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Proposed Rule2021-24836

Energy Conservation Program: Test Procedure for Air-Cooled, Three-Phase, Small Commercial Package Air Conditioning and Heating Equipment With a Cooling Capacity of Less Than 65,000 Btu/h and Air-Cooled, Three-Phase, Variable Refrigerant Flow Air Conditioners and Heat Pumps With a Cooling Capacity of Less Than 65,000 Btu/h

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Published

December 9, 2021

Issuing agencies

Energy Department

Abstract

The U.S. Department of Energy ("DOE" or "the Department") proposes to amend its test procedure for air-cooled, three-phase, small commercial package air conditioning and heating equipment with a cooling capacity of less than 65,000 British thermal units ("Btu/h") per hour and air-cooled, three-phase, variable refrigerant flow air conditioners and heat pumps with a cooling capacity of less than 65,000 Btu/h to incorporate by reference the latest version of the relevant industry test standard. DOE also proposes to adopt the seasonal energy efficiency ratio 2 ("SEER2") and heating seasonal performance factor 2 ("HSPF2") metrics specified by that industry test standard in the DOE test procedures for the three-phase equipment that is the subject of this notice of proposed rulemaking ("NOPR"). Additionally, DOE proposes to amend certain provisions for representations and enforcement to harmonize with single-phase products.

Full Text

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<title>Federal Register, Volume 86 Issue 234 (Thursday, December 9, 2021)</title>
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[Federal Register Volume 86, Number 234 (Thursday, December 9, 2021)]
[Proposed Rules]
[Pages 70316-70347]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2021-24836]

[[Page 70315]]

Vol. 86

Thursday,

No. 234

December 9, 2021

Part IV

Department of Energy

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10 CFR Parts 429 and 431

Energy Conservation Program: Test Procedure for Air-Cooled, Three-
Phase, Small Commercial Package Air Conditioning and Heating Equipment
With a Cooling Capacity of Less Than 65,000 Btu/h and Air-Cooled,
Three-Phase, Variable Refrigerant Flow Air Conditioners and Heat Pumps
With a Cooling Capacity of Less Than 65,000 Btu/h; Proposed Rule

Federal Register / Vol. 86 , No. 234 / Thursday, December 9, 2021 /
Proposed Rules

[[Page 70316]]

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DEPARTMENT OF ENERGY

10 CFR Parts 429 and 431

[EERE-2017-BT-TP-0031]
RIN 1904-AE06

Energy Conservation Program: Test Procedure for Air-Cooled,
Three-Phase, Small Commercial Package Air Conditioning and Heating
Equipment With a Cooling Capacity of Less Than 65,000 Btu/h and Air-
Cooled, Three-Phase, Variable Refrigerant Flow Air Conditioners and
Heat Pumps With a Cooling Capacity of Less Than 65,000 Btu/h

AGENCY: Office of Energy Efficiency and Renewable Energy, Department of
Energy.

ACTION: Notice of proposed rulemaking and request for comment.

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SUMMARY: The U.S. Department of Energy (``DOE'' or ``the Department'')
proposes to amend its test procedure for air-cooled, three-phase, small
commercial package air conditioning and heating equipment with a
cooling capacity of less than 65,000 British thermal units (``Btu/h'')
per hour and air-cooled, three-phase, variable refrigerant flow air
conditioners and heat pumps with a cooling capacity of less than 65,000
Btu/h to incorporate by reference the latest version of the relevant
industry test standard. DOE also proposes to adopt the seasonal energy
efficiency ratio 2 (``SEER2'') and heating seasonal performance factor
2 (``HSPF2'') metrics specified by that industry test standard in the
DOE test procedures for the three-phase equipment that is the subject
of this notice of proposed rulemaking (``NOPR''). Additionally, DOE
proposes to amend certain provisions for representations and
enforcement to harmonize with single-phase products.

DATES:
Meeting: DOE will hold a webinar on Monday, January 10, 2022, from
1:00 p.m. to 4:00 p.m. See section V, ``Public Participation,'' for
webinar registration information, participant instructions, and
information about the capabilities available to webinar participants.
Comments: DOE will accept comments, data, and information regarding
this proposal no later than February 7, 2022. See section V, ``Public
Participation,'' for details.

ADDRESSES: Interested persons are encouraged to submit comments using
the Federal eRulemaking Portal at <a href="http://www.regulations.gov">www.regulations.gov</a>. Follow the
instructions for submitting comments. Alternatively, interested persons
may submit comments, identified by docket number EERE-2017-BT- TP-0031,
by any of the following methods:
(1) Federal eRulemaking Portal: <a href="http://www.regulations.gov">www.regulations.gov</a>. Follow the
instructions for submitting comments.
(2) Email: <a href="/cdn-cgi/l/email-protection#0849617a4b6767646d6c494b40583a38393f5c5838383b39486d6d266c676d266f677e">[email&#160;protected]</a>. Include the docket
number EERE-2017-BT-TP-0031 or regulatory information number (RIN)
1904-AE06 in the subject line of the message.
No telefacsimilies (faxes) will be accepted. For detailed
instructions on submitting comments and additional information on the
rulemaking process, see section V of this document.
Although DOE has routinely accepted public comment submissions
through a variety of mechanisms, including postal mail and hand
delivery/courier, the Department has found it necessary to make
temporary modifications to the comment submission process in light of
the ongoing COVID-19 pandemic. DOE is currently suspending receipt of
public comments via postal mail and hand delivery/courier, and instead,
the Department is only accepting electronic submissions at this time.
If a commenter finds that this change poses an undue hardship, please
contact Appliance Standards Program staff at (202) 586-1445 to discuss
the need for alternative arrangements. Once the COVID-19 pandemic
health emergency is resolved, DOE anticipates resuming all of its
regular options for public comment submission, including postal mail
and hand delivery/courier.
Docket: The docket, which includes Federal Register notices, public
meeting attendee lists and transcripts (if a public meeting is held),
comments, and other supporting documents/materials, is available for
review at <a href="http://www.regulations.gov">www.regulations.gov</a>. All documents in the docket are listed
in the <a href="http://www.regulations.gov">www.regulations.gov</a> index. However, some documents listed in the
index, such as those containing information that is exempt from public
disclosure, may not be publicly available.
The docket web page can be found at: <a href="http://www.regulations.gov/docket?D=EERE-2017-BT-TP-0031">www.regulations.gov/docket?D=EERE-2017-BT-TP-0031</a>.
The docket web page contains instructions on how to access all
documents, including public comments, in the docket. See section V for
information on how to submit comments through <a href="http://www.regulations.gov">www.regulations.gov</a>.

FOR FURTHER INFORMATION CONTACT:
Ms. Catherine Rivest, U.S. Department of Energy, Office of Energy
Efficiency and Renewable Energy, Building Technologies Office, EE-2J,
1000 Independence Avenue SW, Washington, DC 20585-0121. Telephone:
(202) 586-7335. Email: <a href="/cdn-cgi/l/email-protection#7d3c0d0d11141c131e182e091c13191c0f190e2c08180e091412130e3d181853191218531a120b">[email&#160;protected]</a>.
Ms. Kristin Koernig, U.S. Department of Energy, Office of the
General Counsel, GC-33, 1000 Independence Avenue SW, Washington, DC
20585-0121. Telephone: (202) 586-8145.
Email:<a href="/cdn-cgi/l/email-protection#147f667d67607d7a3a7f7b71667a7d73547c653a707b713a737b62">[email&#160;protected]</a>.
For further information on how to submit a comment, review other
public comments, and the docket, contact the Appliance and Equipment
Standards Program staff at (202) 287-1445 or by email:
<a href="/cdn-cgi/l/email-protection#f1b081819d98909f9294a285909f9590839582a084948285989e9f82b19494df959e94df969e87">[email&#160;protected]</a>.

SUPPLEMENTARY INFORMATION: DOE proposes to maintain and update
previously approved incorporations by references for the following
industry standards in part 431:
Air-Conditioning, Heating, and Refrigeration Institute (``AHRI'')
Standard 210/240-2008, (``AHRI 210/240-2008''), ``Performance Rating of
Unitary Air-Conditioning & Air-Source Heat Pump Equipment,'' approved
2011 and updated by addendum 1 in June 2011 and addendum 2 in March
2012.
American National Standards Institute (``ANSI'')/AHRI Standard
1230-2010, ``ANSI/AHRI 1230-2010''),''2010 Standard for Performance
Rating of Variable Refrigerant Flow (VRF) Multi-split Air-Conditioning
and Heat Pump Equipment,'' approved 2010 and updated by addendum 1 in
March 2011.
Copies of AHRI 210/240-2008 and ANSI/AHRI 1230-2010 can be obtained
from the AHRI website by going to <a href="https://www.ahrinet.org">https://www.ahrinet.org</a>.
DOE proposes to incorporate by reference the following industry
standard into parts 429 and 431:
AHRI Standard 210/240-2023, (``AHRI 210/240-2023''), ``Performance
Rating of Unitary Air-Conditioning & Air-Source Heat Pump Equipment,''
approved 2020.
Copies of AHRI 210/240-2023 can be obtained from the AHRI website
by going to <a href="https://www.ahrinet.org">https://www.ahrinet.org</a>.
DOE proposes to amend the previously approved incorporation by
reference for the following industry standard in part 431:
American National Standards Institute (``ANSI'')/American Society
of Heating, Refrigerating, and Air-Conditioning Engineers (``ASHRAE'')
Standard 37-2009, ``Methods of Testing for Rating Electrically Driven
Unitary Air-Conditioning and Heat Pump Equipment,'' ASHRAE approved
June 24, 2009.

[[Page 70317]]

Copies of ANSI/ASHRAE Standard 37-2009 can be obtained from the
American National Standards Institute, 25 W. 43rd Street, 4th Floor,
New York, NY 10036, (212) 642-4900, or online at: <a href="https://webstore.ansi.org/">https://webstore.ansi.org/</a>.
See section IV.M of this document for further discussion of these
standards.

Table of Contents

I. Authority and Background
A. Authority
B. Background
II. Synopsis of the Notice of Proposed Rulemaking
III. Discussion
A. Scope of Applicability
B. Metrics
C. Proposed Organization of the Test Procedure
D. Updates to the Federal Test Method for Central Air
Conditioners and Heat Pumps
E. Updates to Industry Standards and Proposed Test Procedures
for Three-Phase Equipment With Cooling Capacity of Less Than 65,000
Btu/h
1. Harmonization With Single-Phase Products
2. AHRI 210/240
3. AHRI 1230
4. ASHRAE 37
F. Certification, Compliance, and Enforcement Requirements
1. Representation Requirements
2. Basic Model Definition
3. Certification Reporting Requirements
4. Product-Specific Enforcement Provisions
G. Test Procedure Costs
H. Compliance Date
IV. Procedural Issues and Regulatory Review
A. Review Under Executive Order 12866
B. Review Under the Regulatory Flexibility Act
C. Review Under the Paperwork Reduction Act of 1995
D. Review Under the National Environmental Policy Act of 1969
E. Review Under Executive Order 13132
F. Review Under Executive Order 12988
G. Review Under the Unfunded Mandates Reform Act of 1995
H. Review Under the Treasury and General Government
Appropriations Act, 1999
I. Review Under Executive Order 12630
J. Review Under Treasury and General Government Appropriations
Act, 2001
K. Review Under Executive Order 13211
L. Review Under Section 32 of the Federal Energy Administration
Act of 1974
M. Description of Materials Incorporated by Reference
V. Public Participation
A. Participation in the Webinar
B. Procedure for Submitting Prepared General Statements for
Distribution
C. Conduct of the Webinar
D. Submission of Comments
E. Issues on Which DOE Seeks Comment
VI. Approval of the Office of the Secretary

I. Authority and Background

Small, large, and very large commercial package air conditioning
and heating equipment are included in the list of ``covered equipment''
for which DOE is authorized to establish and amend energy conservation
standards and test procedures. (42 U.S.C. 6311(1)(B)-(D)) Air-cooled,
three-phase, small commercial air conditioners and heat pumps with a
cooling capacity of less than 65,000 Btu/h (``3-phase ACUACs and ACUHPs
with cooling capacity of less than 65,000 Btu/h'') \1\ and air-cooled,
three-phase, variable refrigerant flow (``VRF'' or ``VRF multi-split
systems'') air conditioners and heat pumps with a cooling capacity of
less than 65,000 Btu/h (``3-phase VRF with cooling capacity of less
than 65,000 Btu/h'') \2\ are two separate categories of small
commercial package air conditioning and heating equipment. DOE's test
procedures and energy conservation standards for 3-phase ACUACs and
ACUHPs with cooling capacity of less than 65,000 Btu/h and for 3-phase
VRF with cooling capacity of less than 65,000 Btu/h are currently
prescribed at title 10 of the Code of Federal Regulations (``CFR'')
part 431. See 10 CFR 431.96 (test procedures) and 10 CFR 431.97 (energy
conservation standards). The following sections discuss DOE's authority
to establish and amend the test procedure for 3-phase ACUACs and ACUHPs
with cooling capacity of less than 65,000 Btu/h and for 3-phase VRF
with cooling capacity of less than 65,000 Btu/h, and relevant
background information regarding DOE's consideration of test procedures
for this equipment.
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\1\ ACUACs and ACUHPS means air-cooled commercial unitary air
conditioners and heat pumps and is terminology consistent with that
used for this equipment with a cooling capacity of greater than or
equal to 65,000 Btu/h.
\2\ As used in this rulemaking, the term ``3-phase VRF with
cooling capacity of less than 65,000 Btu/h'' refers only to air-
cooled equipment.
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A. Authority

The Energy Policy and Conservation Act, as amended (``EPCA''),\3\
authorizes DOE to regulate the energy efficiency of a number of
consumer products and certain industrial equipment. (42 U.S.C. 6291-
6317, as codified) Title III, Part C \2\ of EPCA, added by Public Law
95-619, Title IV, section 441(a), established the Energy Conservation
Program for Certain Industrial Equipment, which sets forth a variety of
provisions designed to improve energy efficiency for certain industrial
equipment, including 3-phase ACUACs and ACUHPs with cooling capacity of
less than 65,000 Btu/h, and 3-phase VRF with cooling capacity of less
than 65,000 Btu/h, the subjects of this NOPR. (42 U.S.C. 6311(1)(B))
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\3\ All references to EPCA in this document refer to the statute
as amended through the Energy Act of 2020, Public Law 116-260 (Dec.
27, 2020).
\2\ For editorial reasons, upon codification in the U.S. Code,
Part C was redesignated Part A-1.
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The energy conservation program under EPCA consists essentially of
four parts: (1) Testing, (2) labeling, (3) the establishment of Federal
energy conservation standards, and (4) certification and enforcement
procedures. Relevant provisions of EPCA include definitions (42 U.S.C.
6311), test procedures (42 U.S.C. 6314), labeling provisions (42 U.S.C.
6315), energy efficiency standards (42 U.S.C. 6313), and the authority
to require information and reports from manufacturers (42 U.S.C. 6316;
42 U.S.C. 6296).
The Federal testing requirements consist of test procedures that
manufacturers of covered equipment must use as the basis for: (1)
Certifying to DOE that their equipment complies with the applicable
energy conservation standards adopted pursuant to EPCA (42 U.S.C.
6316(b); 42 U.S.C. 6296), and (2) making representations about the
efficiency of that equipment (42 U.S.C. 6314(d)). Similarly, DOE uses
these test procedures to determine whether the equipment complies with
relevant standards promulgated under EPCA.
Federal energy efficiency requirements for covered equipment
established under EPCA generally supersede State laws and regulations
concerning energy conservation testing, labeling, and standards. (42
U.S.C. 6316(a)-(b); 42 U.S.C. 6297) However, DOE may grant waivers of
Federal preemption for particular State laws or regulations, in
accordance with the procedures and other provisions of EPCA. (42 U.S.C.
6316(b)(2)(D))
Under 42 U.S.C. 6314, EPCA sets forth the criteria and procedures
DOE must follow when prescribing or amending test procedures for
covered equipment. EPCA requires that any test procedures prescribed or
amended under this section must be reasonably designed to produce test
results reflecting the energy efficiency, energy use, and estimated
annual operating cost of a given type of covered equipment during a
representative average use cycle and requires that test procedures not
be unduly burdensome to conduct. (42 U.S.C. 6314(a)(2))
As discussed, 3-phase ACUACs and ACUHPs with cooling capacity of
less than 65,000 Btu/h and 3-phase VRF with cooling capacity of less
than 65,000 Btu/h are both categories of small commercial package air
conditioning and heating equipment. EPCA requires that the test
procedures for small commercial package air conditioning and heating
equipment

[[Page 70318]]

shall be those generally accepted industry testing procedures or rating
procedures developed or recognized by AHRI or by ASHRAE, as referenced
in ASHRAE Standard 90.1, ``Energy Standard for Buildings Except Low-
Rise Residential Buildings'' (ASHRAE Standard 90.1). (42 U.S.C.
6314(a)(4)(A)) Further, if that industry test procedure is amended, DOE
must amend its test procedure to be consistent with the amended
industry test procedure, unless DOE determines, by rule published in
the Federal Register and supported by clear and convincing evidence,
that such amended test procedure would not meet the requirements in 42
U.S.C. 6314(a)(2) and (3) related to representative use and test
burden. (42 U.S.C. 6314(a)(4)(B)) In addition, if DOE determines that a
test procedure amendment is warranted, it must publish proposed test
procedures and offer the public an opportunity to present oral and
written comments on them. (42 U.S.C. 6314(b))
EPCA also requires that, at least once every 7 years, DOE shall
evaluate test procedures for each type of covered equipment, including
those addressed in this NOPR, to determine whether amended test
procedures would more accurately or fully comply with the requirement
that the test procedures not be unduly burdensome to conduct and be
reasonably designed to produce test results that reflect energy
efficiency, energy use, and estimated operating costs during a
representative average use cycle. (42 U.S.C. 6314(a)(1)) In addition,
if DOE determines that a test procedure amendment is warranted, DOE
must publish the proposed test procedures in the Federal Register, and
afford interested persons an opportunity of not less than 45 days to
present oral and written data, views, and arguments on the proposed
test procedures. (42 U.S.C. 6314(b)) If DOE determines that test
procedure revisions are not appropriate, DOE must publish its
determination not to amend the test procedures. (42 U.S.C.
6314(a)(1)(A)(ii))
DOE is publishing this NOPR consistent with its obligations under
EPCA.

B. Background

DOE's current test procedures for 3-phase ACUACs and ACUHPs with
cooling capacity of less than 65,000 Btu/h and for 3-phase VRF with
cooling capacity of less than 65,000 Btu/h are codified at 10 CFR
431.96.
The Federal test procedure for 3-phase ACUACs and ACUHPs with
cooling capacity of less than 65,000 Btu/h was last amended on May 16,
2012 to incorporate by reference the ANSI/AHRI Standard 210/240-2008,
``Performance Rating of Unitary Air-Conditioning & Air-Source Heat Pump
Equipment,'' approved by ANSI on October 27, 2011 and updated by
addendum 1 in June 2011 and addendum 2 in March 2012 (``ANSI/AHRI 210/
240-2008''). 77 FR 28928 (``May 2012 final rule''). The May 2012 final
rule also established additional testing requirements at 10 CFR
431.96(c) and (e) that provide an optional break-in period for testing
and specifications regarding the use of manufacturer instructions in
set-up, respectively, applicable to measuring seasonal energy
efficiency ratio (``SEER'') and heating seasonal performance factor
(``HSPF'') for this equipment. 77 FR 28928, 28991 (May 16, 2012).
The Federal test procedure for 3-phase VRF with cooling capacity of
less than 65,000 Btu/h was also last amended in the May 2012 final
rule, and incorporated by reference ANSI/AHRI Standard 1230-2010,
``2010 Standard for Performance Rating of Variable Refrigerant Flow
(VRF) Multi-Split Air-Conditioning and Heat Pump Equipment,'' approved
August 2, 2010 and updated by addendum 1 in March 2011 (``AHRI 1230-
2010''). The testing requirements at 10 CFR 431.96(c) and (e) also
apply to VRF multi-split systems. Additionally, the May 2012 final rule
established additional testing requirements at 10 CFR 431.96(d) and (f)
that provide for refrigerant line length corrections for tests
conducted using AHRI 1230-2010, and for manufacturer involvement in
assessment or enforcement testing for VRF multi-split systems,
respectively. 77 FR 28928, 28991 (May 16, 2012).
In 2017, AHRI published an updated version of its standard,
``Performance Rating of Unitary Air-Conditioning & Air-Source Heat Pump
Equipment'' (``AHRI 210/240-2017''). That updated testing standard made
a number of changes that are relevant to DOE's current test procedure,
and many of these changes were based on DOE's current test procedure
for single-phase central air conditioners and central air conditioning
heat pumps with a cooling capacity of less than 65,000 Btu/h (i.e., 10
CFR part 430, subpart B, appendix M, ``Uniform Test Method for
Measuring the Energy Consumption of Central Air Conditioners and Heat
Pumps''; ``Appendix M'').\4\
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\4\ Three-phase equipment models generally are identical
physically to their single-phase, residential counterparts, except
for the electrical systems and components designed for three-phase
power input.
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Following the publication of AHRI 210/240-2017, on October 2, 2018,
DOE published in the Federal Register a request for information
(``RFI'') seeking comments on whether DOE should align its test
procedure (and certification and enforcement requirements) for 3-phase
ACUACs and ACUHPs with cooling capacity of less than 65,000 Btu/h with
that for air-cooled, single-phase, central air conditioners and central
air conditioning heat pumps with a cooling capacity of less than 65,000
Btu/h, consistent with the update to AHRI 210/240-2017. 83 FR 49501
(``October 2018 RFI'').
DOE received comments in response to the October 2018 RFI from the
interested parties listed in Table I.I.

