria. For 65,000 Btu/h to less than 250,000 Btu/h. Within 60 calendar days of a request from AHRI, the Applicant shall have samples available for selection. For 250,000 Btu/h to less than 760,000 Btu/h. Within 90 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. All samples shall be provided with the equipment listed in Section 3.6 of this manual. 2

9 STEP 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 Operating Tests. In addition to the Performance Rating tests, the following Operating Tests shall be conducted for all qualification tests: Maximum Operating Conditions (MOC) Insulation Efficiency Low Temperature Operation Condensate Disposal If any of these samples 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 AHRI Directory of Certified Product Performance (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 model shall be selected and tested to continue the qualification process. STEP Successful Completion of All Qualification Tests. If all qualification tests pass proceed to STEP STEP First Sample Qualification Test Failure. Except as noted below, refer to Section 4, STEP of the AHRI General Operations Manual for details regarding the first sample qualification failure options. An Applicant is required to pass at least 90% of the first sample qualification tests. Should the pass rate be less than 90%: The Applicant shall test additional BMGs until the pass rate of the first sample qualification tests is at least 90%, or until all BMGs are tested; or The Applicant may choose to re-rate all untested BMGs proportionate to the largest deviation of failed test results. STEP Second Sample Qualification Test Failure. Refer to Section 4, STEP of the AHRI General Operations Manual for details regarding the second sample qualification failure options. STEP 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. STEP 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, 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. 3

10 STEP Processing Application Package. STEP Performance Certification Agreement for Private Brand Marketer (PBM Agreement). No further action required beyond that listed in Section 5, STEP of the AHRI General Operations Manual. STEP OEM Agreement on Behalf of the PBM Applicant. No further action required beyond that listed in Section 5, STEP of the AHRI General Operations Manual. STEP Licensing Fee Invoice. Payment of the Licensing Fee is due within 30 calendar days of the invoice issue date. STEP Welcome to the Program. No further action required beyond that listed in Section 5, STEP 5.3 of the AHRI General Operations Manual. 3.1 Annual Testing Requirement. 3. Equipment Selection And Testing For 65,000 Btu/h to less than 250,000 Btu/h. 20% of a Participant s BMGs shall be tested annually, with a minimum of one (1) model. Fractional numbers shall be rounded to the nearest whole number using traditional rounding methods. For 250,000 Btu/h to less than 760,000 Btu/h. 20% of a Participant s BMGs shall be tested annually, with a minimum of one (1) model. 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 and the sample shall be installed in the test facility in accordance with the Participant s published installation instructions in printed or electronic format. 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. Participants shall be notified of their annual selections in November of the previous testing year Quarterly Loading. Participants shall deliver their samples to the Laboratory on a quarterly basis, spread out over the first three (3) quarters of a calendar year. For example, a Participant with six (6) annual tests shall deliver two (2) samples during the first quarter, two (2) samples during the second quarter, and two (2) samples during the third quarter (refer to Section 3.5 for Sample Acquisition Timeframe). The Participant may choose at its discretion which sample(s) to deliver for each quarter. AHRI shall notify the Participant, in writing, of the number of samples that must be delivered per quarter to the Laboratory. 3.4 Method of Acquiring Test Samples For 65,000 Btu/h to less than 250,000 Btu/h. AHRI or the Laboratory personnel shall make a Random Sample Selection or a Random Component Selection from the Participant s stock inventory. 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 Operation Manual Alternate Model Selection. When selections are not available from the Participant within specified timeframe, selections may be made from distributors stock. The Participant will be notified and is expected to supply the distributor with a replacement unit. 4

11 AHRI may anonymously order a built-to-order unit, not stocked by the Participant, from a distributor. The Participant shall then reimburse AHRI or the Laboratory for the purchase Two Sample Supply Option. The Participant has the option to have two (2) units initially selected as to assure, if needed, the availability of a second sample. After the units are selected and sealed, the Participant may ship both units to the Laboratory or hold the second sample until requested For 250,000 Btu/h to less than 760,000 Btu/h. AHRI or the Laboratory personnel shall make a Random Component Selection or witness assembly of AHRI selected units, at least 14 calendar days prior to the sample delivery deadline specified by AHRI. For the latter, the Laboratory personnel are to be present at the final assembly and quality functional test and the unit is to be sealed and shipped to the test lab. 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 Operation Manual. 3.5 Sample Delivery Deadlines. The Participant shall deliver its first set of selected sample(s) to the Laboratory within 60 calendar days of notification of selections from AHRI for units from 65,000 Btu/h to less than 250,000 Btu/h, and within 90 calendar days for units from 250,000 Btu/h to less than 760,000 Btu/h. The Participant shall deliver its second set of selected sample(s) to the Laboratory by no later than May 1st of the testing year. The Participant shall deliver its third set of selected sample(s) to the Laboratory by no later than August 1st of the testing year. Failure to deliver the sample within the specified timeframe shall result in a program violation. 3.6 Required Equipment Provisions. The Participant shall provide a complete system to the Laboratory, as required, consisting of the following: Outdoor unit; Indoor unit; Expansion device; Air-moving equipment and motor and drives suitable for the rated indoor coil cfm and static; Other listed system enhancement devices; and Published installation instructions in printed or electronic format. 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. 3.7 Break-in Operation and Start-Up of Test Units. The Participant may instruct the Laboratory to operate the equipment for a specified number of break-in hours prior to testing, not to exceed: 75 hours at ambient conditions ( 60 ⁰F); and 16 hours inside the test chamber at conditions specified by the Participant. The Participant is required to pay all break-in costs directly to the Laboratory. 3.8 Contact List for Testing Support. Within two (2) calendar weeks of the original selection by AHRI, the Participant shall provide a contact list for testing support to AHRI and the Laboratory. The Participant is responsible for notifying AHRI and the Laboratory of any changes to the contact list that occur during a testing year. Refer to Appendix E for the contact list template. 5

12 3.9 Certified Data. In accordance with the Standard, the following certified ratings are verified by test: Air-Cooled and Water-Cooled Unitary Air-Conditioners from 65,000 Btu/h [19,000 W] to below 250,000 Btu/h [73,200 W]: Standard Rating Cooling Capacity, Btu/h; Energy Efficiency Ratio (EER), Btu/W h; and Integrated Energy Efficiency Ratio (IEER) Air-Cooled Unitary Heat Pumps from 65,000 Btu/h [19,000 W] to less than 250,000 Btu/h [73,200 W]: Standard Rating Cooling Capacity, Btu/h; Energy Efficiency Ratio (EER), Btu/W h; High Temperature Heating Standard Rating Capacity, Btu/h; High Temperature Coefficient of Performance (COP 47 F); Low Temperature Heating Standard Rating Capacity, Btu/h; Low Temperature Coefficient of Performance (COP 17 F); and Integrated Energy Efficiency Ratio (IEER) Air-Cooled Air-Conditioning Condensing Units from 135,000 Btu/h [39,500 W] to less than 250,000 Btu/h [73,200 W]: Standard Rating Cooling Capacity, Btu/h; Energy Efficiency Ratio (EER), Btu/W h; and Integrated Energy Efficiency Ratio (IEER) Air Cooled Single Packaged Unitary Air-Conditioners from 250,000 Btu/h [73,200 W] to less than 760,000 Btu/h [220,000 W]: Standard Rating Cooling Capacity, Btu/h; Energy Efficiency Ratio (EER), Btu/W h; and Integrated Energy Efficiency Ratio (IEER) Voltage. Standard Rating tests shall be conducted using the nameplate rated voltage and frequency specified in the Standard. For equipment with dual nameplate ratings, tests shall be performed at both voltages or at the lower of the two if only a single Standard Rating is published Indoor Coil Airflow Rate. For Full Load Capacity and EER, testing shall be conducted at the rated cfm and the required external static pressure as per Table 1 with a static pressure tolerance of -0.0 in H 2 O to in H 2 O. If the rated cfm is not obtained at the required external static pressure and it is below 95% or greater than 105% of the rated cfm, the Participant shall change the cfm rating by adjusting the speed of the fan motor or supply alternate dives. For IEER testing for units with fixed speed indoor fans, the airflow rate shall be held constant at the full load airflow rate. For VAV units, the airflow rate at part load shall be adjusted to maintain the full load measured leaving air dry-bulb temperature, and the external static shall be reduced per the following equation. Part Load CFM External Static = Full Load External Static Full Load CFM The tolerance for the leaving air dry-bulb temperature on VAV units is ±0.3 F. For units using discrete step fan control, the fan speed shall be adjusted as specified by the controls and the external static shall be reduced per the above equation. 2 6