Table I.I--Interested Parties Providing Written Comments to the October 2018 RFI
----------------------------------------------------------------------------------------------------------------
Organization(s) Reference in this NOPR Organization type
----------------------------------------------------------------------------------------------------------------
Air-Conditioning Heating and AHRI............................ Trade Association.
Refrigeration Institute.
Pacific Gas and Electric Company CA IOUs......................... Utilities.
(``PG&E''), San Diego Gas, and
Electric (``SDG&E''), and
Southern California Edison
(``SCE'').
Goodman Global, Inc............... Goodman......................... Manufacturer.
Ingersoll Rand.................... Ingersoll Rand.................. Manufacturer.
Lennox International Inc.......... Lennox.......................... Manufacturer.
Natural Resources Defense Council NRDC and ASAP................... Energy Efficiency Advocates.
(``NRDC''), and Appliance
Standards Awareness Project
(``ASAP'').
United Technologies Corporation Carrier......................... Manufacturer.
(submitted by Carrier
Corporation).
----------------------------------------------------------------------------------------------------------------

[[Page 70319]]

Throughout this document, a parenthetical reference at the end of a
comment quotation or paraphrase provides the location of the item in
the public record.\5\
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\5\ The parenthetical reference provides a reference for
information located in the docket of this rulemaking. (Docket No.
EERE-2017-BT-TP-0031, which is maintained at <a href="http://www.regulations.gov">www.regulations.gov</a>).
The references are arranged as follows: (commenter name, comment
docket ID number, page of that document).
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In April 2019, AHRI published the ``Performance Rating of Unitary
Air-Conditioning & Air-Source Heat Pump Equipment (with Addendum 1)''
(``AHRI 210/240-2017 with Addendum 1''), which incorporated minor
revisions to definitions, testing requirements, and efficiency
calculations.
On October 23, 2019, ASHRAE released ASHRAE Standard 90.1-2019,
which maintained the reference to AHRI 210/240 as the industry testing
standard for 3-phase ACUACs and ACUHPs with cooling capacity of less
than 65,000 Btu/h, but updated the editions referenced. ASHRAE Standard
90.1-2019 references AHRI 210/240-2017 for the period prior to January
1, 2023. For the period beginning January 1, 2023, ASHRAE Standard
90.1-2019 references AHRI 210/240-2023 (to align with ASHRAE Standard
90.1-2019 minimum efficiency levels for this equipment in terms of
SEER2 and HSPF2 that take effect on January 1, 2023). ASHRAE Standard
90.1-2019 maintained the reference to AHRI 1230 as the industry testing
standard for all VRF multi-split systems, including air-cooled, three-
phase units with a cooling capacity of less than 65,000 Btu/h, with an
update to AHRI 1230-2014 with Addendum 1.\6\
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\6\ Air-cooled, three-phase, VRF multi-split systems with a
cooling capacity of less than 65,000 Btu/h are not excluded from the
scope of either AHRI 210/240 (2017 and 2023) or AHRI 1230-2014 with
Addendum 1.
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In May 2020, AHRI published AHRI 210/240-2023. The updates in AHRI
210/240-2017, AHRI 210/240-2017 with Addendum 1, and AHRI 210/240-2023
are discussed in section III.E.2 of this NOPR. DOE has reviewed the
comments from the October 2018 RFI in the context of these updated
industry standards.
In May 2021, AHRI published AHRI 1230-2021, which excludes from its
scope air-cooled, VRF multi-split systems with a cooling capacity of
less than 65,000 Btu/h. Both AHRI 210/240-2017 with Addendum 1 and AHRI
210/240-2023 exclude from their scope only VRF multi-split systems that
have capacities greater than or equal to 65,000 Btu/h. Because AHRI
1230-2021 explicitly excludes VRF multi-split systems with a cooling
capacity of less than 65,000 Btu/h from scope, and the scope exclusion
in AHRI 210/240-2023 applies only to VRF multi-split systems with a
cooling capacity of 65,000 Btu/h or greater, VRF multi-split systems
with a cooling capacity of less than 65,000 Btu/h are included within
the scope of AHRI 210/240-2023.
As such, DOE has tentatively determined that AHRI 210/240-2023 is
now the appropriate industry test standard for 3-phase VRF with cooling
capacity of less than 65,000 Btu/h. Three-phase VRF with cooling
capacity of less than 65,000 Btu/h do not currently exist on the
market, but DOE expects that any such equipment introduced to the
market in the future would likely be identical to air-cooled, single-
phase, VRF multi-split systems (except for the components designed for
three-phase power input). Therefore, DOE has tentatively determined
that it is appropriate to align its proposed test procedure for 3-phase
VRF with cooling capacity of less than 65,000 Btu/h (AHRI 210/240-2023)
with the test procedure for their single-phase counterparts (i.e., 10
CFR part 430, subpart B, appendix M1; (``Appendix M1'')). For these
reasons, DOE is addressing the test procedures for this equipment in
this NOPR.

II. Synopsis of the Notice of Proposed Rulemaking

This NOPR proposes to update the references in the Federal test
procedures to the most recent version of the relevant industry test
procedures as they relate to 3-phase ACUACs and ACUHPs with cooling
capacity of less than 65,000 Btu/h and 3-phase VRF with cooling
capacity of less than 65,000 Btu/h. Specifically, DOE proposes to
update its regulations at 10 CFR 431.96, ``Uniform test method for the
measurement of energy efficiency of commercial air conditioners and
heat pumps,'' as follows: (1) Incorporate by reference AHRI 210/240-
2023 and ANSI/ASHRAE 37-2009 ``Methods of Testing for Rating
Electrically Driven Unitary Air-Conditioning and Heat Pump Equipment''
(``ANSI/ASHRAE 37-2009''); and (2) establish provisions for determining
SEER2 and HSPF2. The current DOE test procedures for all equipment
addressed in this NOPR would be relocated to a new appendix B of
subpart F to 10 CFR part 431 (``Appendix B'') without change, and the
new test procedure adopting AHRI 210/240-2023 would be established in a
new appendix B1 of subpart F to 10 CFR part 431 (``Appendix B1'') for
determining SEER2 and HSPF2. Compliance with appendix B1 would not be
required until such time as compliance is required with amended energy
conservation standards that rely on SEER2 and HSPF2, should DOE adopt
such standards. Compliance with appendix B (which aligns with the
current Federal test procedure) would be required beginning 360 days
following publication of the final rule. Prior to the date 360 days
following publication of the final rule, testing would be required to
be conducted either per appendix B or under 10 CFR 431.96 as it
appeared in the 10 CFR parts 200-499 edition revised as of January 1,
2021.
In addition, DOE proposes to update most of its compliance and
enforcement requirements for 3-phase ACUACs and ACUHPs with cooling
capacity of less than 65,000 Btu/h and for 3-phase VRF with cooling
capacity of less than 65,000 Btu/h to be consistent with those for the
consumer product counterparts (i.e., air-cooled, single-phase, central
air conditioners and central air conditioning heat pumps with a cooling
capacity of less than 65,000 Btu/h (which include single-phase VRF
multi-split systems)).
DOE's proposed actions are summarized in Table II.2 and addressed
in detail in section III of this document.

Table II.2--Summary of Changes in Proposed Test Procedure Relative to
Current Test Procedure
------------------------------------------------------------------------
Current DOE test procedures Proposed amendment Reason
------------------------------------------------------------------------
Incorporates by reference ANSI/ Incorporates by EPCA requirement
AHRI 210/240-2008 (for reference in a new to harmonize
equipment other than VRF appendix B1 AHRI 210/ with industry
multi-split systems) and ANSI/ 240-2023 and ANSI/ test procedure.
AHRI 1230-2010 for VRF multi- ASHRAE 37-2009.
split systems.

[[Page 70320]]

Applicable representation Amends representation Harmonization
requirements are those requirements at new with single-
specified at 10 CFR 429.43 10 CFR 429.64 and 10 phase consumer
and 10 CFR 429.70 for CFR 429.70--including product
commercial heating, basic model counterparts,
ventilating, and air definition, tested and reduction
conditioning (``HVAC'') combination, of testing
equipment. determination of burden on
represented value, manufacturers.
and alternative
energy determination
method (``AEDM'')
requirements--largely
consistent with
requirements for
single-phase consumer
product counterparts.
Amended representation
requirements allow
the use of an AEDM
that is validated
with testing of an
otherwise identical
single-phase central
air conditioners and
heat pumps for rating
three-phase, less
than 65,000 Btu/h
single package units
and split systems.
------------------------------------------------------------------------

DOE has tentatively determined that the proposed amendments
described in section III of this NOPR regarding the establishment of
appendix B would not alter the measured efficiency of equipment
addressed in this document or require retesting solely as a result of
DOE's adoption of this proposed amendment to the test procedure. DOE
has tentatively determined, however, that the proposed test procedure
amendments in appendix B1 would, if adopted, alter the measured
efficiency of the affected equipment and that such amendments are
consistent with the updated industry test procedure. Further,
compliance with the proposed appendix B1 and the proposed amendments to
the representation requirements in 10 CFR 429.43 and 10 CFR 429.70
would not be required until the compliance date of amended standards in
terms of SEER2 and HSPF2. Additionally, DOE has tentatively determined
that the proposed amendments, if adopted, would not increase the cost
of testing relative to the updated industry test procedure. Discussion
of DOE's proposed actions are addressed in detail in section III of
this NOPR.

III. Discussion

The discussion that follows details the specific changes that DOE
is proposing to make to the current test procedure regulations
affecting 3-phase ACUACs and ACUHPs with cooling capacity of less than
65,000 Btu/h and 3-phase VRF with cooling capacity of less than 65,000
Btu/h.

A. Scope of Applicability

Three-phase ACUACs and ACUHPs with cooling capacity of less than
65,000 Btu/h and 3-phase VRF with cooling capacity of less than 65,000
Btu/h are both categories of small commercial package air conditioning
and heating equipment. Commercial package air-conditioning and heating
equipment may be air-cooled, water-cooled, evaporatively-cooled, or
water source-based (not including ground water source). These equipment
are electrically-operated and are designed as unitary central air
conditioners or central air-conditioning heat pumps for use in
commercial applications. 10 CFR 431.92. As discussed in the following
sections, 3-phase ACUACs and ACUHPs with cooling capacity of less than
65,000 Btu/h are typically nearly identical (and therefore typically
have comparable efficiency) to single-phase central air conditioners
and central air conditioning heat pumps with rated cooling capacities
of less than 65,000 Btu/h, the latter being consumer products also
subject to EPCA and for which DOE has already established energy
conservation standards (10 CFR 430.32(c)) and test procedures (appendix
M and appendix M1). Based on this ``nearly identical'' relationship,
while 3-phase VRF with cooling capacity of less than 65,000 Btu/h do
not currently exist on the market, DOE expects that any such equipment
introduced to the market in the future would likely also be identical
(except for the components designed for three-phase power input) to
their single-phase counterparts, which are a subset of single-phase
central air conditioners and central air conditioning heat pumps, and,
as such, are also rated using appendix M and appendix M1.
Three-phase ACUACs and ACUHPs with cooling capacity of less than
65,000 Btu/h are further disaggregated into four equipment classes:
Single-package air conditioners, single-package heat pumps, split-
system air conditioners, and split-system heat pumps. 10 CFR
431.97(b).\7\ This NOPR proposes to amend the test procedure applicable
to all four equipment classes but without amending its current scope.
Three-phase VRF with cooling capacity of less than 65,000 Btu/h are
further disaggregated into two equipment classes: air conditioners and
heat pumps. 10 CFR 431.97(f). This NOPR proposes to amend the test
procedure applicable to both equipment classes but without amending its
current scope.
---------------------------------------------------------------------------

\7\ The term ``single package unit'' means ``any central air
conditioner or central air-conditioning heat pump in which all the
major assemblies are enclosed in one cabinet.'' The term ``split
system'' means ``any central air conditioner or central air-
conditioning heat pump in which one or more of the major assemblies
are separate from the others.'' 10 CFR 431.92.
---------------------------------------------------------------------------

B. Metrics

As noted, for 3-phase ACUACs and ACUHPs with cooling capacity of
less than 65,000 Btu/h and for 3-phase VRF with cooling capacity of
less than 65,000 Btu/h, the cooling metric and heating metric currently
specified by DOE are the SEER metric and the HSPF metric, respectively.
10 CFR 431.96. SEER is a seasonal efficiency metric that accounts for
electricity consumption in active and standby cooling modes during the
cooling season, while HSPF is a seasonal efficiency metric that
accounts for electricity consumption in active and standby heating
modes for heat pumps during the heating season. These are the same
metrics that currently apply to single-phase central air conditioners
and central air conditioning heat pumps, including single-phase, air-
cooled VRF multi-split systems with a cooling capacity of less than
65,000 Btu/h (see appendix M).

C. Proposed Organization of the Test Procedure

DOE is proposing to relocate and centralize the current test
procedures for 3-phase ACUACs and ACUHPs with cooling capacity of less
than 65,000 Btu/h and 3-phase VRF with cooling capacity of less than
65,000 Btu/h to a new appendix B to subpart F of part 431. As proposed,
appendix B would

[[Page 70321]]

not amend the current test procedures. The test procedures as provided
in the proposed appendix B would continue to reference ANSI/AHRI 210/
240-2008 and ANSI/AHRI 1230-2010 and provide instructions for
determining SEER and HSPF. DOE is proposing to also update the existing
incorporation by reference of ANSI/AHRI 210/240-2008 and ANSI/AHRI
1230-2010 at 10 CFR 431.95 to apply it to appendix B. The proposed
appendix B would also centralize the additional test provisions
currently applicable under 10 CFR 431.96, i.e., 10 CFR 431.96(c)
through (f). As proposed, the three-phase equipment addressed in this
document would be required to be tested according to appendix B until
such time as compliance is required with amended energy conservation
standards that rely on the SEER2 and HSPF2 metrics, should DOE adopt
such standards.
DOE is also proposing to amend the test procedures for 3-phase
ACUACs and ACUHPs with cooling capacity of less than 65,000 Btu/h and
3-phase VRF with cooling capacity of less than 65,000 Btu/h by adopting
AHRI 210/240-2023 in a new appendix B1 to subpart F of part 431. As
noted, EPCA requires DOE to amend the test procedure as necessary to be
consistent with the amended industry test procedure unless it
determines, by rule, published in the Federal Register and supported by
clear and convincing evidence, that to do so would not meet the
statutory requirements for test procedures regarding representativeness
and no undue test burden. DOE proposes to adopt the updated version of
AHRI 210/240, i.e., AHRI 210/240-2023, including the SEER2 and HSPF2
metrics. As proposed, the three-phase equipment addressed in this NOPR
would not be required to be tested using the test procedure in proposed
Appendix B1 until such time as compliance is required with amended
energy conservation standards that rely on the SEER2 and HSPF2 metrics,
should DOE adopt such standards.

D. Updates to the Federal Test Method for Central Air Conditioners and
Heat Pumps

On June 8, 2016, DOE published a test procedure final rule amending
appendix M. 81 FR 36992 (``June 2016 final rule'').\8\ DOE further
amended appendix M in a final rule, published on January 5, 2017, to
improve test repeatability, reduce testing burden, and improve the
accuracy of field representativeness of the testing values without
impacting the measured energy consumption. 82 FR 1426 (``January 2017
final rule'').
---------------------------------------------------------------------------

\8\ A correction was issued on August 18, 2016, to fix editorial
errors. 81 FR 55111.
---------------------------------------------------------------------------

The January 2017 final rule also included other changes to improve
test repeatability, reduce testing burden, and improve the accuracy of
field representativeness that would impact the results of the test
procedure. DOE established a separate appendix M1 incorporating these
changes and new metrics to avoid confusion with the metrics under
appendix M. Appendix M1 specifies new efficiency metrics SEER2, energy
efficiency ratio 2 (``EER2''), and HSPF2 that have the same definitions
as their counterpart metrics in appendix M (i.e., SEER, EER, and HSPF)
but reflect the amendments made to the test procedure in Appendix M1,
which change the measured efficiency values compared to Appendix M.
(See 82 FR 1426, 1437 (Jan. 5, 2017) explaining DOE's decision to adopt
the new metrics SEER2, EER2, and HSPF2). Beginning on January 1, 2023,
efficiency representations for single-phase central air conditioners
and central air conditioning heat pumps with rated cooling capacities
of less than 65,000 Btu/h must be based on the test procedure in
appendix M1. 82 FR 1426.
Both appendices M and M1 reference ANSI/AHRI 210/240-2008, sections
6.1.3.2, 6.1.3.4, 6.1.3.5 and figures D1, D2, D4, along with sections
of ANSI/AHRI 1230-2010 (related to VRF multi-split systems), ANSI/
ASHRAE 23.1-2010, ANSI/ASHRAE 37-2009, ANSI/ASHRAE 41.1-2013, ANSI/
ASHRAE 41.2-1987 (RA 1992), ANSI/ASHRAE 41.6-2014, ANSI/ASHRAE 41.9-
2011, ANSI/ASHRAE 116-2010, and ANSI/AMCA 210-2007.
Additionally, both the June 2016 final rule and January 2017 final
rule adopted amendments related to the certification, compliance, and
enforcement of single-phase central air conditioners and central air
conditioning heat pumps with rated cooling capacities of less than
65,000 Btu/h, codified in 10 CFR part 429. See generally, 81 FR 36992,
37049-37055 (June 8, 2016) and 82 FR 1426, 1468-1475 (Jan. 5, 2017).
The amendments included revisions to the basic model definition,
clarifications to definitions, and a variety of revisions related to
the testing requirements for determining represented values,
certification reporting requirements, and product-specific enforcement
provisions. Id.