13 *Standard Capacity Ratings Table 1. Minimum External Pressure Minimum External Resistance (Btu/h) x 1000 W x 1000 in. H 2 O kpa 65 thru thru thru thru thru thru thru thru and over 19 thru thru thru thru thru thru thru thru and over * Cooling Capacity for units with cooling function; High Temperature Heating Capacity for heating-only units 3.12 Additional Tests during First Year of Program Participation. For a Participant in its first year of the program, the following additional tests shall be conducted for each selected sample at the expense of the Participant: Maximum Operating Conditions (MOC) Insulation Efficiency Low Temperature Operation Condensate Disposal If a sample fails any of these tests, the second sample selected shall pass in order to keep the BMG unaffected. If the second sample does not pass these tests, then the Participant shall stop all sales and marketing of that model and BMG and that BMG shall not be entered into the Directory Test Failures Options Following 1 st Sample Failure. When the Participant is notified of a first sample certified rating failure, the Participant has seven (7) calendar days to select one of the following options: Claim the sample Defective, as described in the AHRI General Operations Manual, Section 9; Re-rate only the failed metric for all models within the failed sample s BMG proportionate to the failed test s results; Test second sample of the same model (sample must be available within the timeframe and procedure allotted in Section 3.4 following notification of decision to AHRI via Manufacturer s Decision Form [MDF]); or Obsolete the model, which also obsoletes all models within the corresponding BMG Options Following 2 nd Sample Failure. When the Participant is notified of a secondsample certified rating failure, the Participant has seven (7) calendar days to select one of the following options: Claim the sample Defective, as described in the AHRI General Operations Manual, Section 9; Re-rate only the failed metric for all models within the failed sample s BMG proportionate to the failed test s results; or Obsolete the model, which also obsoletes all models within the corresponding BMG. 7

14 3.14 Energy Policy Act (EPACT) Re-rating Requirements. EPACT units are those that operate on three-phase power. If an EPACT-covered (U.S. Energy Policy Act) model requires re-rating below the EPACT minimum efficiency, it shall be obsoleted and listed on the Directory with the appropriate WAS ratings. In the event of failure, all models in the BMG shall be re-rated proportionately as described above. Those re-rated at less than the EPACT minimum efficiencies shall be obsoleted and listed as previously stated. Should a chosen model fail but required rating still meets the EPACT minimum efficiency, all models in the basic model group shall be re-rated proportionately; any model which then does not meet the EPACT minimum efficiencies, shall similarly be obsoleted and listed. Any such model however may be tested to determine its pass/fail status at the expense of the Participant Consequences for Improper Ratings Double Selection Mode Requirements. Except as noted below, the Double Selection Mode Requirements shall proceed according to Section 9 of the AHRI General Operations Manual. For 250,000 Btu/h to less than 760,000 Btu/h. Upon notification of selection from AHRI, the Participant shall provide one (1) sample of each model. If the first sample fails and the Participant chooses to test a second sample, a sample shall be available within 90 calendar days following notification of decision to AHRI via Manufacturer s Decision Form (MDF) Probation Mode Requirements. Except as noted below, the Probation Mode Requirements shall proceed according to Section 9 of the AHRI General Operations Manual. For 250,000 Btu/h to less than 760,000 Btu/h. Upon notification of selection from AHRI, the Participant shall provide one (1) sample of each model. If the first sample fails and the Participant chooses to test a second sample, a sample shall be available within 90 calendar days following notification of decision to AHRI via Manufacturer s Decision Form (MDF) Penalty Mode Requirements. Except as noted below, the Penalty Mode Requirements shall proceed according to Section 9 of the AHRI General Operations Manual. For 250,000 Btu/h to less than 760,000 Btu/h. Upon notification of selection from AHRI, the Participant shall provide one (1) sample of each model. If the first sample fails and the Participant chooses to test a second sample, a sample shall be available within 90 calendar days following notification of decision to AHRI via Manufacturer s Decision Form (MDF). 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, Certification shall not be implied nor 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. 8

15 5.1 Publication of Ratings in Certified Directory. The following information pertaining to each model certified shall be published in the Directory: AHRI Certified Reference Number; Model Status; Name of Manufacturer; Brand Name; Series Name; Model Number(s) or Designation(s); AHRI Product Type; Refrigerant; AHRI Standard Rating Cooling Capacity, Btu/h; Energy Efficiency Ratio (EER), Btu/W h; Integrated Energy Efficiency Ratio (IEER); High Temperature Heating Standard Rating Capacity, Btu/h; High Temperature Coefficient of Performance (COP), 47 F; Low Temperature Heating Standard Rating Capacity, Btu/h; Low Temperature Coefficient of Performance (COP), 17 F; and Rated Full Load Indoor Coil Air Quantity, SCFM. 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 Except as noted below, the assessment and payment of certification fees shall proceed according to the AHRI General Operations Manual, Section Equipment Delivery/Disposal Fees. The Participant is responsible for the delivery and expenses associated with shipping test samples to the Laboratory. However, following the completion of the test, the sample shall be shipped prepaid by AHRI to the destination specified by the Participant. The Participant shall provide instruction to the Laboratory regarding the disposal/shipment of the sample(s). 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 Refer to Section 15 of the AHRI General Operations Manual. 9. Proper Use of the AHRI Certification Mark and Claims to Certification Refer to the AHRI Brand Usage Manual. 9

16 APPENDIX A DATA SUBMITTAL SHEET FOR UNITARY LARGE EQUIPMENT Also available online at CondGrossFi Type of Blower Indoor Unit Model UsesDualCo SingleCondModel SoldInCAStat ExclusivelyCa nnedfaceare CompModelNum AltCompMo Capacity Control Outside Break- In-room Break- In-room Break- AHRI Type Brand Name Series Name Model Number Number ndenser Number Volts Hertz Phase e nadaorexport RefrigerantType a ber delnumber Control Method in Period in Period in Conditions Comments All Caps: RC-A; RC-E; RC-W; RCU-A; RCU-A-C; RCU-A-CB; Compressor RCU-E; RCU-E-CB; RCU-W; RCU-W-CB; RCUY-A-CB; Must match a trade RCUY-E-CB; RCUY-W-CB; name associated with RCY-A; RCY-E; RCY-W; SP-A; this OEM (New SP-E; SP-W; SPY-A; SPY-E; TRADENAMES added SPY-W; HORC-A-C; HORC-A- by administrator) All CB; HORCU-A-C; HORCU-A- Caps CB; HOSP-A; HRC-A-C; HRC-A- All caps All caps, no spaces, maximum 30 characters, * cannot be in one of the first four characters. Is this combination Must exactly match using dual a current All caps, no spaces, 115; 200; 200/230; 208; condensers ModelNumber maximum /230; 220; 230; 240; (2 of the (Active or characters 265; 460; 575 same one)? Discontinued) in Yes or No AC, HP or ULE (mixed case) 60 1 or 3 Model Number (if Identify if AHRI to Hours. Whole Hours. Whole using more than Constant submit data to Condenser Alternate or number. number. Exclusively for one of the same Single Stage, Volume, VAV, CEC on Gross Finned Additional Manufacturer Manufacturer Export? Yes or R-410A; R-407C; model, enter it as Dual Stage, or Discrete manufacturer' Face Area Compressor responsible for responsible for No (mixed R-134A 'ABC123(2)' where Multiple Stage, Step Fan s behalf? Yes (Sq. Ft). Up to Model costs costs case) (2) indicates two Variable Stage Control (spell or No (mixed 2 decimals Number associated with associated with of the same out exactly as case) Break-in period. Break-in period. compressor noted here) CB; HRCU-A-C; HRCU-A-CB; model) HSP-A Required Required Optional Required Required if AHRI type contains R Required if AHRI type contains R Required if Required; may choose DUALCOND = Yes up to 3 Required Required Required Cannot be Yes if Required; select SoldinCAState one = Yes Required Required Optional Required Required Required (minimum 0, maximum 75) Required (minimum 0, maximum 16) Required if Inroom Break-in Period > 0 Optional CoolingCapacity CoolingCapacity230 Condenser Water HeatingCapacity230v4 HeatingCapacity230v Demand Footnotes VaporLineOD LiquidLineOD 95F v95f EER95F EER230v95F OutdoorCoilAirQty IndoorCoilAirQty Flow (gpm) HeatingCapacity47F 7F COP47F COP230v47F HeatingCapacity17F 17F COP17F COP230v17F Defrost IEER IEER230v HeatEnergySource If AHRI Type contains A, AND capacity If AHRI Type contains A, AND capacity Must be whole <=135,000, minimum 8.0; OR capacity Must be whole <=135,000, minimum 8.0; OR capacity Must be whole number number and meet >=136,000 AND <=240,000 then standard cubic feet Must be whole number Must be whole number Must be whole number number and meet >=136,000 AND <=240,000 then minimum If heating capacity 47F: < and meet divisibility HeatEnergySource (For AC, divisibility minimum = 8.5; OR capacity >240,000 per minute, divisible and meet divisibility and meet divisibility and meet divisibility divisibility = 8.5; OR capacity >240,000 minimum 9.8 rated standard 65,000 minimum 1, If heating capacity 47F: < 65,000 requirements (no options are: Electric Must match requirements (no minimum 9.8 and all cases maximum cubic feet per by 5. requirements (no comma) requirements (no requirements (no minimum = 1, minimum = 1, 1/4 in; 3/8 in; 1/2 in; 5/8 in; 3/4 1/4 in; 5/16 in; requirements (no and all cases maximum 20. Else if AHRI water flow (cubic maximum 25; >= 65,000 minimum 1, maximum 25; >= comma) >= 30,000 < Integrated Energy Integrated Energy Resistance, Natural Gas, a number in comma) >= 20. Else if AHRI Type contains E or W, minute, Whole cannot be greater >= 40,000 < 65,000 / 500; comma) >= 40,000 < comma) >= 30,000 < maximum = 25. maximum = 25 Yes or No in; 7/8 in; 1 in; 1 1/8 in; 1 1/4 3/8 in; 1/2 in; comma) >= 65,000 Type contains E or W, AND capacity feet per minute) - <= 135,000 minimum 3, 65,000 <= 135,000 minimum 3, 65,000 / 500; >= Efficiency Ratio - Efficiency Ratio - None. For HP, options are footnote 65,000 <= AND capacity <=135,000, minimum 8.9 number, divisible by than 450 * >= 65,000 <= 135,000 65,000 / 500; >= 65,000 65,000 / 500; >= 65,000 Up to 2 decimals - Up to 2 decimals - (mixed case) in; 1 3/8 in; 1 5/8 in 5/8 in; 7/8 in <= 135,000 /1000; <=135,000, minimum 8.9 maximum 20; OR for water cooled maximum 15; >=136,000. maximum 15; >=136,000. Up to 65,000 <= 135,000 nearest.1 nearest.1 Heat Pump, Both Heat lookup 135,000 /1000; maximum 20; OR capacity >=136,000 5 Capacity 95F at /1000; >=136,000 <= <= 135,000 /1000; <= 135,000 /1000; nearest.01 nearest.01 >=136,000 <= capacity >=136,000 AND <=240,000 then units only Up to 2 decimals - 2 decimals - nearest.01 /1000; >=136,000 <= Pump and Electric >=136,000 <= AND <=240,000 then minimum = 11 highest stage/ 40,000 /2000; >400,000 >=136,000 <= 40,000 >=136,000 <= 40, ,000 /2000; minimum = 11 maximum 25; OR capacity nearest.01 40,000 /2000; Resistance) 400,000 /2000; maximum 25; OR capacity >240, /500 /2000; >400,000 /500 /2000; >400,000 /500 >400,000 /5000 >240,000 minimum 11 maximum 25. In all >400,000 /500 >400,000 /5000 minimum 11 maximum 25. In all cases, two decimals - enter to nearest.1 cases, enter to nearest.1 Optional Required if AHRI type Required if AHRI type contains contains RC RC (for split systems) (for split systems) Required Required if dual capacity unit (200/230 or 208/230). Required Otherwise leave Required if AHRI Required if AHRI Required for Heat Pump Type contains -A Type contains -A Required for Heat Pump units and if dual capacity Required for Heat Pump Required if dual capacity unit (200/230 Required if AHRI (Air Cooled) or -E (Air Cooled) or -E units. Otherwise leave unit (200/230 or units. Otherwise leave or 208/230). Otherwise leave Type contains -W (Evaporatively (Evaporatively 208/230). Otherwise Cooled) Cooled) leave Required for Heat Required for Heat Pump units and if Required for Required for Heat Pump units Required for Heat Required for Heat Pump Pump units and if dual dual capacity unit Heat Pump and if dual capacity unit (200/230 Pump units. units. Otherwise leave capacity unit (200/230 (200/230 or units. or 208/230). Otherwise leave Otherwise leave or 208/230). 