E. Updates to Industry Standards and Proposed Test Procedures for
Three-Phase Equipment With Cooling Capacity of Less Than 65,000 Btu/h

As noted, the current DOE test procedure at 10 CFR 431.96 for 3-
phase ACUACs and ACUHPs with cooling capacity of less than 65,000 Btu/h
incorporates by reference ANSI/AHRI Standard 210/240-2008 with Addenda
1 and 2 (``ANSI/AHRI 210/240-2008,'' but omitting section 6.5). ANSI/
AHRI 210/240-2008 includes as appendix C (which is designated as
normative in the industry test standard) \9\ the entirety of the text
of appendix M as amended by a final rule published on October 22, 2007
(72 FR 59906). Appendix M provides the Federal test procedure for
determining the efficiency of single-phase central air conditioners and
central air conditioning heat pumps with rated cooling capacities of
less than 65,000 Btu/h, which are consumer products covered under 10
CFR part 430.
---------------------------------------------------------------------------

\9\ The inclusion of appendix M in a normative appendix means
that appendix M was required to be followed when testing in
accordance with ANSI/AHRI 210/240-2008.
---------------------------------------------------------------------------

The current DOE test procedure at 10 CFR 431.96 for 3-phase VRF
with cooling capacity of less than 65,000 Btu/h incorporates by
reference ANSI/AHRI Standard 1230-2010 with Addendum 1 (``ANSI/AHRI
1230-2010'', omitting sections 5.1.2 and 6.6).
As noted previously in this document, AHRI has recently published
several updated industry standards: AHRI 210/240-2017 (published in
December 2017), AHRI 210/240-2017 with Addendum 1 (published in April
2019), and AHRI 210/240-2023 (published in May 2020). DOE has reviewed
these documents in the development of this NOPR. In addition, AHRI has
recently published AHRI 1230-2021 (published in May 2021).
As discussed in the following sections, DOE is proposing to
incorporate by reference AHRI 210/240-2023 as the test procedure for
the three-phase equipment addressed in this document. As proposed,
manufacturers would not be required to rely on the amended test
procedure incorporating AHRI 210/240-2023 until such time as compliance
is required with amended standards in terms of the new metrics, SEER2
and HSPF2, should DOE adopt such energy conservation standards. This
proposed test procedure update would align with the test procedure and
metrics for central air conditioners and heat pumps specified at
appendix M1. DOE is also proposing to incorporate by reference ANSI/
ASHRAE 37-2009, which is referenced by AHRI 210/240-2023.
1. Harmonization With Single-Phase Products
In the October 2018 RFI, DOE stated that the three-phase equipment
at issue

[[Page 70322]]

is often nearly identical to their single-phase counterparts. 83 FR
49501, 49504 (Oct. 2, 2018). Specifically, three-phase models generally
are manufactured on the same production lines and are physically
identical to their corresponding single-phase central air conditioner
and central air conditioning heat pump models except the former have
three-phase electrical systems and use components, primarily motors and
compressors, that are designed for three-phase power input. Id. Other
key operational components, such as heat exchangers and fans (excluding
fan motors), are typically identical for three-phase and single-phase
designs of a given model family. Id. In addition, most manufacturers'
model numbers for single-phase products and three-phase equipment are
interchangeable, and three-phase and single-phase versions of the same
model have the same energy efficiency ratings. See, e.g., 80 FR 42614,
42622 (July 17, 2015), and 83 FR 49501, 49504 (Oct. 2, 2018).
The October 2018 RFI raised the question of whether DOE should
align its test procedure for 3-phase ACUACs and ACUHPs with cooling
capacity of less than 65,000 Btu/h with the test procedure for single-
phase central air conditioners and central air conditioning heat pumps
with a cooling capacity of less than 65,000 Btu/h. DOE requested
comments and information on the merits of referencing the current
version of appendix M, or some portion thereof, for the three-phase
systems at issue versus the merits of referencing the updated AHRI 210/
240-2017, which reflects the updated appendix M. 83 FR 49501, 49504
(Oct. 2, 2018).
DOE notes that the October 2018 RFI did not discuss 3-phase VRF
with cooling capacity of less than 65,000 Btu/h, as AHRI had not
updated the scope of its industry standards for this equipment at that
time. As previously noted in this document, this equipment does not
currently exist on the market; however, DOE expects that any such
equipment introduced to the market in the future would--for the same
reasons discussed earlier--presumably be nearly identical to its
single-phase counterparts, which are a subset of single-phase central
air conditioners and central air conditioning heat pumps with a cooling
capacity of less than 65,000 Btu/h.
In response to the October 2018 RFI, all commenters supported
harmonizing the test procedures for both 3-phase ACUACs and ACUHPs with
cooling capacity of less than 65,000 Btu/h, and single-phase central
air conditioners and central air conditioning heat pumps with a cooling
capacity of less than 65,000 Btu/h.\10\ (CA IOUs, No. 2 at pp. 1-2;
Ingersoll Rand, No. 3 at p. 2; AHRI, No. 4 at pp. 1-2; NRDC and ASAP,
No. 5 at pp. 1-2; Lennox, No. 6 at pp. 1-2; Carrier, No. 7 at p. 1;
Goodman, No. 8 at pp. 1-3) Specifically, AHRI, Lennox, Carrier, and
Goodman supported harmonizing the two test procedures by referencing
the industry standard. (AHRI, No. 4 at p. 2; Lennox, No. 6 at pp. 1-2;
Carrier, No. 7 at p. 1; Goodman, No. 8 at p. 2) Lennox noted that EPCA
requires that the test procedure for this equipment be those generally
accepted industry test procedures. (Lennox, No. 6 at p. 1) Others,
however, suggested that DOE harmonize the two test procedures by
adopting appendix M. (CA IOUs, No. 2 at p. 2; NRDC and ASAP, No. 5 at
pp. 1-2) CA IOUs suggested that DOE reference DOE's own regulatory
text, and NRDC and ASAP preferred this approach to ensure consistency
and transparency. (CA IOUs, No. 2 at p. 2; NRDC and ASAP, No. 5 at p.
2) Ingersoll Rand agreed that harmonization of the test procedures is
advantageous and reduces burden, but did not specify which test
procedure DOE should reference. (Ingersoll Rand, No. 3 at p. 2)
---------------------------------------------------------------------------

\10\ All comments are available at <a href="http://www.regulations.gov">www.regulations.gov</a>, in
Docket No. EERE-2017-BT-TP-0031.
---------------------------------------------------------------------------

Beginning January 1, 2023, Appendix M1 specifies that single-phase
central air conditioners and central air conditioning heat pumps must
be tested according to appendix M1. The version of AHRI 210/240
available at the time of the October 2018 RFI publication, AHRI 210/
240-2017, does not contain updates to account for the more recent
changes contained in appendix M1. DOE noted in the October 2018 RFI
that AHRI intended to address appendix M1, by revising AHRI 210/240-
2017. In the October 2018 RFI, DOE requested comment on the
appropriateness of testing 3-phase ACUACs and ACUHPs with cooling
capacity of less than 65,000 Btu/h according to appendix M1. 83 FR
49501, 49504-49505 (Oct. 2, 2018).
Carrier, Goodman, and AHRI urged DOE to wait until AHRI finishes
updating AHRI 210/240 to reference the version that would include both
appendix M1 and appendix M. (Carrier, No. 7 at p. 2; Goodman, No. 8 at
pp. 1-2; AHRI, No. 4 at p. 2) The CA IOUs supported several changes
that were made as part of appendix M1, including changes to the coil-
only test, new external duct static pressure ratings, and the heating
load line increase for heat pump HSPF tests. (CA IOUs, No. 2 at p. 2)
The CA IOUs stated that by including these changes that were made to
appendix M1, three-phase equipment should be subject to the same
requirements as single-phase equipment. (Id.) NRDC and ASAP supported
adopting appendix M1 for three-phase equipment and noted that applying
appendix M1 in the future along with revised standards will maximize
consistency and minimize testing burden. (NRDC and ASAP, No. 5 at p. 2)
Lennox agreed with DOE that if DOE adopts the AHRI procedure, it would
not conflict with appendix M or appendix M1 and would be highly
unlikely to impact measured efficiency as compared to appendix M.
(Lennox, No. 6 at p. 2)
DOE is proposing to align the test procedures for 3-phase ACUACs
and ACUHPs with cooling capacity of less than 65,000 Btu/h and for 3-
phase VRF with cooling capacity of less than 65,000 Btu/h with the test
procedure at appendix M1 for central air conditioners, by adopting AHRI
210/240-2023. As discussed in section III.E.2.b of this NOPR, AHRI 210/
240-2023 harmonizes with the updated Federal test method for single-
phase central air conditioners and central air conditioning heat pumps
(i.e., appendix M1).
DOE also considered whether to harmonize the current test
procedures for the three-phase equipment addressed in this document
with appendix M. However, the required 360-day compliance lead-time
period for test procedure final rules for ASHRAE equipment specified in
EPCA (42 U.S.C. 6314(d)(1)) would result in little to no time between
the compliance date of the final rule for this test procedure
rulemaking and January 1, 2023--when appendix M1 is required for
testing central air conditioners and heat pumps (and when appendix M
will no longer be used). Therefore, DOE has tentatively concluded that
there would be little practical benefit to harmonizing the test
procedures for the three phase-equipment addressed in this document
with the current test procedures for central air conditioners and heat
pumps at appendix M. Further, as described in the following sub-
sections, DOE has identified errors in AHRI 210/240-2017 with Addendum
1 that DOE has tentatively determined would need to be corrected in
regulatory text, if DOE adopted AHRI 210/240-2017 with Addendum 1.
In the October 2018 RFI, DOE solicited comment on any other aspect
of its current test procedure for 3-phase ACUACs and ACUHPs with
cooling capacity of less than 65,000 Btu/h. 83 FR 49501, 49505 (Oct. 2,
2018). The CA IOUs and NRDC and ASAP

[[Page 70323]]

recommended that DOE begin developing a dynamic load-based test
procedure for both three-phase and single-phase equipment for the next
rulemaking cycle. (CA IOUs, No. 2 at p. 3; NRDC and ASAP, No. 5 at p.
2) These commenters noted that work on a Canadian Standards Association
Express Document (``CSA EXP07'') has begun the development of a
dynamic, load-based test procedure, and that DOE should start
investigating a dynamic, load-based test, similar to the test procedure
being developed by the CSA Group (CSA EXP07 Public Review Draft/
September 2017). (CA IOUs, No. 2 at p. 3; NRDC and ASAP, No. 5 at p.
2). DOE notes that it is reviewing documents from the CSA EXP07
development process (e.g., the public review draft and the more
recently published ``Express Document'' CSA EXP07:19) and participating
in stakeholder efforts, such as the Next Generation Test Method working
group (convened by the American Council for an Energy-Efficient
Economy), to evaluate load-based, dynamic test methods.\11\
---------------------------------------------------------------------------

\11\ A dynamic load-based test method differs from the steady-
state test method currently used in DOE test procedures for air
conditioning and heat pump equipment. In a steady-state test method,
the indoor room is maintained at a constant temperature throughout
the test. In this type of test, any variable-speed or variable-
position components of air conditioners and heat pumps are set in a
fixed position, which is typically specified by the manufacturer. In
contrast, a dynamic load-based test has the conditioning load
applied to the indoor room using a load profile that approximates
how the load varies for units installed in the field. In this type
of test, an air conditioning system or heat pump is allowed to
automatically determine and vary its control settings in response to
the imposed conditioning loads, rather than relying on manufacturer-
specified settings.
---------------------------------------------------------------------------

2. AHRI 210/240
a. AHRI 210/240-2017 and AHRI 210/240-2017 With Addendum 1
Many of the revisions in AHRI 210/240-2017 are intended to
harmonize the industry test procedure with the updated Federal test
method for single-phase central air conditioners and central air
conditioning heat pumps with rated cooling capacities of less than
65,000 Btu/h (i.e., appendix M). AHRI 210/240-2017 does not contain the
text of appendix M in a normative appendix (as is the case in Appendix
C of ANSI/AHRI 210/240-2008) and instead integrates requirements
consistent with appendix M throughout the standard.\12\ AHRI 210/240-
2017 also includes additional updates beyond integrating the revised
appendix M.\13\
---------------------------------------------------------------------------

\12\ For example, AHRI 210/240-2017 includes an updated table of
required tests (Table 7), as well as provisions related to off-mode
power.
\13\ For example, AHRI 210/240-2017 has stricter requirements
for heat balance and charge weight tolerance than appendix M. AHRI
210/240-2017 also includes a detailed calculation section that is
based on ANSI/ASHRAE 37 and ANSI/ASHRAE 116.
---------------------------------------------------------------------------

AHRI 210/240-2017 with Addendum 1 includes further updates. These
include: Additional and revised definitions (Section 3); new provisions
regarding multi-split systems, oil recovery, and refrigerant line
length correction factors (Section 5); specified tolerances and tests
required for different product types provided in Table 7 and Table 8
(Section 6); specified distinctions for total, net, cooling, and
heating capacity (Sections 7, 11, 12, and Appendix C) along with
multiple calculation updates (Section 11); revised testing requirements
for systems with a cooling expansion device in the outdoor unit
(Appendix D); reduction in the nominal overall resistance (i.e., R-
value) of the thermal insulation for indoor coil inlet and outlet duct
connections and inclusion of provisions for sampling devices and dew-
point hygrometers (Appendix E); and a new appendix that refers to
forthcoming changes to the industry standard to address the test
procedure in appendix M1 (Appendix K).
While DOE understands that AHRI 210/240-2017 and AHRI 210/240-2017
with Addendum 1 were intended to harmonize with the Federal test
procedure for central air conditioners and heat pumps (appendix M), DOE
has identified errors and substantive differences from appendix M in
both industry test standards. Specifically, DOE has identified the
following issues:
<bullet> In Section 11 (``Calculations'') of AHRI 210/240-2017 with
Addendum 1: (1) Multiple formulas have typographical errors; \14\ (2)
multiple formulas are inapplicable; \15\ and (3) the section does not
include any specification for the calculation of efficiency metrics for
certain equipment subtypes: Units with variable-air-volume fans;
multiple-indoor blowers; and Northern triple-capacity heat pumps (this
issue is also present in AHRI 210/240-2017).
---------------------------------------------------------------------------

\14\ For example, in Equation 11.64 in Section 11.2.1.2 of AHRI
210/240-2017 with Addendum 1, the denominator of the second term
(enclosed in braces) should read ``95-82'' instead of ``95-8''.
\15\ For example, Equation 11.187 in Section 11.2.2.3 of AHRI
210/240-2017 with Addendum 1 is not applicable, given that linear
interpolation is used to determine COP at intermediate compressor
speed for units with a variable-speed compressor.
---------------------------------------------------------------------------

<bullet> In Section 5 (``Test Requirements''), in Appendix D
(``Secondary Capacity Check Requirements--Normative''), and in Appendix
E (``ANSI/ASHRAE Standard 37 Clarifications/Exceptions'') of AHRI 210/
240-2017 with Addendum 1, there are multiple inconsistencies with
appendix M (many of which are also present in AHRI 210/240-2017), such
as the following: (1) Section 5 references the wrong table for testing
tolerances for cyclic testing (i.e., references ``Table 11'' in Section
5.2.4 Cycle Stability Requirements, rather than Table 3b of ASHRAE
Standard 116); and (2) Section D7.6.4 specifies more burdensome
condition tolerances than appendix M for the ``Closed Duct test'' of
the outdoor air enthalpy method.\16\
---------------------------------------------------------------------------

\16\ Section D7.6.4 of AHRI 210/240-2017 with Addendum 1
specifies condition tolerances for indoor and outdoor entering air
dry-bulb and wet-bulb tolerances (the target temperature for each is
the average value measure during the free air test (``FA'') test).
For each of these temperatures, the tolerance specified in Section
D7.6.4 is half the condition tolerance specified in Table 9 of
appendix M (e.g., for indoor entering dry-bulb temperature, Table 9
of appendix M specifies a condition tolerance of 0.5 [deg]F, while
Section 7.6.4.1 specifies a condition tolerance of 0.25 [deg]F).
---------------------------------------------------------------------------

As noted, EPCA requires that the test procedure for 3-phase ACUACs
and ACUHPs with cooling capacity of less than 65,000 Btu/h be the
generally accepted industry testing procedure developed or recognized
by AHRI or by ASHRAE, as referenced in ASHRAE Standard 90.1. (42 U.S.C.
6314(a)(4)(A)) Further, when the industry test procedure is amended,
DOE must amend its test procedure to be consistent with the amended
industry test procedure, unless DOE determines, by rule published in
the Federal Register and supported by clear and convincing evidence,
that such amended test procedure would not meet the requirements in 42
U.S.C. 6314(a)(2) and (3) related to representative use and test
burden. (42 U.S.C. 6314(a)(4)(B))
DOE tentatively determines that significant deviations in
regulatory text would be needed to correct errors in the referenced
industry test standard (e.g., correcting and adding certain formulas,
correcting test tolerances for cyclic testing) if AHRI 210/240-2017 or
AHRI 210/240-2017 with Addendum 1 were to be adopted in the Federal
test procedure for 3-phase ACUACs and ACUHPs with cooling capacity of
less than 65,000 Btu/h. Additionally, without further deviations in the
regulatory text, testing to AHRI 210/240-2017 or AHRI 210/240-2017 with
Addendum 1 would still not align with appendix M, because, as
discussed, there are discrepancies between the industry test standards
and appendix M.
Further, as discussed, there would be minimal, if any, practical
benefit from

[[Page 70324]]

harmonizing the test procedure for 3-phase ACUACs and ACUHPs with
cooling capacity of less than 65,000 Btu/h with the test procedure for
single-phase products at appendix M, given that the applicability of
appendix M for determining compliance of central air conditioners will
end January 1, 2023, and it is unlikely that a compliance date for a
final rule for this rulemaking, which would be 360 days after final
rule publication if a final rule is issued, would precede January 1,
2023 by any significant amount of time.
For these reasons, DOE has tentatively concluded that adopting a
revised test procedure (i.e., referencing AHRI 210/240-2017 or AHRI
210/240-2017 with Addendum 1, along with the substantive corrections
and deviations that would be required) for 3-phase ACUACs and ACUHPs
with cooling capacity of less than 65,000 Btu/h would be unduly
burdensome to manufacturers. DOE considers the reasoning discussed in
the paragraphs above to constitute clear and convincing evidence that
adopting AHRI 210/240-2017 or AHRI 210/240-2017 with Addendum 1 would
not meet the requirements specified in 42 U.S.C. 6314(a)(2).
As such, DOE proposes to maintain the current test procedure for 3-
phase ACUACs and ACUHPs with cooling capacity of less than 65,000 Btu/
h, which incorporates by reference ANSI/AHRI 210/240-2008, until such
time as compliance with the amended test procedure referencing AHRI
210/240-2023 would be required.
Issue 1: DOE seeks comment on its proposal to maintain reference to
ANSI/AHRI 210/240-2008 with Addenda 1 and 2 as the Federal test
procedure for 3-phase ACUACs and ACUHPs with cooling capacity of less
than 65,000 Btu/h, until such time as compliance would be required with
the amended test procedure referencing AHRI 210/240-2023.
b. AHRI 210/240-2023
DOE notes that AHRI 210/240-2023 generally corrects the errors in
AHRI 210/240-2017 with Addendum 1 and harmonizes with the updated
Federal test method for single-phase central air conditioners and
central air conditioning heat pumps with rated cooling capacities of
less than 65,000 Btu/h (i.e., appendix M1, effective January 1, 2023),
which includes single-phase, air-cooled, VRF multi-split systems with a
cooling capacity of less than 65,000 Btu/h. The industry standard
updates the performance metrics to EER2, SEER2 and HSPF2. Significant
changes related to the new efficiency metrics include higher minimum
external static pressure (``ESP'') requirements for conventional
systems (Table 10) and changes in the building heating load line for
HSPF2 (Section 11). Additional changes in AHRI 210/240-2023 to align
with appendix M1 include the addition of: (1) Minimum ESP requirements
in Table 10 for varieties of ducted blower systems specified in
appendix M1 (i.e., ceiling- and wall-mount, mobile home, and low/mid
static); (2) a separate unit configuration of single stage system with
a single variable-speed variable-air-volume blower or multiple indoor
blowers in Table 7; and (3) the optional H4 test (i.e., the full-load
heating test at 5 [deg]F ambient temperature) in Table 7. These changes
apply for testing of both 3-phase ACUACs and ACUHPs with cooling
capacity of less than 65,000 Btu/h and 3-phase VRF with cooling
capacity of less than 65,000 Btu/h.
In addition, AHRI 210/240-2023 reflects and is consistent with
DOE's appendix M1, which will be the required test procedure for
single-phase central air conditioners and central air conditioning heat
pumps with capacities of less than 65,000 Btu/h beginning January 1,
2023. No commenters suggested that the test procedure in appendix M1
would be inappropriate for the testing of three-phase equipment.
As discussed, the updates contained in AHRI 210/240-2023 provide
for measuring energy efficiency using the SEER2 and HSPF2 metrics,
which are the metrics adopted by ASHRAE Standard 90.1-2019 for the 3-
phase ACUACs and ACUHPs with cooling capacity of less than 65,000 Btu/h
standards beginning January 1, 2023.\17\ In response to this update to
AHRI 210/240, DOE proposes to incorporate AHRI 210/240-2023 as the test
procedure with which representations must be made beginning with the
compliance date of any amended DOE standards for three-phase equipment
relying on SEER2 and HSPF2 as the metrics.\18\
---------------------------------------------------------------------------

\17\ ASHRAE 90.1-2019 did not update the metrics for air-cooled,
three-phase, variable refrigerant flow air conditioners and heat
pumps with a cooling capacity of less than 65,000 Btu/h. Those
metrics remain SEER and HSPF in ASHRAE Standard 90.1.
\18\ The timing and implementation of any amended standards may
be different for air-cooled, three-phase, small commercial package
air conditioning and heating equipment with a cooling capacity of
less than 65,000 Btu/h and for air-cooled, three-phase variable
refrigerant flow air conditioners and heat pumps with a cooling
capacity of less than 65,000 Btu/h, depending on DOE rulemaking
related to energy conservation standards for those separate
categories of equipment.
---------------------------------------------------------------------------