208/230). Otherwise Otherwise leave Otherwise leave leave Required Required if dual capacity unit (200/230 or 208/230). Otherwise leave. Required Compressor Indoor Fan ThrmStaticExpVal CompFanMoto OutdoorFanMotorD OutdoorFanMo OutdoorFanMoto OutdoorFanMotor IndoorFanMotorDesig IndoorFanMotorH IndoorFanMotorTy IndoorFanMotorPwr Electrical Electrical ve CompMotorDesign CompMotorType rhp esign torhp rtype PwrFactor n P pe Factor Input Input Outdoor Fan Electrical Input CoolingCapacity105F CoolingCapacity230v105F EER105F EER230v105F CoolingCapaci CoolingCapacity2 ty115f 30v115F Compressor Motor Thermal Expansion Compressor Motor Design: Single Speed; Valve? Yes or No Type: Premium; Dual Speed; Multiple (mixed case) Standard Speed; Variable Speed Compressor Condenser Fan Condenser Fan Condenser Fan Indoor Fan Motor Fan Motor Motor Design: Single Condenser Fan Indoor Fan Motor Motor Motor Type: Design: Single Speed; Horsepower: Speed; Dual Speed; Motor Power Factor: Horsepower: Up to Horsepower: Up Premium; Dual Speed; Multiple Up to 3 Multiple Speed; Watts/VoltAmps 3 decimals to 3 decimals Standard Speed; Variable Speed decimals Variable Speed Indoor Fan Motor Type: Premium; Standard Indoor Fan Motor Power Factor: Watts/VoltAmps Whole number Cooling Capacity 105F at 230v for dual capacity unit (200/230 or 208/230) 2 decimals EER 105F at 230v for dual capacity unit (200/230 or 208/230) Whole number Cooling Capacity 115F at 230v for dual capacity unit (200/230 or 208/230) Required if SoldinCAState = Yes Required if SoldinCAState = Yes Voluntary if SoldinCAState = Yes, otherwise leave Voluntary if Voluntary if Voluntary if Voluntary if SoldinCAState SoldinCAState = SoldinCAState = SoldinCAState = = Yes, Yes, otherwise leave Yes, otherwise Yes, otherwise otherwise leave leave leave Voluntary if SoldinCAState = Yes, otherwise leave Voluntary if SoldinCAState = Yes, otherwise leave Voluntary if SoldinCAState = Yes, otherwise leave Voluntary if SoldinCAState = Yes, otherwise leave Required if Required if Required if Voluntary if SoldInCAStat SoldInCAStat SoldInCAState Voluntary if SoldinCAState = Yes, e = Yes AND e = Yes AND = Yes AND SoldinCAState = Yes, otherwise leave AHRI Type AHRI Type AHRI Type otherwise leave contains -W contains -W contains -W Voluntary if Voluntary if SoldinCAState = SoldinCAState = Yes, Yes, otherwise leave otherwise leave Voluntary if Voluntary if Voluntary if SoldinCAState = SoldinCAState = SoldinCAState = Yes, otherwise Yes, otherwise Yes, otherwise leave leave leave 2 decimals EER 115F at 230v for dual capacity unit (200/230 or 208/230) standard cubic standard cubic standard cubic standard cubic standard cubic standard cubic standard cubic standard cubic standard cubic feet per minute, feet per minute, feet per minute, feet per minute, feet per minute, feet per minute, feet per minute, feet per minute, feet per minute, Percentage. divisible by 5. divisible by 5. divisible by 5. divisible by 5. divisible by 5. divisible by 5. divisible by 5. divisible by 5. divisible by 5. cannot be less cannot be less cannot be less cannot be less cannot be less cannot be less cannot be less cannot be less Whole Number, Capacity at lowest than or equal to than or equal to than or equal to than or equal to than or equal to than or equal to than or equal to than or equal to from 1 to 10 stage divided by cannot be cannot be cannot be cannot be cannot be cannot be cannot be cannot be cannot be Percent Net Percent Net Percent Net Percent Net Percent Net Percent Net Percent Net Percent Net CoolingCapacity95F greater greater greater greater greater greater greater greater greater Capacity 1 Capacity 2 Capacity 3 Capacity 4 Capacity 5 Capacity 6 Capacity 7 Capacity 8 IndoorCoilAirQty IndoorCoilAirQty IndoorCoilAirQty IndoorCoilAirQty IndoorCoilAirQty IndoorCoilAirQty IndoorCoilAirQty IndoorCoilAirQty IndoorCoilAirQty (Column AD) (Column AD) (Column AD) (Column AD) (Column AD) (Column AD) (Column AD) (Column AD) (Column AD) Required if Required if Required if Required if Required if Required if Required if Required if Blower Control Blower Control Blower Control Blower Control Blower Control Blower Control Blower Control Blower Control Voluntary if Voluntary if Required if SoldinCAState = SoldinCAState = Column Q = Yes, otherwise Yes, otherwise Discrete Step leave leave Fan Control Required if Blower Control Method = Discrete Step Fan Control, otherwise leave Required if Number of Capacity Stages 2 Method = Discrete Step Required if Fan Control, Number of and Number of Capacity Capacity Stages 3 Stages 3; Method = Discrete Step Required if Fan Control, Number of and Number of Capacity Capacity Stages 4 Stages 4; Method = Discrete Step Required if Fan Control, Number of and Number of Capacity Capacity Stages 5 Stages 5; Method = Discrete Step Required if Fan Control, Number of and Number of Capacity Capacity Stages 6 Stages 6; Method = Discrete Step Required if Fan Control, Number of and Number of Capacity Capacity Stages 7 Stages 7; Method = Discrete Step Required if Fan Control, Number of and Number of Capacity Capacity Stages 8 Stages 8; Method = Discrete Step Required if Fan Control, Number of and Number of Capacity Capacity Stages 9 Stages 9; Method = Discrete Step Required if Fan Control, Number of and Number of Capacity Capacity Stages = 10 Stages = 10; otherwise leave otherwise leave otherwise leave otherwise leave otherwise leave otherwise leave otherwise leave otherwise leave 10