Harmonization of the test procedures would provide for more
comparable information between three-phase equipment and single-phase
products. Commercial customers considering either single-phase or
three-phase equipment would have ratings for both sets of equipment
that are based on identical testing requirements when evaluating
product options. Because AHRI 210/240-2023 aligns with appendix M1, the
proposed incorporation of this industry testing procedure for the
three-phase equipment at issue would produce comparable ratings between
single-phase and three-phase equipment (as discussed in section III.E.1
of this NOPR). Consequently, DOE has tentatively concluded that this
proposed test procedure would not be unduly burdensome to conduct.
Only certain sections of AHRI 210/240-2023 apply to the DOE test
procedures for the three-phase equipment that is the subject of this
NOPR. Therefore, DOE is proposing to reference AHRI 210/240-2023 in the
proposed test procedure at appendix B1 except for the following
sections:
<bullet> Section 6--Rating Requirements (these provisions are not
related to the method of test and DOE separately addresses these topics
in 10 CFR part 429):
[cir] Sections 6.1.8, 6.4.1, 6.4.2, 6.4.3, 6.4.4 (minimum testing
and certification requirements);
[cir] Sections 6.2 and 6.4.6 (permit a given product to have
multiple ratings of different values);
[cir] Section 6.5 (uncertainty allowances for testing, which are
not relevant to the Federal test procedure);
<bullet> Sections 7 through 10, Appendix C, and Appendix I (these
are relevant only to AHRI's certification program);
<bullet> Appendix F: Sections F15.2 and F17 (these pertain to
electrical measurements and cyclic tolerances, respectively; DOE
proposes modifications as discussed in the following paragraphs);
<bullet> Appendix G (pertains to configuration of the unit under
test, discussed in the following paragraphs);
<bullet> Appendix H (pertains to Off-Mode testing, which is not
required by DOE for three-phase equipment).
Regarding energy measurement provisions, section 2.8 of appendix M
requires that the watt-hour (i.e., ``W[middot][hairsp]h'', also
referred to as ``integrated power'' or ``energy'') measuring system
give readings that are accurate to within <plus-minus>0.5 percent. In
response to the October 2018 RFI, Carrier recommended that section
2.8.a of appendix M be revised to include a lower limit (i.e.,
``greater of 0.5 percent of reading or 0.5 watts''), stating that,
without a lower limit, compliance

[[Page 70325]]

with this requirement at times of low power (e.g., during an OFF cycle)
can be difficult for single-phase equipment and possibly unrealistic
for three-phase equipment. (Carrier, No. 7 at p. 2) Section F15.2 of
AHRI 210/240-2023 addresses Carrier's concern by adding a lower limit,
stating that the ``watt-hour measurement system shall be accurate
within <plus-minus>0.5 percent or 0.5 W/h, whichever is greater''.
However, Section F15.2 of AHRI 210/240-2023 specifies incorrect units
of measurement and should refer to watt hours (W[middot][hairsp]h)
(consistent with the first words of Section F15.2) rather than to ``W/
h''. Therefore, DOE proposes not to reference Section F15.2, and
instead to adopt similar provisions in section 3 of appendix B1 that
correct the units of measurement to W[middot][hairsp]h.
Regarding cyclic test tolerances, Section F17 of AHRI 210/240-2023
appears to incorrectly reference ASHRAE 37 Table 2b for cyclic test
operating and condition tolerances. ASHRAE 37 Table 2b does not specify
tolerances specific to cyclic testing. Instead, as specified in
footnote 1 to Table 8 of AHRI 210/240-2023, the tolerances in ASHRAE
Standard 116 Table 3b (titled ``Test Tolerances for Cyclic Performance
Tests'') should be used for cyclic testing. Therefore, DOE proposes not
to reference Section F17, and instead to adopt similar provisions in
section 4 of appendix B1 that do not reference ASHRAE 37 test
tolerances.
Regarding Appendix G, currently enforcement testing of 3-phase
ACUACs and ACUHPs with cooling capacity of less than 65,000 Btu/h and
3-phase VRF with cooling capacity of less than 65,000 Btu/h falls under
DOE's Commercial HVAC Enforcement Policy,\19\ which outlines how
certain features of this equipment will be treated for compliance
testing. In Appendix G of AHRI 210/240-2023, AHRI included a list of
components that must be present for testing (Section G1.2) and a list
of features that are optional for testing (Section G2), which provides
additional instruction to address certain of these features and
additional details that are beyond the scope of the current Commercial
HVAC Enforcement Policy. Also, there are five features \20\ that are
included in the Commercial HVAC Enforcement Policy for 3-phase ACUACs
and ACUHPs with cooling capacity of less than 65,000 Btu/h that are not
included in Section G2 of AHRI 210/240-2023.
---------------------------------------------------------------------------

\19\ The enforcement policy for commercial HVAC equipment can be
found at <a href="http://www.energy.gov/gc/downloads/commercial-equipment-testing-enforcement-policies">www.energy.gov/gc/downloads/commercial-equipment-testing-enforcement-policies</a>.
\20\ These five features are high-static indoor blower or
oversized motor; desuperheaters; outdoor fan with Variable Frequency
Drive (``VFD''); indoor fan with VFD; and compressor with VFD.
---------------------------------------------------------------------------

DOE has reviewed the market for 3-phase ACUACs and ACUHPs with
cooling capacity of less than 65,000 Btu/h in connection with the
specific treatment of components and optional features suggested in
Appendix G of AHRI 210/240-2023. DOE found that certain optional
features listed in Section G2 (as well as certain features that are
included in DOE's current Commercial HVAC Enforcement Policy but not
included in Section G2 of AHRI 210/240-2023) are present in models of
3-phase ACUACs and ACUHPs with cooling capacity of less than 65,000
Btu/h. However, these same features are also present in models of
single-phase central air conditioners and central air conditioning heat
pumps with cooling capacity of less than 65,000 Btu/h. As discussed in
section III.E.1, in response to the October 2018 RFI, all commenters
supported fully harmonizing the test procedures for both 3-phase ACUACs
and ACUHPs with cooling capacity of less than 65,000 Btu/h and single-
phase central air conditioners and central air conditioning heat pumps
with a cooling capacity of less than 65,000 Btu/h, which aligns with
the proposals in this NOPR. DOE's Commercial HVAC Enforcement Policy
does not apply to single-phase products and appendix M and M1 do not
include any special treatment for these optional features within the
test procedure. In addition, DOE has not received any waivers related
to these features and DOE does not have technical justification to
support differential treatment of such features for three-phase
equipment as compared to single-phase products. As such, DOE has
tentatively determined that any of these features present in 3-phase
ACUACs and ACUHPs with cooling capacity of less than 65,000 Btu/h can
also be tested in accordance with the proposed test procedure and that
to maintain harmonization with single-phase products, it is not
necessary or appropriate to adopt Appendix G of AHRI 210/240-2023 as
part of DOE's test procedure. While there are currently no models on
the market of 3-phase VRF with cooling capacity of less than 65,000
Btu/h, DOE expects that, if there were, the same tentative
determination would apply for the same reasons. Were DOE to adopt the
proposals in this NOPR, DOE would rescind the Commercial HVAC
Enforcement Policy to the extent that it is applicable to 3-phase
ACUACs and ACUHPs with cooling capacity of less than 65,000 Btu/h and
3-phase VRF with cooling capacity of less than 65,000 Btu/h. DOE notes
that all models (with or without any specific feature) may be tested by
DOE at any time under DOE's current authorities if such a model is
distributed in commerce in the U.S.
Issue 2: DOE seeks comment on its proposal to incorporate by
reference AHRI 210/240-2023 in the DOE test procedure for 3-phase
ACUACs and ACUHPs with cooling capacity of less than 65,000 Btu/h and
3-phase VRF with cooling capacity of less than 65,000 Btu/h. DOE also
seeks comment on its proposal to require compliance with this test
procedure on the compliance date of any amended energy conservation
standards that DOE may decide to adopt later as part of a future
rulemaking.
3. AHRI 1230
In May 2021, AHRI published AHRI 1230-2021, which excludes from its
scope 3-phase VRF with cooling capacity of less than 65,000 Btu/h. As
such, in this NOPR, DOE is considering revisions based on updated
versions of AHRI 210/240 only, as AHRI 1230-2021 by its explicit terms
is not applicable to the equipment considered in this NOPR.
As discussed, DOE is proposing to reference AHRI 210/240-2023 for
testing 3-phase VRF with cooling capacity less than 65,000 Btu/h. As
proposed, the current Federal test procedure for this equipment (which
references ANSI/AHRI 1230-2010), would remain the required test
procedure until DOE decides to adopt amended energy conservation
standards for this equipment.
4. ASHRAE 37
ANSI/ASHRAE Standard 37, which provides a method of test for many
categories of air conditioning and heating equipment, is referenced for
testing by all versions of AHRI Standards 210/240 and 1230. Appendix E
of AHRI 210/240-2023 provides additional instruction and exceptions
regarding the application of the test methods specified in ANSI/ASHRAE
37-2009. ANSI/ASHRAE 37-2009 is referenced in ANSI/AHRI 1230-2010,
which is currently the referenced industry test standard in the DOE
test procedure for VRF multi-split systems. ANSI/ASHRAE 37-2005 is
referenced by ANSI/AHRI 210/240-2008, which is currently the referenced
industry test standard in the DOE test procedure for 3-phase ACUACs and
ACUHPs with cooling capacity of less than 65,000 Btu/h.
Given the use of ANSI/ASHRAE 37-2009 when testing according to AHRI
210/240-2023, DOE is proposing to

[[Page 70326]]

reference ANSI/ASHRAE 37-2009 in its test procedure for 3-phase ACUACs
and ACUHPs with cooling capacity of less than 65,000 Btu/h and 3-phase
VRF with cooling capacity of less than 65,000 Btu/h. Specifically, in
the proposed appendix B1, DOE is proposing to reference the applicable
sections of ANSI/ASHRAE 37-2009--i.e., all sections except sections 1,
2 and 4.\21\
---------------------------------------------------------------------------

\21\ DOE is proposing to exclude reference to Section 1
(``Purpose), Section 2 (``Scope''), and Section 4
(``Classifications'') in ANSI/ASHRAE 37-2009 to avoid any
potentially contradictory requirements with DOE regulations.
---------------------------------------------------------------------------

F. Certification, Compliance, and Enforcement Requirements

In the October 2018 RFI, DOE also requested comment on whether the
general structure and language related to its certification,
compliance, and enforcement requirements for three-phase equipment in
10 CFR part 429 should mirror the structure and language of
certification, compliance, and enforcement requirements for single-
phase products already found in 10 CFR part 429. 83 FR 49501, 49505
(Oct. 2, 2018). DOE noted in the October 2018 RFI that AHRI 210/240-
2017 included many updates to mirror these requirements, which apply to
both single-phase products and three-phase equipment. Id.
CA IOUs, Ingersoll Rand, and NRDC and ASAP supported adopting the
certification, compliance, and enforcement requirements for single-
phase systems and applying them to three-phase systems. (CA IOUs, No. 2
at p. 2; Ingersoll Rand, No. 3 at p. 2; NRDC and ASAP, No. 5 at p. 2)
AHRI stated that single-phase reporting requirements are significantly
more onerous than what has historically been reported, and that the
reporting requirements for both consumer and commercial products should
be simplified. (AHRI, No. 4 at p. 2) Carrier supported harmonizing
three-phase and single-phase requirements in 10 CFR part 429, stating
that while the single-phase reporting requirements are significantly
more onerous than what has historically been reported, aligning the
reporting for the residential and commercial products is the simplest
way to reduce manufacturer burden. (Carrier, No. 7 at p. 2)
After reviewing the comments, and given that AHRI has updated
Standard 210/240 to include many of the requirements found in 10 CFR
429.16, DOE proposes to amend its representation requirements for 3-
phase ACUACs and ACUHPs with cooling capacity of less than 65,000 Btu/h
and for 3-phase VRF with cooling capacity of less than 65,000 Btu/h by
applying certain requirements currently applicable to single-phase
central air conditioners and central air conditioning heat pumps
(currently specified at 10 CFR 429.16 and 10 CFR 429.70(e)).\22\ DOE is
not proposing to amend its certification reporting requirements for the
three-phase equipment that is the subject of this NOPR.
---------------------------------------------------------------------------

\22\ DOE notes that these single-phase requirements are
consistent with a consensus recommendation made by the Central Air
Conditioners and Heat Pumps Working Group of the Appliance Standards
and Rulemaking Federal Advisory Committee. (See CAC/HP Term Sheet,
Docket No. EERE-2014-BT-STD-0048, No. 0076, Recommendation #7.)
---------------------------------------------------------------------------

DOE is proposing to amend the basic model definition and product-
specific enforcement provisions for the three-phase equipment specified
at 10 CFR 431.92 and 10 CFR 429.134, respectively, to align with the
provisions for single-phase products.
Harmonizing the representation requirements for three-phase
equipment with the representation requirements for single-phase
products, as discussed, would not increase manufacturer burden as
compared to industry practice under the industry certification program.
Further, these proposals would not apply until such time as DOE amends
the energy conservation standards for this equipment to rely on SEER2
and HSPF2. Therefore, these proposals would not impose an undue burden
on manufacturers. DOE's proposals are discussed in detail in the
following sub-sections.
1. Representation Requirements
As discussed, DOE is proposing to amend certain representation
requirements for the three-phase equipment addressed by this NOPR, to
align with their single-phase counterparts. As part of this proposal,
DOE is proposing to relocate its representation and certification
requirements for three-phase equipment. Specifically, DOE is proposing
that the representation and certification requirements for this three-
phase equipment would be included in a new section 10 CFR 429.64 and
excluded from the scope of 10 CFR 429.43. DOE is also proposing to
establish a new section 10 CFR 429.70(i) for alternative energy
determination method (``AEDM'') requirements that would apply to the
three-phase equipment addressed in this NOPR. As proposed,
manufacturers would not be required to comply with the amended
representation requirements, if made final, until such time that
amended standards are established that would require compliance with
amended energy conservation standards that rely on SEER2 and HSPF2 (as
applicable).
In particular, 10 CFR 429.43, which is applicable to commercial
heating, ventilating, and air conditioning equipment, requires
determination of the represented value for each basic model through
either testing or by applying an AEDM, and 10 CFR 429.70(c)(2)(iv)
specifies that each AEDM must be validated by testing at least two
basic models. Under 10 CFR 429.16, which is applicable to central air
conditioners and central air conditioning heat pumps, determination of
represented values is based on each individual model or combination
(rather than for each basic model), and generally requires a minimum
level of testing for each basic model. For all basic models except
outdoor units with no match and multi-split systems, multi-circuit
systems, and multi-head mini-split systems, represented values for
individual models or combinations other than those required to be
tested may be determined by using an AEDM in accordance with 10 CFR
429.70(e), with no additional testing required to validate the AEDM
beyond the minimum testing required by 10 CFR 429.16. For outdoor units
with no match and multi-split systems, multi-circuit systems, and
multi-head mini-split systems, 10 CFR 429.16 contains additional
requirements for determining represented values.
Through its newly proposed provisions in 10 CFR 429.64 and 10 CFR
420.70(i), DOE would mirror the representation requirements in 10 CFR
429.16 and 10 CFR 429.70(e), except for the minimum testing
requirements and certain AEDM validation requirements for each basic
model of single-package unit and single-split systems. As discussed, 10
CFR 429.16 for central air conditioners and central air conditioning
heat pumps generally requires testing for every basic model. For 3-
phase equipment, DOE proposes in 10 CFR 429.64 to generally maintain
the current approach that not all basic models of three-phase, less
than 65,000 Btu/h single-package units and single split-systems must be
tested. The following paragraphs describe in further detail DOE's
proposal that would allow a manufacturer to use an AEDM for rating all
basic models of three-phase, less than 65,000 Btu/h single-package
units and single split-systems in the case that the manufacturer rates
all models with AEDMs validated with testing of otherwise identical
single-phase models (i.e., no testing of 3-phase equipment required),
and would require testing of only two basic models of 3-

[[Page 70327]]

phase equipment in other cases (e.g., manufacturers that do not rate
with an AEDM validated with testing of an otherwise identical single-
phase model).
DOE has initially determined that an AEDM validated pursuant to 10
CFR 429.70(e) would also be appropriate for rating basic models of
three-phase, less than 65,000 Btu/h single-package units and single
split-systems that have otherwise identical single-phase counterparts.
Specifically, DOE understands that the vast majority of three-phase
equipment with a cooling capacity of less than 65,000 Btu/h has an
otherwise identical single-phase consumer product counterpart offered
by the same manufacturer, thus providing comparable performance between
single-phase products and three-phase equipment with a cooling capacity
of less than 65,000 Btu/h. Further, DOE has tentatively concluded that
any slight differences in performance between single-phase and three-
phase models (e.g., minor differences in compressor performance
depending on the electrical phase of the compressor motor) are well
understood and can be accounted for within an AEDM (e.g., slightly
different compressor coefficients used to model performance for single-
phase vs three-phase compressors), rather than requiring testing of
three-phase models. Therefore, DOE has tentatively determined that for
three-phase, less than 65,000 Btu/h single-package units and single
split-systems with otherwise identical single-phase counterparts,
ratings developed using an AEDM validated with the testing of otherwise
identical single-phase central air conditioners and heat pumps would be
no less representative than ratings developed using an AEDM validated
with the testing of three-phase, less than 65,000 Btu/h equipment.
As such, for three-phase, less than 65,000 Btu/h single-package
units and single split-systems, DOE proposes in 10 CFR 429.70(i)(2) to
permit a manufacturer to rely on an AEDM for central air conditioners
and heat pumps that is validated in accordance with 10 CFR 429.70(e)(2)
with testing of otherwise identical single-phase counterparts, without
additional validation testing.\23\ If a manufacturer offers three-phase
models that do not have otherwise identical single-phase counterparts,
or the manufacturer has not validated an AEDM in accordance with 10 CFR
429.70(e)(2) with testing of the otherwise identical single-phase
counterparts, the manufacturer would be required to test a single unit
sample for each of two basic models to validate an AEDM, consistent
with the existing requirements for all capacities of three-phase
equipment. DOE expects that this case would arise only for a small
number of manufacturers who do not produce otherwise identical single-
phase and three-phase equipment, but instead manufacture a line of
commercial three-phase equipment that includes equipment below DOE's
65,000 Btu/h capacity boundary.
---------------------------------------------------------------------------

\23\ While the AEDM would not need additional validation
testing, it would need to reflect the slight difference in
performance between single-phase and three-phase components.
---------------------------------------------------------------------------

In conjunction with this proposal, DOE proposes to specify in the
newly proposed 10 CFR 429.70(i)(3) that ``otherwise identical'' means
differing only in the phase of the electrical system and the phase of
power input for which the motors and compressors are designed.
Issue 3: DOE seeks comment on its proposal to align the
representation requirements for the three-phase equipment addressed by
this NOPR with the requirements specified for single-phase products at
10 CFR 429.16 and 10 CFR 429.70(e),--but with the exception of testing
requirements and certain AEDM validation requirements for single-
package and single-split system models. Specifically, DOE requests
comment on its proposal to permit for three-phase, less than 65,000
Btu/h single-package and single-split system basic models with
otherwise identical single-phase counterparts the use of ratings based
on an AEDM validated using the test results from otherwise identical
central air conditioners and heat pumps, rather than requiring
validation using the test results of three-phase models. DOE also
requests comment on its proposed specification of the term ``otherwise
identical''. Finally, DOE requests comment on whether the proposed AEDM
requirements should include a provision to validate the correlation
between single-phase and three-phase performance as determined using an
AEDM.
As part of the harmonization with single-phase requirements, the
proposal in 10 CFR 429.64 would require that all representations for
outdoor units with no match and for multi-split systems, multi-circuit
systems, and multi-head mini-split systems must be determined through
testing or other specified means, rather than through an AEDM. As
currently specified, 10 CFR 429.16(c)(2)-(3) do not permit AEDMs for
single-phase products with these configurations; as such, there would
not be any extensively validated AEDMs available for products and
equipment with these configurations. DOE is not aware of any three-
phase models on the market with these configurations (i.e., outdoor
unit with no match or multi-split, multi-circuit, and multi-head mini-
split systems); therefore, DOE tentatively concludes that this proposal
would not result in increased testing burden or costs for any
manufacturer. DOE may consider permitting the use of an AEDM for these
three-phase equipment categories if interested parties were to
demonstrate a market for this equipment and provide information on what
requirements for AEDM validation should be specified.
Issue 4: DOE seeks comment on whether there are three-phase, less
than 65,000 Btu/h models of outdoor units with no match or multi-split,
multi-circuit, and multi-head mini-split systems on the market, and, if
so, whether AEDMs should be allowed for their ratings and what
requirements for AEDM validation should be specified.
DOE notes that, as part of the harmonization with single-phase
requirements, the proposal in 10 CFR 429.64 would require every
individual combination of single-split-system AC equipped with a
single-stage or two-stage compressor distributed in commerce to be
rated as a coil-only combination, with additional blower-coil
representations allowed as applicable. As discussed previously in this
section, the three-phase equipment category may include models that are
part of a line of commercial three-phase equipment that includes
equipment below DOE's 65,000 Btu/h capacity boundary (rather than
models that are otherwise identical to single-phase central air
conditioners). Based on review of models certified in the DOE
Compliance Certification Database, DOE expects almost all of these
models to be packaged units, which are not impacted by this proposal.
Issue 5: DOE seeks comment on whether there are models of three-
phase single-split-system air conditioners with single-stage or two-
stage compressors that are not distributed in commerce as a coil-only
combination (i.e., distributed in commerce only as blower-coil
combination(s)).
2. Basic Model Definition
DOE proposes to amend its basic model definition for 3-phase ACUACs
and ACUHPs with cooling capacity of less than 65,000 Btu/h and for 3-
phase VRF with cooling capacity of less than 65,000 Btu/h to align with
that for single-phase central air conditioners and central air
conditioning heat pumps, as this definition forms the basis for the
requirements in 10 CFR 429.16.

[[Page 70328]]

The current definition of basic model for three-phase equipment in 10
CFR 431.92 refers to ``all units manufactured by one manufacturer
within a single equipment class, having the same or comparably
performing compressor(s), heat exchangers, and air moving system(s)
that have a common ``nominal'' cooling capacity.'' See 10 CFR
431.92(2).\24\ The definition of ``basic model'' for single-phase
products in 10 CFR 430.2 provides additional specifications on this
same concept. See 10 CFR 430.2 (defining the term ``basic model'' and
detailing the application of this term to different configurations of
central air conditioners and central air conditioner heat pumps). For
example, for split systems manufactured by outdoor unit manufacturers,
a basic model includes all individual combinations having the same
model of outdoor unit but with percentage variation limits on
compressor, outdoor coil, and outdoor fan characteristics. See id.
---------------------------------------------------------------------------

\24\ The definition applicable to variable refrigerant flow
systems is different in wording but similar in content. See 10 CFR
431.92(5).
---------------------------------------------------------------------------

Issue 6: DOE requests comment on its proposal to align the
definition of basic model for three-phase equipment at 10 CFR 431.96
with that for single-phase products at 10 CFR 430.2.
3. Certification Reporting Requirements
DOE acknowledges that 10 CFR 429.16 currently requires more detail
in filed certification reports than that required by 10 CFR 429.43.
Therefore, DOE proposes to retain the requirements for certification
reports (i.e., the information that must be reported for each
individual model or combination) currently found in 10 CFR 429.43
rather than adopting wholesale the certification report requirements
for single-phase products found in 10 CFR 429.16.
In response to the October 2018 RFI, Carrier commented that the
three-phase requirements should mirror the structure, language, and
certification requirements for single-phase systems to minimize the
manufacturer's burden. (Carrier, No. 7 at p. 2). In general, DOE agrees
with Carrier's comments that further aligning certification reporting
requirements across single-phase products and three-phase equipment
could reduce overall manufacturer burden despite the additional single-
phase requirements. Therefore, should interested parties provide detail
as to which information required as part of the certification reports
required under 10 CFR 429.16(e) would be particularly burdensome to
report and not impact DOE's ability to conduct enforcement testing, DOE
may consider changes to the reporting requirements for both single-
phase products and three-phase equipment in a separate rulemaking.
In addition, DOE may consider minor revisions to the certification
reporting requirements in any energy conservation standards rulemaking
that DOE may conduct for this equipment.
Issue 7: DOE seeks comment on its proposal not to amend
certification reporting requirements for the three-phase equipment
subject to this notice to align with single-phase products at this
time. DOE also requests details on whether any particular certification
reporting requirements in 10 CFR 429.16(e) are particularly problematic
for manufacturers (for both single-phase products and three-phase
equipment) and why.
4. Product-Specific Enforcement Provisions
DOE is proposing to amend its product-specific enforcement
requirements by adding provisions to a new 10 CFR 429.134(s) for the
three-phase equipment addressed in this NOPR that would align with
those already required at 10 CFR 429.134(k) for single-phase products.
These provisions would pertain only to DOE assessment and enforcement
testing and would not impact manufacturer testing. Additionally, these
requirements would apply only to equipment subject to any potential
standards that DOE may set in terms of SEER2 and HSPF2.
Regarding cooling capacity, DOE is proposing that the cooling
capacity of each tested unit would be measured pursuant to the test
procedure and that the mean of the measurement(s) would be used to
determine compliance with the applicable standards.
Regarding cyclic degradation coefficients, which are a measure of
efficiency loss that would occur as a result of the compressor cycling
to meet a low load level in field applications, DOE is proposing to
measure the cooling and/or heating cyclic degradation coefficient,
C<INF>D</INF>c/C<INF>D</INF>h, respectively, by
conducting the optional cyclic tests if the manufacturer certifies that
they conducted the optional cyclic tests. If the manufacturer certifies
that it did not conduct the optional cyclic tests, the proposal would
require that the default C<INF>D</INF>c/
C<INF>D</INF>h values would be used as the basis for
calculating SEER or HSPF for each unit tested.
G. Test Procedure Costs
EPCA requires that the test procedures for commercial package air
conditioning and heating equipment for small commercial package air
conditioning and heating equipment, which includes 3-phase ACUACs and
ACUHPs with cooling capacity of less than 65,000 Btu/h and 3-phase VRF
with cooling capacity of less than 65,000 Btu/h, be generally accepted
industry testing procedures or rating procedures developed or
recognized by either AHRI or ASHRAE, as referenced in ASHRAE Standard
90.1. (42 U.S.C. 6314(a)(4)(A)) Further, if such an industry test
procedure is amended, DOE must amend its test procedure to be
consistent with the amended industry test procedure, unless DOE
determines, by rule published in the Federal Register and supported by
clear and convincing evidence, that such amended test procedure would
not meet the requirements in 42 U.S.C. 6314(a)(2)-(3) related to
representative use and test burden. (42 U.S.C. 6314(a)(4)(B))
In this NOPR, DOE proposes to amend the existing test procedures
for three-phase, less than 65,000 Btu/h equipment by incorporating by
reference, with some modification, the updated version of the
applicable industry test method, AHRI 210/240-2023, including the
energy efficiency metrics SEER2 and HSPF2. DOE also proposes to amend
certain representation requirements to more closely align with the
representation requirements for single-phase central air conditioners
and heat pumps. Amendments to both the test procedures and
representation requirements in this NOPR are consistent with comments
from interested parties who supported aligning the Federal regulations
for the three-phase equipment addressed in this document with the
regulations of their single-phase consumer product counterparts.
DOE has tentatively determined that these proposed test procedures
would be representative of an average use cycle and would not be unduly
burdensome for manufacturers to conduct. The proposed appendix B,
measuring both SEER and HSPF per ANSI/AHRI 210/240-2008, does not
contain any changes from the current Federal test procedure, and
therefore would not require retesting solely as a result of DOE's
adoption of this proposed amendment. The proposed test procedure in
appendix B1, measuring both SEER2 and HSPF2 per AHRI 210/240-2023,
would not lead to an increase in cost from appendix B testing.
Specifically, DOE estimates that the cost for third-party lab testing
according to the proposed appendix B1 would be $5,500 for air
conditioners and $8,500 for heat

[[Page 70329]]

pumps, consistent with the current test procedures.
As discussed in section III.F.1 of this NOPR, DOE is proposing to
amend the representation requirements for certifying basic models of
three-phase, less than 65,000 Btu/h equipment to harmonize with the
requirements for single-phase products. For models of outdoor units
with no match and multi-split, multi-circuit, and multi-head mini-split
systems, this proposal may increase testing requirements for three-
phase equipment compared to the existing requirements. However, DOE is
not aware of any such models on the market in these categories--
accordingly, DOE does not believe the proposed representation
requirements will lead to an increase in testing cost for any
manufacturer.
As discussed in section III.F.1 of this NOPR, DOE is proposing to
amend the AEDM \25\ requirements for certifying basic models of three-
phase, less than 65,000 Btu/h single-package units and single-split
systems. Because most manufacturers' models of three-phase, less than
65,000 Btu/h equipment are nearly identical to the corresponding
single-phase, consumer products, DOE is proposing to allow the use of
an AEDM validated using testing of otherwise identical single-phase
counterparts for certifying basic models of three-phase, less than
65,000 Btu/h single package units and split systems. For manufacturers
that produce both single-phase consumer products and three-phase, less
than 65,000 Btu/h equipment, this proposal would reduce any burden that
might result from the proposed test procedures in appendix B1 of this
NOPR, because for such manufacturers all certification of three-phase,
less than 65,000 Btu/h equipment could be conducted using AEDMs without
resorting to the testing of three-phase, less than 65,000 Btu/h
equipment.
---------------------------------------------------------------------------

\25\ Manufacturers are not required to perform laboratory
testing on all basic models. In accordance with 10 CFR 429.70,
three-phase, less than 65,000 Btu/h manufacturers may elect to use
AEDMs. An AEDM is a computer modeling or mathematical tool that
predicts the performance of non-tested basic models. These computer
modeling and mathematical tools, when properly developed, can
provide a means to predict the energy usage or efficiency
characteristics of a basic model of a given covered product or
equipment and reduce the burden and cost associated with testing.
---------------------------------------------------------------------------

As discussed previously throughout this NOPR, the proposed test
procedure in appendix B1 would not be mandatory until such time as DOE
decides whether to amend the energy conservation standards based on
SEER2 and HSPF2. Given that most manufacturers of three-phase equipment
that are the subject of this NOPR are AHRI members, and DOE is
referencing the prevailing industry test procedure that was established
for use in AHRI's certification program (which DOE presumes will be
updated to include SEER2 and HSPF2), DOE expects that manufacturers
will already be testing using the test methods in AHRI 210/240-2023 by
January 1, 2023--the effective date for minimum SEER2 and HSPF2 levels
in ASHRAE 90.1-2019 for three-phase equipment, and also the compliance
date for testing according to appendix M1 for single-phase central air
conditioners. Based on this expectation, DOE also has tentatively
determined that the proposed test procedure amendments would not be
expected to increase the testing burden on three-phase, less than
65,000 Btu/h equipment manufacturers. Additionally, DOE has tentatively
determined that the test procedure amendments, if finalized, would not
require manufacturers to redesign any of the covered equipment, would
not require changes to how the equipment is manufactured, and would not
impact the utility of the equipment.
Issue 8: DOE requests comment on its understanding of the impact of
the test procedure proposals in this NOPR, specifically DOE's tentative
determination that the proposed DOE test procedure amendments, if
finalized, would not increase testing burden on manufacturers, compared
to current industry practice as indicated by AHRI 210/240-2023.
H. Compliance Date
EPCA prescribes that, for the equipment at issue, all
representations of energy efficiency and energy use, including those
made on marketing materials and product labels, must be made in
accordance with an amended test procedure, beginning 360 days after
publication of such a test procedure final rule in the Federal
Register. (42 U.S.C. 6314(d)(1))

IV. Procedural Issues and Regulatory Review

A. Review Under Executive Order 12866

The Office of Management and Budget (``OMB'') has determined that
this test procedure proposed rulemaking does not constitute a
``significant regulatory action'' under section 3(f) of Executive Order
12866, Regulatory Planning and Review, 58 FR 51735 (October 4, 1993).
Accordingly, this action was not subject to review under the Executive
order by the Office of Information and Regulatory Affairs (``OIRA'') in
OMB.

B. Review Under the Regulatory Flexibility Act

The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) requires
preparation of an initial regulatory flexibility analysis (``IRFA'')
for any rule that by law must be proposed for public comment, unless
the agency certifies that the rule, if promulgated, will not have a
significant economic impact on a substantial number of small entities.
As required by Executive Order 13272, ``Proper Consideration of Small
Entities in Agency Rulemaking,'' 67 FR 53461 (August 16, 2002), DOE
published procedures and policies on February 19, 2003, to ensure that
the potential impacts of its rules on small entities are properly
considered during the DOE rulemaking process. 68 FR 7990. DOE has made
its procedures and policies available on the Office of the General
Counsel's website: <a href="http://www.energy.gov/gc/office-general-counsel">www.energy.gov/gc/office-general-counsel</a>. DOE
reviewed this proposed rule under the provisions of the Regulatory
Flexibility Act and the procedures and policies published on February
19, 2003.
The following sections detail DOE's IRFA for this test procedure
rulemaking.
1. Description of Reasons Why Action Is Being Considered
DOE is proposing to amend the existing DOE test procedures for 3-
phase ACUACs and ACUHPs with cooling capacity of less than 65,000 Btu/h
and 3-phase VRF with cooling capacity of less than 65,000 Btu/h. DOE
must update the Federal test procedures to be consistent with the
industry update unless there is clear and convincing evidence that the
industry update would not be representative of an average use cycle or
would be unduly burdensome to conduct. (42 U.S.C. 6314(a)(4)(B))
2. Objective of, and Legal Basis for, Rule
EPCA requires that the test procedures for commercial package
heating and cooling equipment, which includes 3-phase ACUACs and ACUHPs
with cooling capacity of less than 65,000 Btu/h and 3-phase VRF with
cooling capacity of less than 65,000 Btu/h, be generally accepted
industry testing procedures or rating procedures developed or
recognized by either AHRI or ASHRAE, as referenced in ASHRAE Standard
90.1. (42 U.S.C. 6314(a)(4)(A)) Further, if such an industry test
procedure is amended, DOE must amend its test procedure to be
consistent with the amended industry test procedure, unless DOE
determines, by rule published in the Federal Register and supported by
clear and

[[Page 70330]]

convincing evidence, that such amended test procedure would not meet
the requirements in 42 U.S.C. 6314(a)(2) and (3) related to
representative use and test burden. (42 U.S.C. 6314(a)(4)(B))
EPCA also requires that, at least once every 7 years, DOE evaluate
test procedures for each type of covered equipment, including 3-phase
ACUACs and ACUHPs with cooling capacity of less than 65,000 Btu/h and
3-phase VRF with cooling capacity of less than 65,000 Btu/h, to
determine whether amended test procedures would more accurately or
fully comply with the requirements for the test procedures to not be
unduly burdensome to conduct and be reasonably designed to produce test
results that reflect energy efficiency, energy use, and estimated
operating costs during a representative average use cycle. (42 U.S.C.
614(a)(1)(A))
3. Description and Estimate of Small Entities Regulated
For manufacturers of 3-phase ACUACs and ACUHPs with cooling
capacity of less than 65,000 Btu/h and 3-phase VRF with cooling
capacity of less than 65,000 Btu/h, the Small Business Administration
(``SBA'') has set a size threshold, which defines those entities
classified as ``small businesses'' for the purposes of the statute. DOE
used the SBA's small business size standards to determine whether any
small entities would be subject to the requirements of the rule. See 13
CFR part 121. The equipment covered by this proposed rule is classified
under North American Industry Classification System (``NAICS'') code
333415 ,\26\ ``Air-Conditioning and Warm Air Heating Equipment and
Commercial and Industrial Refrigeration Equipment Manufacturing.'' In
13 CFR 121.201, the SBA sets a threshold of 1,250 employees or fewer
for an entity to be considered as a small business for this category.
---------------------------------------------------------------------------

\26\ The size standards are listed by NAICS code and industry
description and are available at: <a href="http://www.sba.gov/document/support--table-size-standards">www.sba.gov/document/support--table-size-standards</a> (Last accessed on July 16, 2021).
---------------------------------------------------------------------------

DOE reviewed the test procedures proposed in this NOPR under the
provisions of the Regulatory Flexibility Act and the procedures and
policies published on February 19, 2003. DOE used publicly available
information to identify potential small businesses that manufacture
equipment covered this this rulemaking. DOE identified thirty-seven
manufacturers of equipment covered by this rulemaking. Of the thirty-
seven, thirty manufacturers are original equipment manufacturers
(``OEM''). DOE screened out companies that do not meet the definition
of a ``small business'' or are foreign-owned and operated. DOE
identified eight small, domestic OEMs for consideration. DOE used
subscription-based business information tools to determine headcount
and revenue of the small businesses.
Of those eight small OEMs, four of them are AHRI members and four
are not AHRI members. Of the four non-AHRI-member small OEMs, two
certify their 3-phase, less than 65,000 Btu/h equipment models in the
AHRI Directory of Certified Product Performance (``AHRI
Directory'').\27\ Therefore, DOE identified two small OEMs who are not
AHRI members and do not certify their covered equipment to the AHRI
Directory.
---------------------------------------------------------------------------

\27\ The AHRI Directory of Certified Product Performance is
available at <a href="http://www.ahridirectory.org">www.ahridirectory.org</a>.
---------------------------------------------------------------------------

4. Description and Estimate of Compliance Requirements
DOE assumed each small business would have different potential
regulatory costs depending whether they are an OEM, they are a member
of AHRI, and/or they currently certify equipment in the AHRI Directory.
DOE understands all AHRI members and all manufacturers currently
certifying in the AHRI Directory (including small businesses) will be
testing their models in accordance with AHRI 210/240-2023, the industry
test procedure DOE is proposing to reference, and using AHRI's
certification program, which DOE presumes will be updated to include
the SEER2 and HSPF2 metrics. The proposed test procedure amendments
would not add any additional testing burden to manufacturers that are
or will be using the AHRI 210/240-2023 test procedure for their models
of 3-phase ACUACs and ACUHPs with cooling capacity of less than 65,000
Btu/h and 3-phase VRF with cooling capacity of less than 65,000 Btu/h.
DOE estimated the range of additional potential testing costs for
the two small businesses that both are not AHRI members and do not
certify their equipment that is the subject of this NOPR to the AHRI
Directory. These small businesses would only incur additional testing
costs if these small businesses would not have otherwise been using the
AHRI 210/240-2023 test procedure to test their models of 3-phase ACUACs
and ACUHPs with cooling capacity of less than 65,000 Btu/h and 3-phase
VRF with cooling capacity of less than 65,000 Btu/h. Of these two small
businesses, the first manufacturer certifies one basic model to the DOE
Compliance Certification Database and the second manufacturer certifies
two basic models to the DOE Compliance Certification Database.\28\
---------------------------------------------------------------------------

\28\ DOE's Compliance Certification Database is available at:
<a href="http://www.regulations.doe.gov/ccms">www.regulations.doe.gov/ccms</a> (last accessed June 24, 2021).
---------------------------------------------------------------------------

In this NOPR, DOE is proposing to relocate the current DOE test
procedures to a new appendix B of subpart F of part 431 (``appendix
B'') without change. DOE is also proposing an amended test procedure at
appendix B1 to subpart F of part 431 (``appendix B1''). Specifically,
DOE is proposing in appendix B1 to incorporate by reference the updated
industry test standard AHRI 210/240-2023 for 3-phase ACUACs and ACUHPs
with cooling capacity of less than 65,000 Btu/h (for which the current
Federal test procedure references AHRI 210-240-2008) and for 3-phase
VRF with cooling capacity of less than 65,000 Btu/h (for which the
current Federal test procedure references AHRI 1230-2010). In addition,
DOE is proposing to adopt the efficiency metrics, SEER2 and HSPF2, from
AHRI 210/240-2023 in the test procedure at appendix B1. Finally, DOE is
proposing to harmonize representation and enforcement requirements with
those applicable to single-phase products.
Appendix B does not contain any changes from the current Federal
test procedure, and therefore would have no cost to industry and would
not require retesting solely as a result of DOE's adoption of this
proposed amendment to the test procedure, if made final. The proposed
appendix B1 adopts the most recent industry test procedure, AHRI 210/
240-2023. DOE estimated the cost for third-party lab testing according
to the proposed appendix B1 test procedure to be $8,500 for three-
phase, less than 65,000 Btu/h heating equipment and $5,500 for three-
phase, less than 65,000 Btu/h air conditioning equipment. If
manufacturers conduct physical testing to certify a basic model of the
equipment that is the subject of this NOPR, two units are required to
be tested per basic model. However, manufacturers are not required to
perform laboratory testing on all basic models, as manufacturers may
elect to use AEDMs.\29\ An AEDM is a computer modeling or mathematical
tool that predicts the performance of non-tested basic models. These
computer modeling and mathematical tools, when properly developed, can
provide a means to predict the energy usage or efficiency
characteristics of a basic model of a given covered product or
equipment

[[Page 70331]]

and reduce the burden and cost associated with testing.
---------------------------------------------------------------------------

\29\ In accordance with 10 CFR 429.70.
---------------------------------------------------------------------------

The first of the two analyzed small businesses manufactures one
basic model of three-phase equipment with a cooling capacity less than
65,000 Btu/h--the model is an air conditioner. If this manufacturer
used a third-party lab to test this basic model, DOE estimates this
small business would incur additional testing costs of approximately
$11,000. The annual revenue of the first small business is
approximately $82.5 million. DOE estimates testing costs to be less
than 0.01 percent of annual revenue for this small business.
The second of two analyzed small businesses manufactures two basic
model of three-phase equipment with a cooling capacity of less than
65,000 Btu/h--the models are air conditioners. If this manufacturer
used a third-party lab to test these basic models, DOE estimates this
small business would incur additional testing costs of approximately
$22,000. DOE estimates that annual revenue of this small business to be
approximately $4 million. DOE estimates testing costs to be less than
0.6 percent of annual revenue for this small manufacturer. However, DOE
notes that this second small business also manufactures single-phase
central air conditioners and heat pumps; therefore, this manufacturer
may use an AEDM for certifying their central air conditioner and heat
pump (``CAC/HP'') models. Because the proposed test procedure in
appendix B1 aligns with the test procedure for CACs/HPs at appendix M1
to subpart B of 10 CFR part 430, this manufacturer could avoid testing
costs and, as a lower-cost alternative, use their CAC/HP AEDM to
certify performance for the equipment that is the subject of this
notice and further reduce potential costs.\30\
---------------------------------------------------------------------------

\30\ As discussed in section 111.G.1 of this NOPR, DOE is
proposing to allow the use of a AEDM that is validated with single-
phase CACs/HPs to be used for certifying 3-phase ACUACs and ACUHPs
with cooling capacity less than 65,000 Btu/h.
---------------------------------------------------------------------------

Issue 9: DOE requests comment on the number of small businesses DOE
identified. DOE also seeks comment on the potential cost estimates for
each small business identified, compared to current industry practice,
as indicated in AHRI 210/240-2023.
5. Duplication, Overlap, and Conflict With Other Rules and Regulations
DOE is not aware of any rules or regulations that duplicate,
overlap, or conflict with the proposed rule being considered today.
6. Significant Alternatives to the Rule
DOE proposes to reduce burden on manufacturers, including small
businesses, by allowing AEDMs in lieu of physically testing all basic
models. The use of an AEDM is less costly than physical testing of
models of 3-phase ACUACs and ACUHPs with cooling capacity of less than
65,000 Btu/h and 3-phase VRF with cooling capacity of less than 65,000
Btu/h.
Additionally, DOE considered alternative test methods and
modifications to the AHRI 210/240-2023 test procedure for three-phase,
small commercial package heating and cooling equipment with a cooling
capacity of less than 65,000 Btu/h. However, DOE has tentatively
determined that there are no better alternatives than the existing
industry test procedures, in terms of both meeting the agency's
objectives and reducing burden on manufacturers. Therefore, DOE is
proposing to amend the existing DOE test procedure for this equipment
through incorporation by reference of AHRI 210/240-2023.
In addition, individual manufacturers may petition for a waiver of
the applicable test procedure. (See 10 CFR 431.401) Also, Section 504
of the Department of Energy Organization Act, 42 U.S.C. 7194, provides
authority for the Secretary to adjust a rule issued under EPCA in order
to prevent ``special hardship, inequity, or unfair distribution of
burdens'' that may be imposed on that manufacturer as a result of such
rule. Manufacturers should refer to 10 CFR part 1003 for additional
details.