17 APPENDIX B TYPES OF UNITARY LARGE EQUIPMENT Table 2. Commercial and Industrial Air-Conditioning Equipment Certification Designation AHRI Type Rating Standard Certified Capacity Range Single Package, Air Cooled SP-A AHRI-340/360 65,000 Btu/h and <760,000 Btu/h Single Package, Water Cooled SP-W AHRI-340/360 65,000 Btu/h and <250,000 Btu/h Single Package, Evaporatively Cooled SP-E AHRI-340/360 no certification Year-Round Single Packaged, Air Cooled SPY-A AHRI-340/360 65,000 Btu/h and <760,000 Btu/h Year-Round Single Packaged, Water Cooled SPY-W AHRI-340/360 Not Certified Year-Round Single Packaged, Evaporatively Cooled SPY-E AHRI-340/360 Not Certified Condensing Unit, Coil and Blower, Air Cooled RCU-A-CB AHRI-340/360 Condensing Unit, Coil and Blower, Water Cooled RCU-W-CB AHRI-340/360 Not Certified Condensing Unit, Coil and Blower, Evaporatively Cooled Year-Round Condensing Unit, Coil and Blower, Air Cooled Year-Round Condensing Unit, Coil and Blower, Water Cooled Year-Round Condensing Unit, Coil and Blower, Evaporatively Cooled RCU-E-CB AHRI-340/360 Not Certified RCUY-A-CB AHRI-340/360 RCUY-W-CB AHRI-340/360 Not Certified RCUY-E-CB AHRI-340/360 Not Certified Remote Condenser, Air Cooled RC-A AHRI-340/360 Remote Condenser, Water Cooled RC-W AHRI-340/360 Not Certified Remote Condenser, Evaporatively Cooled RC-E AHRI-340/360 Not Certified Condensing Unit, Coil Alone, Air Cooled RCU-A-C AHRI-340/360 Condensing Unit, Coil Alone, Water Cooled RCU-W-C AHRI-340/360 Not Certified Condensing Unit, Coil Alone, Evaporatively Cooled RCU-E-C AHRI-340/360 Not Certified Year-Round Remote Condenser, Air Cooled RCY-A AHRI-340/360 Not Certified Year-Round Remote Condenser, Water Cooled RCY-W AHRI-340/360 Not Certified Year-Round Remote Condenser, Evaporatively Cooled RCY-E AHRI-340/360 Not Certified Remote Condensing Unit, Air Cooled RCU-A AHRI 365 Remote Condensing Unit, Water Cooled RCU-W AHRI-365 Not Certified Remote Condensing Unit, Evaporatively Cooled RCU-E AHRI-365 Not Certified 65,000 Btu/h and <250,000 Btu/h as a system ** 65,000 Btu/h and <250,000 Btu/h as a system ** 65,000 Btu/h and <250,000 Btu/h as a system 65,000 Btu/h and <250,000 Btu/h as a system 135,000 Btu/h and <250,000 Btu/h as a system ** Note ** - Remote condensing units below 135,000 Btu/h must be certified as a system to AHRI Standard 340/360 and optionally can be certified as a system 135,000 Btu/h and <250,000 Btu/h or as a condensing unit only 135,000 Btu/h and <250,000 Btu/h. Designation Table 3. Commercial and Industrial Air-Conditioning Heat Pump Equipment Certification Heating and Cooling AHRI Type Heating Only Rating Standard Cooling Capacity Range Single Package, Air Cooled HSP-A HOSP-A AHRI-340/360 65,000 Btu/h and <250,000 Btu/h Remote Outdoor Coil HRC-A-CB HORC-A-CB AHRI-340/360 Not Certified Remote Outdoor Coil with No Indoor Fan HRC-A-C HORC-A-C AHRI-340/360 Not Certified Split System HRCU-A-CB HORCU-A-CB AHRI-340/360 65,000 Btu/h and <250,000 Btu/h Split System with no Indoor Fan HRCU-A-C HORCU-A-C AHRI-340/360 65,000 Btu/h and <250,000 Btu/h 11