C. Review Under the Paperwork Reduction Act of 1995

Manufacturers of 3-phase ACUACs and ACUHPs with cooling capacity of
less than 65,000 Btu/h and 3-phase VRF with cooling capacity of less
than 65,000 Btu/h must certify to DOE that their products comply with
any applicable energy conservation standards. To certify compliance,
manufacturers must first obtain test data for their products according
to the DOE test procedures, including any amendments adopted for those
test procedures. DOE has established regulations for the certification
and recordkeeping requirements for all covered consumer products and
commercial equipment, including for 3-phase ACUACs and ACUHPs with
cooling capacity of less than 65,000 Btu/h and 3-phase VRF with cooling
capacity of less than 65,000 Btu/h. (See generally 10 CFR part 429.)
The collection-of-information requirement for the certification and
recordkeeping is subject to review and approval by OMB under the
Paperwork Reduction Act (``PRA''). This requirement has been approved
by OMB under OMB control number 1910-1400. Public reporting burden for
the certification is estimated to average 35 hours per response,
including the time for reviewing instructions, searching existing data
sources, gathering and maintaining the data needed, and completing and
reviewing the collection of information.
Notwithstanding any other provision of the law, no person is
required to respond to, nor shall any person be subject to a penalty
for failure to comply with, a collection of information subject to the
requirements of the PRA, unless that collection of information displays
a currently valid OMB Control Number.

D. Review Under the National Environmental Policy Act of 1969

DOE is analyzing this proposed regulation in accordance with the
National Environmental Policy Act of 1969 (``NEPA'') and DOE's NEPA
implementing regulations (10 CFR part 1021). DOE's regulations include
a categorical exclusion for rulemakings interpreting or amending an
existing rule or regulation that does not change the environmental
effect of the rule or regulation being amended. 10 CFR part 1021,
subpart D, appendix A5. DOE anticipates that this rulemaking qualifies
for categorical exclusion A5 because it is an interpretive rulemaking
that does not change the environmental effect of the rule and otherwise
meets the requirements for application of a categorical exclusion. See
10 CFR 1021.410. DOE will complete its NEPA review before issuing the
final rule.

E. Review Under Executive Order 13132

Executive Order 13132, ``Federalism,'' 64 FR 43255 (August 10,
1999) imposes certain requirements on agencies formulating and
implementing policies or regulations that preempt State law or that
have federalism implications. The Executive order requires agencies to
examine the constitutional and statutory authority supporting any
action that would limit the policymaking discretion of the States and
to carefully assess the necessity for such actions. The Executive order
also requires agencies to have an accountable process to ensure
meaningful and timely input by State and local officials in the
development of regulatory policies that have federalism implications.
On March 14, 2000, DOE published a statement of policy describing the
intergovernmental consultation process it will follow in the
development of such regulations. 65 FR

[[Page 70332]]

13735. DOE has examined this proposed rule and has determined that it
would not have a substantial direct effect on the States, on the
relationship between the national government and the States, or on the
distribution of power and responsibilities among the various levels of
government. EPCA governs and prescribes Federal preemption of State
regulations as to energy conservation for the products that are the
subject of this proposed rule. States can petition DOE for exemption
from such preemption to the extent, and based on criteria, set forth in
EPCA (42 U.S.C. 6297(d)). No further action is required by Executive
Order 13132.

F. Review Under Executive Order 12988

Regarding the review of existing regulations and the promulgation
of new regulations, section 3(a) of Executive Order 12988, ``Civil
Justice Reform,'' 61 FR 4729 (February 7, 1996), imposes on Federal
agencies the general duty to adhere to the following requirements: (1)
Eliminate drafting errors and ambiguity, (2) write regulations to
minimize litigation, (3) provide a clear legal standard for affected
conduct rather than a general standard, and (4) promote simplification
and burden reduction. Section 3(b) of Executive Order 12988
specifically requires that executive agencies make every reasonable
effort to ensure that the regulation (1) clearly specifies the
preemptive effect, if any, (2) clearly specifies any effect on existing
Federal law or regulation, (3) provides a clear legal standard for
affected conduct while promoting simplification and burden reduction,
(4) specifies the retroactive effect, if any, (5) adequately defines
key terms, and (6) addresses other important issues affecting clarity
and general draftsmanship under any guidelines issued by the Attorney
General. Section 3(c) of Executive Order 12988 requires Executive
agencies to review regulations in light of applicable standards in
sections 3(a) and 3(b) to determine whether they are met, or it is
unreasonable to meet one or more of them. DOE has completed the
required review and determined that, to the extent permitted by law,
the proposed rule meets the relevant standards of Executive Order
12988.

G. Review Under the Unfunded Mandates Reform Act of 1995

Title II of the Unfunded Mandates Reform Act of 1995 (``UMRA'')
requires each Federal agency to assess the effects of Federal
regulatory actions on State, local, and Tribal governments, and the
private sector. Public Law 104-4, sec. 201 (codified at 2 U.S.C. 1531).
For a proposed regulatory action likely to result in a rule that may
cause the expenditure by State, local, and Tribal governments, in the
aggregate, or by the private sector of $100 million or more in any one
year (adjusted annually for inflation), section 202 of UMRA requires a
Federal agency to publish a written statement that estimates the
resulting costs, benefits, and other effects on the national economy.
(2 U.S.C. 1532(a), (b)) The UMRA also requires a Federal agency to
develop an effective process to permit timely input by elected officers
of State, local, and Tribal governments on a proposed ``significant
intergovernmental mandate,'' and requires an agency plan for giving
notice and opportunity for timely input to potentially affected small
governments before establishing any requirements that might
significantly or uniquely affect small governments. On March 18, 1997,
DOE published a statement of policy on its process for
intergovernmental consultation under UMRA. 62 FR 12820; also available
at <a href="http://www.energy.gov/gc/office-general-counsel">www.energy.gov/gc/office-general-counsel</a>. DOE examined this proposed
rule according to UMRA and its statement of policy and determined that
the rule contains neither an intergovernmental mandate, nor a mandate
that may result in the expenditure of $100 million or more in any year,
so these requirements do not apply.

H. Review Under the Treasury and General Government Appropriations Act,
1999

Section 654 of the Treasury and General Government Appropriations
Act, 1999 (Pub. L. 105-277) requires Federal agencies to issue a Family
Policymaking Assessment for any rule that may affect family well-being.
This proposed rule would not have any impact on the autonomy or
integrity of the family as an institution. Accordingly, DOE has
concluded that it is not necessary to prepare a Family Policymaking
Assessment.

I. Review Under Executive Order 12630

DOE has determined, under Executive Order 12630, ``Governmental
Actions and Interference with Constitutionally Protected Property
Rights'' 53 FR 8859 (March 18, 1988), that this proposed regulation
would not result in any takings that might require compensation under
the Fifth Amendment to the U.S. Constitution.

J. Review Under Treasury and General Government Appropriations Act,
2001

Section 515 of the Treasury and General Government Appropriations
Act, 2001 (44 U.S.C. 3516 note) provides for agencies to review most
disseminations of information to the public under guidelines
established by each agency pursuant to general guidelines issued by
OMB. OMB's guidelines were published at 67 FR 8452 (February 22, 2002),
and DOE's guidelines were published at 67 FR 62446 (October 7, 2002).
Pursuant to OMB Memorandum M-19-15, Improving Implementation of the
Information Quality Act (April 24, 2019), DOE published updated
guidelines which are available at <a href="http://www.energy.gov/sites/prod/files/2019/12/f70/DOE%20Final%20Updated%20IQA%20Guidelines%20Dec%202019.pdf">www.energy.gov/sites/prod/files/2019/12/f70/DOE%20Final%20Updated%20IQA%20Guidelines%20Dec%202019.pdf</a>. DOE
has reviewed this proposed rule under the OMB and DOE guidelines and
has concluded that it is consistent with applicable policies in those
guidelines.

K. Review Under Executive Order 13211

Executive Order 13211, ``Actions Concerning Regulations That
Significantly Affect Energy Supply, Distribution, or Use,'' 66 FR 28355
(May 22, 2001), requires Federal agencies to prepare and submit to OMB,
a Statement of Energy Effects for any proposed significant energy
action. A ``significant energy action'' is defined as any action by an
agency that promulgated or is expected to lead to promulgation of a
final rule, and that (1) is a significant regulatory action under
Executive Order 12866, or any successor order; and (2) is likely to
have a significant adverse effect on the supply, distribution, or use
of energy; or (3) is designated by the Administrator of OIRA as a
significant energy action. For any proposed significant energy action,
the agency must give a detailed statement of any adverse effects on
energy supply, distribution, or use should the proposal be implemented,
and of reasonable alternatives to the action and their expected
benefits on energy supply, distribution, and use.
The proposed regulatory action to amend the test procedures for
measuring the energy efficiency of 3-phase ACUACs and ACUHPs with
cooling capacity of less than 65,000 Btu/h and 3-phase VRF with cooling
capacity of less than 65,000 Btu/h is not a significant regulatory
action under Executive Order 12866. Moreover, it would not have a
significant adverse effect on the supply, distribution, or use of
energy, nor has it been designated as a significant energy action by
the Administrator of OIRA. Therefore, it is not a significant energy
action, and, accordingly, DOE has not prepared a Statement of Energy
Effects.

[[Page 70333]]

L. Review Under Section 32 of the Federal Energy Administration Act of
1974

Under section 301 of the Department of Energy Organization Act
(Pub. L. 95-91; 42 U.S.C. 7101), DOE must comply with section 32 of the
Federal Energy Administration Act of 1974, as amended by the Federal
Energy Administration Authorization Act of 1977. (15 U.S.C. 788;
``FEAA'') Section 32 essentially provides in relevant part that, where
a proposed rule authorizes or requires use of commercial standards, the
notice of proposed rulemaking must inform the public of the use and
background of such standards. In addition, section 32(c) requires DOE
to consult with the Attorney General and the Chairman of the Federal
Trade Commission (``FTC'') concerning the impact of the commercial or
industry standards on competition.
The proposed modifications to the test procedures for 3-phase
ACUACs and ACUHPs with cooling capacity of less than 65,000 Btu/h and
for 3-phase VRF with cooling capacity of less than 65,000 Btu/h would
reference testing methods contained in certain sections of the
following commercial standards: AHRI 210/240-2023 and ANSI/ASHRAE 37-
2009. DOE has evaluated these standards and is unable to conclude
whether they fully comply with the requirements of section 32(b) of the
FEAA (i.e., whether it was developed in a manner that fully provides
for public participation, comment, and review). DOE will consult with
both the Attorney General and the Chairman of the FTC concerning the
impact of these test procedures on competition, prior to prescribing a
final rule.

M. Description of Materials Incorporated by Reference

In this NOPR, DOE proposes to incorporate by reference the
following test standard:

(1) The test standard published by AHRI, titled ``2023 Standard
for Performance Rating of Unitary Air-Conditioning & Air-Source Heat
Pump Equipment,'' AHRI Standard 210/240-2023. AHRI Standard 210/240-
2023 is an industry-accepted test procedure for measuring the
performance of air conditioning and heating equipment. AHRI Standard
210/240-2023 is available on AHRI's website <a href="http://www.ahrinet.org/search-standards.aspx">www.ahrinet.org/search-standards.aspx</a>.

In this NOPR, DOE proposes to amend the incorporation by reference
previously approved for the following test standard:

(2) The test standard published by ASHRAE, titled ``Methods of
Testing for Rating Electrically Driven Unitary Air-Conditioning and
Heat Pump Equipment,'' ANSI/ASHRAE Standard 37-2009. ANSI/ASHRAE
Standard 37-2009 is an industry-accepted test procedure that
provides a method of test for many categories of air conditioning
and heating equipment. ANSI/ASHRAE Standard 37-2009 is available on
ANSI's website at <a href="https://webstore.ansi.org/RecordDetail.aspx?sku=ANSI%2FASHRAE+Standard+37-2009">https://webstore.ansi.org/RecordDetail.aspx?sku=ANSI%2FASHRAE+Standard+37-2009</a>.
(3) In this NOPR, DOE proposes to maintain and update the
incorporation by reference previously approved for the following
test standards: The test standard published by AHRI, titled 210/240-
2008, ``Performance Rating of Unitary Air-Conditioning & Air-Source
Heat Pump Equipment,'' approved by ANSI on October 27, 2011 and
updated by addendum 1 in June 2011 and addendum 2 in March 2012.
ANSI/AHRI Standard 210/240-2008 is an industry-accepted test
procedure for measuring the performance of air conditioning and
heating equipment. ANSI/AHRI Standard 210/240-2008 is available on
AHRI's website at <a href="http://www.ahrinet.org/search-standards.aspx">www.ahrinet.org/search-standards.aspx</a>.
(4) The test standards published by AHRI titled, ANSI/AHRI
Standard 1230-2010, ``2010 Standard for Performance Rating of
Variable Refrigerant Flow (VRF) Multi-split Air-Conditioning and
Heat Pump Equipment,'' approved August 2, 2010 and updated by
addendum 1 in March 2011. ANSI/AHRI Standard 1230-2010 is an
industry-accepted test procedure for measuring the performance of
air conditioning and heating equipment. ANSI/AHRI Standard 1230-2010
is available on AHRI's website <a href="http://www.ahrinet.org/search-standards.aspx">www.ahrinet.org/search-standards.aspx</a>.

V. Public Participation

A. Participation in the Webinar

The time and date of the webinar are listed in the DATES and
ADDRESSES sections at the beginning of this document. If no
participants register for the webinar then it will be cancelled.
Webinar registration information, participant instructions, and
information about the capabilities available to webinar participants
will be published on DOE's website: <a href="https://www1.eere.energy.gov/buildings/appliance_standards/standards.aspx?productid=75&action=viewlive">https://www1.eere.energy.gov/buildings/appliance_standards/standards.aspx?productid=75&action=viewlive</a> Participants are
responsible for ensuring their systems are compatible with the webinar
software.

B. Procedure for Submitting Prepared General Statements for
Distribution

Any person who has an interest in the topics addressed in this
NOPR, or who is representative of a group or class of persons that has
an interest in these issues, may request an opportunity to make an oral
presentation at the webinar. Such persons may submit to
<a href="/cdn-cgi/l/email-protection#3c7d4c4c50555d525f596f485d52585d4e584f6d49594f485553524f7c595912585359125b534a">[email&#160;protected]</a>. Persons who wish to speak
should include with their request a computer file in WordPerfect,
Microsoft Word, PDF, or text (ASCII) file format that briefly describes
the nature of their interest in this rulemaking and the topics they
wish to discuss. Such persons should also provide a daytime telephone
number where they can be reached.
Persons requesting to speak should briefly describe the nature of
their interest in this rulemaking and provide a telephone number for
contact. DOE requests persons selected to make an oral presentation to
submit an advance copy of their statements at least two weeks before
the webinar. At its discretion, DOE may permit persons who cannot
supply an advance copy of their statement to participate, if those
persons have made advance alternative arrangements with the Building
Technologies Office. As necessary, requests to give an oral
presentation should ask for such alternative arrangements.

C. Conduct of the Webinar

DOE will designate a DOE official to preside at the webinar and may
also use a professional facilitator to aid discussion. The meeting will
not be a judicial or evidentiary-type public hearing, but DOE will
conduct it in accordance with section 336 of EPCA (42 U.S.C. 6306). A
court reporter will be present to record the proceedings and prepare a
transcript. DOE reserves the right to schedule the order of
presentations and to establish the procedures governing the conduct of
the webinar/public meeting. There shall not be discussion of
proprietary information, costs or prices, market share, or other
commercial matters regulated by U.S. anti-trust laws. After the webinar
and until the end of the comment period, interested parties may submit
further comments on the proceedings and any aspect of the rulemaking.
The webinar will be conducted in an informal, conference style. DOE
will allow time for prepared general statements by participants and
encourage all interested parties to share their views on issues
affecting this rulemaking. Each participant will be allowed to make a
general statement (within time limits determined by DOE), before the
discussion of specific topics. DOE will permit, as time permits, other
participants to comment briefly on any general statements.
At the end of all prepared statements on a topic, DOE will permit
participants to clarify their statements briefly. Participants should
be prepared to answer questions by DOE and by other

[[Page 70334]]

participants concerning these issues. DOE representatives may also ask
questions of participants concerning other matters relevant to this
rulemaking. The official conducting the webinar/public meeting will
accept additional comments or questions from those attending, as time
permits. The presiding official will announce any further procedural
rules or modification of the above procedures that may be needed for
the proper conduct of the webinar/public meeting.
A transcript of the webinar will be included in the docket, which
can be viewed as described in the Docket section at the beginning of
this NOPR. In addition, any person may buy a copy of the transcript
from the transcribing reporter.

D. Submission of Comments

DOE will accept comments, data, and information regarding this
proposed rule no later than the date provided in the DATES section at
the beginning of this proposed rule. Interested parties may submit
comments using any of the methods described in the ADDRESSES section at
the beginning of this NOPR.\31\ Submitting comments via
<a href="http://www.regulations.gov">www.regulations.gov</a>. The <a href="http://www.regulations.gov">www.regulations.gov</a> web page will require you
to provide your name and contact information. Your contact information
will be viewable to DOE Building Technologies staff only. Your contact
information will not be publicly viewable except for your first and
last names, organization name (if any), and submitter representative
name (if any). If your comment is not processed properly because of
technical difficulties, DOE will use this information to contact you.
If DOE cannot read your comment due to technical difficulties and
cannot contact you for clarification, DOE may not be able to consider
your comment.
---------------------------------------------------------------------------

\31\ DOE has historically provided a 75-day comment period for
test procedure NOPRs pursuant to the North American Free Trade
Agreement, U.S.-Canada-Mexico (``NAFTA''), Dec. 17, 1992, 32 I.L.M.
289 (1993); the North American Free Trade Agreement Implementation
Act, Public Law 103-182, 107 Stat. 2057 (1993) (codified as amended
at 10 U.S.C.A. 2576) (1993) (``NAFTA Implementation Act''); and
Executive Order 12889, ``Implementation of the North American Free
Trade Agreement,'' 58 FR 69681 (Dec. 30, 1993). However, on July 1,
2020, the Agreement between the United States of America, the United
Mexican States, and the United Canadian States (``USMCA''), Nov. 30,
2018, 134 Stat. 11 (i.e., the successor to NAFTA), went into effect,
and Congress's action in replacing NAFTA through the USMCA
Implementation Act, 19 U.S.C. 4501 et seq. (2020), implies the
repeal of E.O. 12889 and its 75-day comment period requirement for
technical regulations. Thus, the controlling laws are EPCA and the
USMCA Implementation Act. Consistent with EPCA's public comment
period requirements for consumer products, the USMCA only requires a
minimum comment period of 60 days. Consequently, DOE now provides a
60-day public comment period for test procedure NOPRs.
---------------------------------------------------------------------------

However, your contact information will be publicly viewable if you
include it in the comment or in any documents attached to your comment.
Any information that you do not want to be publicly viewable should not
be included in your comment, nor in any document attached to your
comment. Persons viewing comments will see only first and last names,
organization names, correspondence containing comments, and any
documents submitted with the comments.
Do not submit to <a href="http://www.regulations.gov">www.regulations.gov</a> information for which
disclosure is restricted by statute, such as trade secrets and
commercial or financial information (hereinafter referred to as
Confidential Business Information (``CBI'')). Comments submitted
through <a href="http://www.regulations.gov">www.regulations.gov</a> cannot be claimed as CBI. Comments received
through the website will waive any CBI claims for the information
submitted. For information on submitting CBI, see the Confidential
Business Information section.
DOE processes submissions made through <a href="http://www.regulations.gov">www.regulations.gov</a> before
posting. Normally, comments will be posted within a few days of being
submitted. However, if large volumes of comments are being processed
simultaneously, your comment may not be viewable for up to several
weeks. Please keep the comment tracking number that <a href="http://www.regulations.gov">www.regulations.gov</a>
provides after you have successfully uploaded your comment.
Submitting comments via email. Comments and documents submitted via
email also will be posted to <a href="http://www.regulations.gov">www.regulations.gov</a>. If you do not want
your personal contact information to be publicly viewable, do not
include it in your comment or any accompanying documents. Instead,
provide your contact information on a cover letter. Include your first
and last names, email address, telephone number, and optional mailing
address. The cover letter will not be publicly viewable as long as it
does not include any comments.
Include contact information each time you submit comments, data,
documents, and other information to DOE. If you submit via postal mail
or hand delivery/courier, please provide all items on a CD, if
feasible. It is not necessary to submit printed copies. No facsimiles
(faxes) will be accepted.
Comments, data, and other information submitted to DOE
electronically should be provided in PDF (preferred), Microsoft Word or
Excel, WordPerfect, or text (ASCII) file format. Provide documents that
are not secured, written in English and free of any defects or viruses.
Documents should not contain special characters or any form of
encryption and, if possible, they should carry the electronic signature
of the author.
Campaign form letters. Please submit campaign form letters by the
originating organization in batches of between 50 to 500 form letters
per PDF or as one form letter with a list of supporters' names compiled
into one or more PDFs. This reduces comment processing and posting
time.
Confidential Business Information. According to 10 CFR 1004.11, any
person submitting information that he or she believes to be
confidential and exempt by law from public disclosure should submit via
email two well-marked copies: One copy of the document marked
confidential including all the information believed to be confidential,
and one copy of the document marked non-confidential with the
information believed to be confidential deleted. DOE will make its own
determination about the confidential status of the information and
treat it according to its determination.
It is DOE's policy that all comments may be included in the public
docket, without change and as received, including any personal
information provided in the comments (except information deemed to be
exempt from public disclosure).

E. Issues on Which DOE Seeks Comment

Although DOE welcomes comments on any aspect of this proposal, DOE
is particularly interested in receiving comments and views of
interested parties concerning the following issues:
Issue 1: DOE seeks comment on its proposal to maintain reference to
ANSI/AHRI 210/240-2008 with Addenda 1 and 2 as the Federal test
procedure for 3-phase ACUACs and ACUHPs with cooling capacity of less
than 65,000 Btu/h, until such time as compliance would be required with
the amended test procedure referencing AHRI 210/240-2023.
Issue 2: DOE seeks comment on its proposal to incorporate by
reference AHRI 210/240-2023 in the DOE test procedure for 3-phase
ACUACs and ACUHPs with cooling capacity of less than 65,000 Btu/h and
3-phase VRF with cooling capacity of less than 65,000 Btu/h. DOE also
seeks comment on its proposal to require compliance with this test
procedure on the compliance date of any amended energy conservation
standards that DOE may

[[Page 70335]]

decide to adopt later as part of a future rulemaking.
Issue 3: DOE seeks comment on its proposal to align the
representation requirements for the three-phase equipment addressed by
this NOPR with the requirements specified for single-phase products at
10 CFR 429.16 and 10 CFR 429.70(e),--but with the exception of testing
requirements and certain AEDM validation requirements for single-
package and single-split system models. Specifically, DOE requests
comment on its proposal to permit for three-phase, less than 65,000
Btu/h single-package and single-split system basic models with
otherwise identical single-phase counterparts the use of ratings based
on an AEDM validated using the test results from otherwise identical
central air conditioners and heat pumps, rather than requiring
validation using the test results of three-phase models. DOE also
requests comment on its proposed specification of the term ``otherwise
identical''. Finally, DOE requests comment on whether the proposed AEDM
requirements should include a provision to validate the correlation
between single-phase and three-phase performance as determined using an
AEDM.
Issue 4: DOE seeks comment on whether there are three-phase, less
than 65,000 Btu/h models of outdoor units with no match or multi-split,
multi-circuit, and multi-head mini-split systems on the market, and, if
so, whether AEDMs should be allowed for their ratings and what
requirements for AEDM validation should be specified.
Issue 5: DOE seeks comment on whether there are models of three-
phase single-split-system air conditioners with single-stage or two-
stage compressors that are not distributed in commerce as a coil-only
combination (i.e., distributed in commerce only as blower-coil
combination(s)).
Issue 6: DOE requests comment on its proposal to align the
definition of basic model for three-phase equipment at 10 CFR 431.96
with that for single-phase products at 10 CFR 430.2.
Issue 7: DOE seeks comment on its proposal not to amend
certification reporting requirements for the three-phase equipment
subject to this notice to align with single-phase products at this
time. DOE also requests details on whether any particular certification
reporting requirements in 10 CFR 429.16(e) are particularly problematic
for manufacturers (for both single-phase products and three-phase
equipment) and why.
Issue 8: DOE requests comment on its understanding of the impact of
the test procedure proposals in this NOPR, specifically DOE's tentative
determination that the proposed DOE test procedure amendments, if
finalized, would not increase testing burden on manufacturers, compared
to current industry practice as indicated by AHRI 210/240-2023.
Issue 9: DOE requests comment on the number of small businesses DOE
identified. DOE also seeks comment on the potential cost estimates for
each small business identified, compared to current industry practice,
as indicated in AHRI 210/240-2023.

VI. Approval of the Office of the Secretary

The Secretary of Energy has approved publication of this notice of
proposed rulemaking and request for comment.

List of Subjects

10 CFR Part 429

Administrative practice and procedure, Confidential business
information, Energy conservation, Household appliances, Imports,
Incorporation by reference, Intergovernmental relations, Reporting and
recordkeeping requirements, Small businesses.

10 CFR Part 431

Administrative practice and procedure, Confidential business
information, Energy conservation test procedures, Incorporation by
reference, and Reporting and recordkeeping requirements.

Signing Authority

This document of the Department of Energy was signed on November 5,
2021, by Kelly Speakes-Backman, Principal Deputy Assistant Secretary
and Acting Assistant Secretary for Energy Efficiency and Renewable
Energy, pursuant to delegated authority from the Secretary of Energy.
That document with the original signature and date is maintained by
DOE. For administrative purposes only, and in compliance with
requirements of the Office of the Federal Register, the undersigned DOE
Federal Register Liaison Officer has been authorized to sign and submit
the document in electronic format for publication, as an official
document of the Department of Energy. This administrative process in no
way alters the legal effect of this document upon publication in the
Federal Register.

Signed in Washington, DC, on November 9, 2021 .
Treena V. Garrett,
Federal Register Liaison Officer, U.S. Department of Energy.
For the reasons stated in the preamble, DOE is proposing to amend
parts 429 and 431 of Chapter II of Title 10, Code of Federal
Regulations as set forth below:

PART 429--CERTIFICATION, COMPLIANCE, AND ENFORCEMENT FOR CONSUMER
PRODUCTS AND COMMERCIAL AND INDUSTRIAL EQUIPMENT

0
1. The authority citation for part 429 continues to read as follows:

Authority: 42 U.S.C. 6291-6317; 28 U.S.C. 2461 note.

0
2. Amend Sec. 429.4 by adding paragraph (c)(3) to read as follows.

Sec. 429.4 Materials incorporated by reference.

* * * * *
(c) * * *
(3) AHRI Standard 210/240-2023, (``AHRI 210/240-2023''), 2023
Standard for Performance Rating of Unitary Air-Conditioning & Air-
Source Heat Pump Equipment, approved 2020, IBR approved for Sec. Sec.
429.64 and 429.134.
* * * * *
0
3. Amend Sec. 429.12 by revising paragraph (b)(8) to read as follows:

Sec. 429.12 General requirements applicable to certification
reports.

* * * * *
(b) * * *
(8) The test sample size as follows:
(i) The number of units tested for the basic model, or
(ii) In the case of single-split system or single-package central
air conditioners and central air conditioning heat pumps; air-cooled,
three-phase, small commercial package air conditioning and heating
equipment with a cooling capacity of less than 65,000 Btu/h; air-
cooled, three-phase, variable refrigerant flow multi-split air
conditioners and heat pumps with a cooling capacity of less than 65,000
Btu/h; or multi-split, multi-circuit, or multi-head mini-split systems
other than the ``tested combination'', the number of units tested for
each individual combination or individual model, or (iii) If an AEDM
was used in lieu of testing, enter ``0'' (and in the case of central
air conditioners and central air conditioning heat pumps, this must be
indicated separately for each metric);
* * * * *
0
4. Amend Sec. 429.43 by:
0
a. Revising the section heading;

[[Page 70336]]

0
b. Removing paragraphs (b)(2)(iii), (iv,) (ix) and (x);
0
c. Redesignating paragraphs (b)(2)(v) through (viii), and (xi) through
(xv) as paragraphs (b)(2)(iii) through (vi), and (vii) through (xi),
respectively;
0
d. Removing paragraphs (b)(4)(iii) through (vi); and
0
e. Redesignating paragraphs (b)(4)(vii) through (xiv) as paragraphs
(b)(4)(iii) through (x).
The revisions read as follows:

Sec. 429.43 Commercial heating, ventilating, air conditioning (HVAC)
equipment (excluding air-cooled, three-phase, small commercial package
air conditioning and heating equipment with a cooling capacity of less
than 65,000 British thermal units per hour and air-cooled, three-phase,
variable refrigerant flow multi-split air conditioners and heat pumps
with less than 65,000 British thermal units per hour cooling capacity).

* * * * *
0
5. Add Sec. 429.64 to read as follows:

Sec. 429.64 Air-cooled, three-phase, small commercial package air
conditioning and heating equipment with a cooling capacity of less than
65,000 British thermal units per hour and air-cooled, three-phase,
variable refrigerant flow multi-split air conditioners and heat pumps
with a cooling capacity of less than 65,000 British thermal units per
hour.

(a) Applicability. (1) For air-cooled, three-phase, small
commercial package air conditioning and heating equipment with a
cooling capacity of less than 65,000 Btu/h and air-cooled, three-phase,
variable refrigerant flow multi-split air conditioners and heat pumps
with a cooling capacity of less than 65,000 Btu/h subject to standards
in terms of seasonal energy efficiency ratio (SEER) and heating
seasonal performance factor (HSPF), representations with respect to the
energy use or efficiency, including compliance certifications, are
subject to the requirements in Sec. 429.43 of this title as it
appeared in the 10 CFR parts 200-499 edition revised as of January 1,
2021.
(2) For air-cooled, three-phase, small commercial package air
conditioning and heating equipment with a cooling capacity of less than
65,000 Btu/h and air-cooled, three-phase, variable refrigerant flow
multi-split air conditioners and heat pumps with a cooling capacity of
less than 65,000 Btu/h subject to standards in terms of seasonal energy
efficiency ratio 2 (``SEER2'') and heating seasonal performance factor
2 (``HSPF2'') metrics, representations with respect to the energy use
or efficiency, including compliance certifications, are subject to the
requirements in this section. If manufacturers choose to certify
compliance with any standards in terms of SEER2 and HSPF2 prior to the
applicable compliance date for those standards, the requirements of
this section must be followed.
(b) Determination of Represented Value--(1) Required represented
values. Determine the represented values (including SEER2, HSPF2,
cooling capacity, and heating capacity, as applicable) for the
individual models/combinations (or ``tested combinations'') specified
in the table to this paragraph (b)(1).

------------------------------------------------------------------------
Equipment Required represented
Category subcategory values
------------------------------------------------------------------------
Single-Package unit........... Single-Package AC Every individual
(including Space- model distributed in
Constrained). commerce.
Single-Package HP
(including Space-
Constrained).
Outdoor Unit and Indoor Unit Single-Split- Every individual
(Distributed in Commerce by System AC with combination
OUM (Outdoor Unit Single-Stage or distributed in
Manufacturer)). Two-Stage commerce must be
Compressor rated as a coil-only
(including Space- combination. For
Constrained and each model of
Small-Duct, High outdoor unit, this
Velocity Systems must include at
(SDHV)). least one coil-only
value that is
representative of
the least efficient
combination
distributed in
commerce with that
particular model of
outdoor unit.
Additional blower-
coil representations
are allowed for any
applicable
individual
combinations, if
distributed in
commerce.
Single-Split- Every individual
System AC with combination
Other Than distributed in
Single-Stage or commerce, including
Two-Stage all coil-only and
Compressor blower coil
(including Space- combinations.
Constrained and
SDHV).
Single-Split- Every individual
System HP combination
(including Space- distributed in
Constrained and commerce.
SDHV).
Multi-Split, For each model of
Multi-Circuit, outdoor unit, at a
or Multi-Head minimum, a non-
Mini-Split Split ducted ``tested
System--non-SDHV combination.'' For
(including Space- any model of outdoor
Constrained). unit also sold with
models of ducted
indoor units, a
ducted ``tested
combination.'' When
determining
represented values
on or after the
compliance date of
any amended energy
conservation
standards, the
ducted ``tested
combination'' must
comprise the highest
static variety of
ducted indoor unit
distributed in
commerce (i.e.,
conventional, mid-
static, or low-
static). Additional
representations are
allowed, as
described in
paragraph (d)(3) of
this section.
Multi-Split, For each model of
Multi-Circuit, outdoor unit, an
or Multi-Head SDHV ``tested
Mini-Split Split combination.''
System--SDHV. Additional
representations are
allowed, as
described in
paragraph (d)(3) of
this section.
Indoor Unit Only Distributed Single-Split- Every individual
in Commerce by ICM System Air combination
(Independent Coil Conditioner distributed in
Manufacturer). (including Space- commerce.
Constrained and
SDHV).

[[Page 70337]]

Single-Split- For a model of indoor
System Heat Pump unit within each
(including Space- basic model, a SDHV
Constrained and ``tested
SDHV). combination.''
Multi-Split, Additional
Multi-Circuit, representations are
or Multi-Head allowed, as
Mini-Split Split described in section
System--SDHV. (d)(3)(ii) of this
section.
------------------------------------------------------------------------
Outdoor Unit with no Match....................... Every model of
outdoor unit
distributed in
commerce (tested
with a model of coil-
only indoor unit as
specified in
paragraph (c)(2) of
this section).
------------------------------------------------------------------------

(2) Refrigerants. (i) If a model of outdoor unit (used in a single-
split, multi-split, multi-circuit, multi-head mini-split, and/or
outdoor unit with no match system) is distributed in commerce and
approved for use with multiple refrigerants, a manufacturer must
determine all represented values for that model using each refrigerant
that can be used in an individual combination of the basic model
(including outdoor units with no match or ``tested combinations'').
This requirement may apply across the listed categories in the table in
paragraph (b)(1) of this section. A refrigerant is considered approved
for use if it is listed on the nameplate of the outdoor unit. If any of
the refrigerants approved for use is HCFC-22 or has a 95 [deg]F
midpoint saturation absolute pressure that is <plus-minus>18 percent of
the 95 [deg]F saturation absolute pressure for HCFC-22, or if there are
no refrigerants designated as approved for use, a manufacturer must
determine represented values (including SEER2, HSPF2, cooling capacity,
and heating capacity, as applicable) for, at a minimum, an outdoor unit
with no match. If a model of outdoor unit is not charged with a
specified refrigerant from the point of manufacture or if the unit is
shipped requiring the addition of more than two pounds of refrigerant
to meet the charge required for testing per section 5.1.8 of AHRI 210/
240-2023 (incorporated by reference, see Sec. 429.4) (unless either
(a) the factory charge is equal to or greater than 70% of the outdoor
unit internal volume multiplied by the liquid density of refrigerant at
95 [deg]F or (b) an A2L refrigerant is approved for use and listed in
the certification report), a manufacturer must determine represented
values (including SEER2, HSPF2, cooling capacity, and heating capacity,
as applicable) for, at a minimum, an outdoor unit with no match.
(ii) If a model is approved for use with multiple refrigerants, a
manufacturer may make multiple separate representations for the
performance of that model (all within the same individual combination
or outdoor unit with no match) using the multiple approved
refrigerants. In the alternative, manufacturers may certify the model
(all within the same individual combination or outdoor unit with no
match) with a single representation, provided that the represented
value is no more efficient than its performance using the least-
efficient refrigerant. A single representation made for multiple
refrigerants may not include equipment in multiple categories or
equipment subcategories listed in the table in paragraph (b)(1) of this
section.
(3) Limitations for represented values of individual combinations.
The following paragraph explains the limitations for represented values
of individual combinations (or ``tested combinations'').
(i) Multiple product classes. Models of outdoor units that are
rated and distributed in individual combinations that span multiple
product classes must be tested, rated, and certified pursuant to
paragraph (b) of this section as compliant with the applicable standard
for each product class.
(ii) Reserved.
(4) Requirements. All represented values under paragraph (b) of
this section must be based on testing in accordance with the
requirements in paragraph (c) of this section or the application of an
AEDM or other methodology as allowed in paragraph (d) of this section.
(c) Units tested--(1) General. The general requirements of Sec.
429.11 apply to air-cooled, three-phase, small commercial package air
conditioning and heating equipment with a cooling capacity of less than
65,000 Btu/h, and air-cooled, three-phase, variable refrigerant flow
multi-split air conditioners and heat pumps with a cooling capacity of
less than 65,000 Btu/h; and
(2) Sampling plans and represented values. For individual models
(for single-package systems) or individual combinations (for split-
systems, including ``tested combinations'' for multi-split, multi-
circuit, and multi-head mini-split systems) with represented values
determined through testing, each individual model/combination (or
``tested combination'') must have a sample of sufficient size tested in
accordance with the applicable provisions of this subpart. For heat
pumps (other than heating-only heat pumps), all units of the sample
population must be tested in both the cooling and heating modes and the
results used for determining all representations. The represented
values for any individual model/combination must be assigned such that:
(i) Off-Mode. Any represented value of power consumption or other
measure of energy consumption for which consumers would favor lower
values must be greater than or equal to the higher of:
(A) The mean of the sample, where:
[GRAPHIC] [TIFF OMITTED] TP09DE21.001

and, x is the sample mean; n is the number of samples; and
x<INF>i</INF> is the ith sample; or,
(B) The upper 90 percent confidence limit (UCL) of the true mean
divided by 1.05, where:
[GRAPHIC] [TIFF OMITTED] TP09DE21.002

And x is the sample mean; s is the sample standard deviation; n is
the number of samples; and t<INF>0.90</INF> is the t statistic for a 90
percent one-tailed confidence interval with n-1 degrees of freedom
(from appendix A of this subpart). Round represented values of off-mode
power consumption to the nearest watt.
(ii) SEER2 and HSPF2. Any represented value of the energy
efficiency or other measure of energy consumption for which consumers
would favor higher values shall be less than or equal to the lower of:

[[Page 70338]]