18 APPENDIX C Sample Manufacturer s Decision Forms MANUFACTURER S DECISION FORM FIRST SAMPLE QUALIFICATION TEST FAILURE NOTIFICATION AHRI CERTIFICATION PROGRAM FOR UNITARY LARGE EQUIPMENT <Date> Dear Certification Program Applicant: Please be advised that the following sample, when tested under the AHRI Certification Program for Unitary Large Equipment (ULE), failed to perform in accordance with the latest edition of AHRI Standard 340/360, Commercial and Industrial Air- Conditioning and Heat Pump Equipment and AHRI Standard 365, Commercial and Industrial Unitary Air-Conditioning Condensing Units. Test data is attached to this notification. Manufacturer: AHRI Test #: Model: 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 ULE 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. 12

19 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 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. Second Sample. The Participant shall have a second sample, of the same model or combination, available within 60 calendar days (for systems 65,000 to less than 250,000 Btu/h) or 90 calendar days (for systems 250,000 to less than 760,000 Btu/h) of this failure notification. Failure to present samples for selection within this timeframe shall forfeit the Applicant s opportunity for a second sample test, thus automatically re-rating all models within the BMG proportionate to the failed test s results. AHRI shall invoice the Applicant for the second 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 second 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 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 ULE Certification Program Operations Manual. The engineer can address any questions regarding the available options. Umair Surani, Certification Engineer Phone: (703) , x313 usurani@ahrinet.org Fax: (703) Thank you for your participation in the AHRI Certification Program. (Please complete all fields) Company: Submitted by: Signature: Title: Print Date: Fax: Phone: 13

20 MANUFACTURER S DECISION FORM SECOND SAMPLE QUALIFICATION TEST FAILURE NOTIFICATION AHRI CERTIFICATION PROGRAM FOR UNITARY LARGE EQUIPMENT <Date> Dear Certification Program Applicant: Please be advised that the following sample, when tested under the AHRI Certification Program for Unitary Large Equipment (ULE), failed to perform in accordance with the latest edition of AHRI Standard 340/360, Commercial and Industrial Air- Conditioning and Heat Pump Equipment and AHRI Standard 365, Commercial and Industrial Unitary Air-Conditioning Condensing Units. Test data is attached to this notification. Manufacturer: AHRI Test #: Model: 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 ULE 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. 14

21 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. To ensure the opportunity to preserve this BMG, please return this completed Manufacturer s Decision Form via 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 ULE Certification Program Operations Manual. The engineer can address any questions regarding the available options. Umair Surani, Certification Engineer Phone: (703) , x313 usurani@ahrinet.org Fax: (703) Thank you for your participation in the AHRI Certification Program. (Please complete all fields) Company: Submitted by: Signature: Title: Print Date: Fax: Phone: 15

22 MANUFACTURER S DECISION FORM FIRST SAMPLE TEST FAILURE NOTIFICATION AHRI CERTIFICATION PROGRAM FOR UNITARY LARGE EQUIPMENT <Date> Dear Certification Program Participant: Please be advised that the following system, when tested under the AHRI Certification Program for Unitary Large Equipment (ULE), failed to perform in accordance with the latest edition of AHRI Standard 340/360, Commercial and Industrial Air- Conditioning and Heat Pump Equipment and AHRI Standard 365, Commercial and Industrial Unitary Air-Conditioning Condensing Units. Test data is attached to this notification. Manufacturer: AHRI Test #: Model: Date of Test: AHRI Reference #: 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 of this notification, the Participant forfeits the opportunity for further testing and all systems 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 ULE CERTIFICATION PROGRAM OPERATIONS MANUAL Defective Failure. The Participant 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 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 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 all models within the BMG proportionate 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 Laboratory to perform the replacement. If the Participant chooses to have the 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 all models within the BMG proportionate to the failed test s results, 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 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. 16

23 Re-rate. All systems 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. All systems re-rated at less than the specified minimum NAECA efficiencies shall be obsolete. Re-test the Same System (following 1 st sample failure). If the failed system operated less than 16 hours, including time for break-in, the Participant may choose to re-test the same system. The result of this test shall establish whether the 1 st test is a pass or fail. AHRI shall invoice the Participant for the re-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 opportunity to conduct further testing, thus automatically re-rating all models within the BMG proportionate to the failed test s results. Second Sample. The Participant shall have a second sample, of the same model or combination, available within 60 calendar days (for systems 65,000 to less than 250,000 Btu/h) or 90 calendar days (for systems 250,000 to less than 760,000 Btu/h) of this failure notification. If the system is not supplied within this timeframe, the Participant shall forfeit further opportunities for testing and all models within the BMG shall be re-rated proportionate to the failed test s results. AHRI shall invoice the Participant for the second 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 opportunity to conduct further testing and all models within the BMG shall be re-rated proportionate to the failed test s results. Obsolete (following 1 st 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 NAECA 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 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 ULE Certification Program Operations Manual. The engineer can address any questions regarding the available options. Umair Surani, Certification Engineer Phone: (703) , x313 usurani@ahrinet.org Fax: (703) Thank you for your participation in the AHRI Certification Program. 17

24 (Please complete all fields) Company: Submitted by: Signature: Title: Print Date: Fax: Phone: 18

25 MANUFACTURER S DECISION FORM SECOND SAMPLE TEST FAILURE NOTIFICATION AHRI CERTIFICATION PROGRAM FOR UNITARY LARGE EQUIPMENT <Date> Dear Certification Program Participant: Please be advised that the following system, when tested under the AHRI Certification Program for Unitary Large Equipment (ULE), failed to perform in accordance with the latest edition of AHRI Standard 340/360, Commercial and Industrial Air- Conditioning and Heat Pump Equipment and AHRI Standard 365, Commercial and Industrial Unitary Air-Conditioning Condensing Units. Test data is attached to this notification. Manufacturer: AHRI Test #: Model: Date of Test: AHRI Reference #: 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 of this notification, the Participant forfeits the opportunity for further testing and all systems 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 ULE CERTIFICATION PROGRAM OPERATIONS MANUAL Defective Failure. The Participant 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 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 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 all models within the BMG proportionate 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 Laboratory to perform the replacement. If the Participant chooses to have the 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 all models within the BMG proportionate to the failed test s results, 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 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. 19