(A) The mean of the sample, where:
[GRAPHIC] [TIFF OMITTED] TP09DE21.003

and, x is the sample mean; n is the number of samples; and
x<INF>i</INF> is the ith sample; or,
(B) The lower 90 percent confidence limit (LCL) of the true mean
divided by 0.95, where:
[GRAPHIC] [TIFF OMITTED] TP09DE21.004

And x is the sample mean; s is the sample standard deviation; n is
the number of samples; and t<INF>0.90</INF> is the t statistic for a 90
percent one-tailed confidence interval with n-1 degrees of freedom
(from appendix A of this subpart). Round represented values of SEER2
and HSPF2 to the nearest 0.05.
(iii) Cooling Capacity and Heating Capacity. The represented values
of cooling capacity and heating capacity must each be a self-declared
value that is:
(A) Less than or equal to the lower of:
(1) The mean of the sample, where:
[GRAPHIC] [TIFF OMITTED] TP09DE21.005

and, x is the sample mean; n is the number of samples; and
x<INF>i</INF> is the ith sample; or,
(2) The lower 90 percent confidence limit (LCL) of the true mean
divided by 0.95, where:
[GRAPHIC] [TIFF OMITTED] TP09DE21.006

And x is the sample mean; s is the sample standard deviation; n is
the number of samples; and t<INF>0.90</INF> is the t statistic for a 90
percent one-tailed confidence interval with n-1 degrees of freedom
(from appendix D of this part).
(B) Rounded according to:
(1) The nearest 100 Btu/h if cooling capacity or heating capacity
is less than 20,000 Btu/h,
(2) The nearest 200 Btu/h if cooling capacity or heating capacity
is greater than or equal to 20,000 Btu/h but less than 38,000 Btu/h,
and
(3) The nearest 500 Btu/h if cooling capacity or heating capacity
is greater than or equal to 38,000 Btu/h and less than 65,000 Btu/h.
(d) Determination of represented values--(1) All basic models
except outdoor units with no match and multi-split systems, multi-
circuit systems, and multi-head mini-split systems.
(i) For every individual model/combination within a basic model,
either--
(A) A sample of sufficient size, comprised of production units or
representing production units, must be tested as complete systems with
the resulting represented values for the individual model/combination
obtained in accordance with paragraphs (c)(1) and (2) of this section;
or
(B) The represented values of the measures of energy efficiency or
energy consumption through the application of an AEDM in accordance
with paragraph (e) of this section and Sec. 429.70.
(2) Outdoor units with no match. All models of outdoor units with
no match within a basic model must be tested with a model of coil-only
indoor unit meeting the requirements of section 5.1.6.2 of AHRI 210/
240-2023. Models of outdoor units with no match may not be rated with
an AEDM, other than to determine the represented values for models
using approved refrigerants other than the one used in testing.
(3) For multi-split systems, multi-circuit systems, and multi-head
mini-split systems. The following applies:
(i) For each non-SDHV basic model, at a minimum, a manufacturer
must test the model of outdoor unit with a ``tested combination''
composed entirely of non-ducted indoor units. For any models of outdoor
units also sold with models of ducted indoor units, a manufacturer must
test a second ``tested combination'' composed entirely of ducted indoor
units (in addition to the non-ducted combination). The ducted ``tested
combination'' must comprise the highest static variety of ducted indoor
unit distributed in commerce (i.e., conventional, mid-static, or low-
static).
(ii) If a manufacturer chooses to make representations of a variety
of a basic model (i.e., conventional, low static, or mid-static) other
than a variety for which a representation is required under paragraph
(b)(1) of this section the manufacturer must conduct testing of a
tested combination according to the requirements in paragraphs (c)(1)
and (2) of this section.
(iii) For basic models that include mixed combinations of indoor
units (i.e., combinations that are comprised of any two of the
following varieties--non-ducted, low-static, mid-static, and
conventional ducted indoor units), the represented value for the mixed
combination is the mean of the represented values for the individual
component combinations as determined in accordance with paragraphs
(c)(1) and (2) and paragraphs (d)(3)(i) and (ii) of this section.
(iv) For each SDHV basic model distributed in commerce by an OUM,
the OUM must, at a minimum, test the model of outdoor unit with a
``tested combination'' composed entirely of SDHV indoor units. For each
SDHV basic model distributed in commerce by an ICM, the ICM must test
the model of indoor unit with a ``tested combination'' composed
entirely of SDHV indoor units, where the outdoor unit is the least
efficient model of outdoor unit with which the SDHV indoor unit will be
paired. The least efficient model of outdoor unit is the model of
outdoor unit in the lowest SEER2 combination as certified by the
outdoor unit manufacturer. If there are multiple outdoor unit models
with the same lowest SEER2 represented value, the indoor coil
manufacturer may select one for testing purposes.
(v) For basic models that include SDHV and an indoor unit of
another variety (i.e., non-ducted, low-static, mid-static, and
conventional ducted), the represented value for the mixed SDHV/other
combination is the mean of the represented values for the SDHV and
other tested combination as determined in accordance with paragraphs
(c)(1) through (2) and paragraphs (d)(3)(i) through (ii) of this
section.
(vi) All other individual combinations of models of indoor units
for the same model of outdoor unit for which the manufacturer chooses
to make representations must be rated as separate basic models, and the
provisions of paragraphs (c)(1) through (2) and (d)(3)(i) through (v)
of this section apply.
(e) Alternative efficiency determination methods. In lieu of
testing, represented values of efficiency or consumption may be
determined through the application of an AEDM pursuant to the
requirements of Sec. 429.70(i) and the provisions of this section.
(1) Power or energy consumption. Any represented value of the
average off mode power consumption or other measure of energy
consumption of an individual model/combination for which consumers
would favor lower values must be greater than or equal to the output of
the AEDM but no greater than the standard.
(2) Energy efficiency. Any represented value of the SEER2, HSPF2,
or other measure of energy efficiency of an individual model/
combination for which consumers would favor higher values must be less
than or equal to the output of the AEDM but no less than the standard.
(3) Cooling capacity. The represented value of cooling capacity of
an individual model/combination must be no greater than the cooling
capacity output simulated by the AEDM.

[[Page 70339]]

(4) Heating capacity. The represented value of heating capacity of
an individual model/combination must be no greater than the heating
capacity output simulated by the AEDM.
(f) Certification reports. This paragraph specifies the information
that must be included in a certification report.
(1) The requirements of Sec. 429.12; and
(2) Pursuant to Sec. 429.12(b)(13), for each individual model (for
single-package systems) or individual combination (for split-systems,
including outdoor units with no match and ``tested combinations'' for
multi-split, multi-circuit, and multi-head mini-split systems), a
certification report must include the following public equipment-
specific information:
(i) Commercial package air conditioning equipment that is air-
cooled with a cooling capacity of less than 65,000 Btu/h (3-Phase): The
seasonal energy efficiency ratio (SEER in British thermal units per
Watt-hour (Btu/Wh), and the rated cooling capacity in British thermal
units per hour (Btu/h).
(ii) Commercial package heating equipment that is air-cooled with a
cooling capacity of less than 65,000 Btu/h (3-Phase): The seasonal
energy efficiency ratio (SEER in British thermal units per Watt-hour
(Btu/Wh)), the heating seasonal performance factor (HSPF in British
thermal units per Watt-hour (Btu/Wh)), and the rated cooling capacity
in British thermal units per hour (Btu/h).
(iii) Variable refrigerant flow multi-split air conditioners that
are air-cooled with rated cooling capacity of less than 65,000 Btu/h
(3-Phase): The seasonal energy efficiency ratio (SEER in British
thermal units per Watt-hour (Btu/Wh)) and rated cooling capacity in
British thermal units per hour (Btu/h).
(iv) Variable refrigerant flow multi-split heat pumps that are air-
cooled with rated cooling capacity of less than 65,000 Btu/h (3-Phase):
The seasonal energy efficiency ratio (SEER in British thermal units per
Watt-hour (Btu/Wh)), the heating seasonal performance factor (HSPF in
British thermal units per Watt-hour (Btu/Wh)), and rated cooling
capacity in British thermal units per hour (Btu/h).
(3) Pursuant to Sec. 429.12(b)(13), for each individual model/
combination (including outdoor units with no match and ``tested
combinations''), a certification report must include supplemental
information submitted in PDF format. The equipment-specific,
supplemental information must include any additional testing and
testing set up instructions (e.g., charging instructions) for the basic
model; identification of all special features that were included in
rating the basic model; and all other information (e.g., operational
codes or component settings) necessary to operate the basic model under
the required conditions specified by the relevant test procedure. A
manufacturer may also include with a certification report other
supplementary items in PDF format (e.g., manuals) for DOE consideration
in performing testing under subpart C of this part. The equipment-
specific, supplemental information must include at least the following:
(i) Air cooled commercial package air conditioning equipment with a
cooling capacity of less than 65,000 Btu/h (3-phase): The nominal
cooling capacity in British thermal units per hour (Btu/h); rated
airflow in standard cubic feet per minute (SCFM) for each fan coil;
rated static pressure in inches of water; refrigeration charging
instructions (e.g., refrigerant charge, superheat and/or subcooling
temperatures); frequency or control set points for variable speed
components (e.g., compressors, VFDs); required dip switch/control
settings for step or variable components; a statement whether the model
will operate at test conditions without manufacturer programming; any
additional testing instructions, if applicable; if a variety of motors/
drive kits are offered for sale as options in the basic model to
account for varying installation requirements, the model number and
specifications of the motor (to include efficiency, horsepower, open/
closed, and number of poles) and the drive kit, including settings,
associated with that specific motor that were used to determine the
certified rating; and which, if any, special features were included in
rating the basic model.
(ii) Commercial package heating equipment that is air-cooled with a
cooling capacity of less than 65,000 Btu/h (3-phase): The nominal
cooling capacity in British thermal units per hour (Btu/h); rated
heating capacity in British thermal units per hour (Btu/h); rated
airflow in standard cubic feet per minute (SCFM) for each fan coil;
rated static pressure in inches of water; refrigeration charging
instructions (e.g., refrigerant charge, superheat and/or subcooling
temperatures); frequency or control set points for variable speed
components (e.g., compressors, VFDs); required dip switch/control
settings for step or variable components; a statement whether the model
will operate at test conditions without manufacturer programming; any
additional testing instructions, if applicable; if a variety of motors/
drive kits are offered for sale as options in the basic model to
account for varying installation requirements, the model number and
specifications of the motor (to include efficiency, horsepower, open/
closed, and number of poles) and the drive kit, including settings,
associated with that specific motor that were used to determine the
certified rating; and which, if any, special features were included in
rating the basic model.
(iii) Variable refrigerant flow multi-split air conditioners that
are air-cooled with a cooling capacity of less than 65,000 Btu/h (3-
Phase): The nominal cooling capacity in British thermal units per hour
(Btu/h); outdoor unit(s) and indoor units identified in the tested
combination; components needed for heat recovery, if applicable; rated
airflow in standard cubic feet per minute (SCFM) for each indoor unit;
rated static pressure in inches of water; compressor frequency set
points; required dip switch/control settings for step or variable
components; a statement whether the model will operate at test
conditions without manufacturer programming; any additional testing
instructions, if applicable; if a variety of motors/drive kits are
offered for sale as options in the basic model to account for varying
installation requirements, the model number and specifications of the
motor (to include efficiency, horsepower, open/closed, and number of
poles) and the drive kit, including settings, associated with that
specific motor that were used to determine the certified rating; and
which, if any, special features were included in rating the basic
model. Additionally, upon DOE request, the manufacturer must provide a
layout of the system set-up for testing including charging instructions
consistent with the installation manual.
(iv) Variable refrigerant flow multi-split heat pumps that are air-
cooled with rated cooling capacity of less than 65,000 Btu/h (3-Phase):
The nominal cooling capacity in British thermal units per hour (Btu/h);
rated heating capacity in British thermal units per hour (Btu/h);
outdoor unit(s) and indoor units identified in the tested combination;
components needed for heat recovery, if applicable; rated airflow in
standard cubic feet per minute (SCFM) for each indoor unit; rated
static pressure in inches of water; compressor frequency set points;
required dip switch/control settings for step or variable components; a
statement whether the model will operate at test conditions without
manufacturer programming; any additional testing instructions, if

[[Page 70340]]

applicable; if a variety of motors/drive kits are offered for sale as
options in the basic model to account for varying installation
requirements, the model number and specifications of the motor (to
include efficiency, horsepower, open/closed, and number of poles) and
the drive kit, including settings, associated with that specific motor
that were used to determine the certified rating; and which, if any,
special features were included in rating the basic model. Additionally,
upon DOE request, the manufacturer must provide a layout of the system
set-up for testing including charging instructions consistent with the
installation manual.
0
6. Amend Sec. 429.70 by:
0
a. Revising paragraph (c) introductory text;
0
b. Revising the tables in paragraphs (c)(2)(iv) and (c)(5)(vi)(B); and
0
c. Adding paragraph (i).
The revisions and addition read as follows:

Sec. 429.70 Alternative methods for determining energy efficiency and
energy use.

* * * * *
(c) Alternative efficiency determination method (AEDM) for
commercial HVAC & WH products (excluding air-cooled, three-phase, small
commercial package air conditioning and heating equipment with a
cooling capacity of less than 65,000 Btu/h and air-cooled, three-phase,
variable refrigerant flow multi-split air conditioners and heat pumps
with less than 65,000 Btu/h cooling capacity), and commercial
refrigerators, freezers, and refrigerator-freezers--
* * * * *
(2) * * *
(iv) * * *

------------------------------------------------------------------------
Minimum number of distinct
Validation class models that must be tested
per AEDM
------------------------------------------------------------------------
(A) Commercial HVAC validation classes
------------------------------------------------------------------------
Air-Cooled, Split and Packaged ACs and HPs 2 Basic Models.
Greater than or Equal to 65,000 Btu/h
Cooling Capacity and Less than 760,000 Btu/
h Cooling Capacity.
Water-Cooled, Split and Packaged ACs and 2 Basic Models.
HPs, All Cooling Capacities.
Evaporatively-Cooled, Split and Packaged 2 Basic Models.
ACs and HPs, All Capacities.
Water-Source HPs, All Capacities........... 2 Basic Models.
Single Package Vertical ACs and HPs........ 2 Basic Models.
Packaged Terminal ACs and HPs.............. 2 Basic Models.
Air-Cooled, Variable Refrigerant Flow ACs 2 Basic Models.
and HPs Greater than or Equal to 65,000
Btu/h Cooling Capacity.
Water-Cooled, Variable Refrigerant Flow ACs 2 Basic Models.
and HPs.
Computer Room Air Conditioners, Air Cooled. 2 Basic Models.
Computer Room Air Conditioners, Water- 2 Basic Models.
Cooled.
------------------------------------------------------------------------
(B) Commercial water heater validation classes
------------------------------------------------------------------------
Gas-fired Water Heaters and Hot Water 2 Basic Models.
Supply Boilers Less than 10 Gallons.
Gas-fired Water Heaters and Hot Water 2 Basic Models.
Supply Boilers Greater than or Equal to 10
Gallons.
Oil-fired Water Heaters and Hot Water 2 Basic Models.
Supply Boilers Less than 10 Gallons.
Oil-fired Water Heaters and Hot Water 2 Basic Models.
Supply Boilers Greater than or Equal to 10
Gallons.
Electric Water Heaters..................... 2 Basic Models.
Heat Pump Water Heaters.................... 2 Basic Models.
Unfired Hot Water Storage Tanks............ 2 Basic Models.
------------------------------------------------------------------------
(C) Commercial packaged boilers validation classes
------------------------------------------------------------------------
Gas-fired, Hot Water Only Commercial 2 Basic Models.
Packaged Boilers.
Gas-fired, Steam Only Commercial Packaged 2 Basic Models.
Boilers.
Gas-fired Hot Water/Steam Commercial 2 Basic Models.
Packaged Boilers.
Oil-fired, Hot Water Only Commercial 2 Basic Models.
Packaged Boilers.
Oil-fired, Steam Only Commercial Packaged 2 Basic Models.
Boilers.
Oil-fired Hot Water/Steam Commercial 2 Basic Models.
Packaged Boilers.
------------------------------------------------------------------------
(D) Commercial furnace validation classes
------------------------------------------------------------------------
Gas-fired Furnaces......................... 2 Basic Models.
Oil-fired Furnaces......................... 2 Basic Models.
------------------------------------------------------------------------
(E) Commercial refrigeration equipment validation classes
------------------------------------------------------------------------
Self-Contained Open Refrigerators.......... 2 Basic Models.
Self-Contained Open Freezers............... 2 Basic Models.
Remote Condensing Open Refrigerators....... 2 Basic Models.
Remote Condensing Open Freezers............ 2 Basic Models.
Self-Contained Closed Refrigerators........ 2 Basic Models.
Self-Contained Closed Freezers............. 2 Basic Models.
Remote Condensing Closed Refrigerators..... 2 Basic Models.
Remote Condensing Closed Freezers.......... 2 Basic Models.
------------------------------------------------------------------------
\1\ The minimum number of tests indicated above must be comprised of a
transparent model, a solid model, a vertical model, a semi-vertical
model, a horizontal model, and a service-over-the counter model, as
applicable based on the equipment offering. However, manufacturers do
not need to include all types of these models if it will increase the
minimum number of tests that need to be conducted.

[[Page 70341]]

* * * * *
(5) * * *
(vi) * * *
(B) * * *

------------------------------------------------------------------------
Applicable
Equipment Metric tolerance (%)
------------------------------------------------------------------------
Commercial Packaged Boilers....... Combustion 5 (0.05)
Efficiency.
Thermal Efficiency.. 5 (0.05)
Commercial Water Heaters or Hot Thermal Efficiency.. 5 (0.05)
Water Supply Boilers.
Standby Loss........ 10 (0.1)
Unfired Storage Tanks............. R-Value............. 10 (0.1)
Air-Cooled, Split and Packaged ACs Energy Efficiency 5 (0.05)
and HPs Greater than or Equal to Ratio. 5 (0.05)
65,000 Btu/h Cooling Capacity and Coefficient of
Less than 760,000 Btu/h Cooling Performance.
Capacity.
Integrated Energy 10 (0.1)
Efficiency Ratio.
Water-Cooled, Split and Packaged Energy Efficiency 5 (0.05)
ACs and HPs, All Cooling Ratio.
Capacities.
Coefficient of 5 (0.05)
Performance.
Integrated Energy 10 (0.1)
Efficiency Ratio.
Evaporatively-Cooled, Split and Energy Efficiency 5 (0.05)
Packaged ACs and HPs, All Ratio.
Capacities.
Coefficient of 5 (0.05)
Performance.
Integrated Energy 10 (0.1)
Efficiency Ratio.
Water-Source HPs, All Capacities.. Energy Efficiency 5 (0.05)
Ratio.
Coefficient of 5 (0.05)
Performance.
Integrated Energy 10 (0.1)
Efficiency Ratio.
Single Package Vertical ACs and Energy Efficiency 5 (0.05)
HPs. Ratio.
Coefficient of 5 (0.05)
Performance.
Packaged Terminal ACs and HPs..... Energy Efficiency 5 (0.05)
Ratio.
Coefficient of 5 (0.05)
Performance.
Variable Refrigerant Flow ACs and Energy Efficiency 5 (0.05)
HPs (Excluding Air-Cooled, Three- Ratio. 5 (0.05)
phase with Less than 65,000 Btu/h Coefficient of
Cooling Capacity). Performance.
Integrated Energy 10 (0.1)
Efficiency Ratio.
Computer Room Air Conditioners.... Sensible Coefficient 5 (0.05)
of Performance.
Commercial Warm-Air Furnaces...... Thermal Efficiency.. 5 (0.05)
Commercial Refrigeration Equipment Daily Energy 5 (0.05)
Consumption.
------------------------------------------------------------------------

* * * * *
(i) Alternate Efficiency Determination Method (AEDM) for air-
cooled, three-phase, small commercial package air conditioning and
heating equipment with a cooling capacity of less than 65,000 Btu/h and
air-cooled, three-phase, variable refrigerant flow multi-split air
conditioners and heat pumps with less than 65,000 Btu/h cooling
capacity.
(1) Applicability. (i) For air-cooled, three-phase, small
commercial package air conditioning and heating equipment with a
cooling capacity of less than 65,000 Btu/h and air-cooled, three-phase,
variable refrigerant flow multi-split air conditioners and heat pumps
with a cooling capacity of less than 65,000 Btu/h subject to standards
in terms of seasonal energy efficiency ratio (SEER) and heating
seasonal performance factor (HSPF), representations with respect to the
energy use or efficiency, including compliance certifications, are
subject to the requirements in Sec. 429.70(c) of this title as it
appeared in the 10 CFR parts 200-499 edition revised as of January 1,
2021.
(ii) For air-cooled, three-phase, small commercial package air
conditioning and heating equipment with a cooling capacity of less than
65,000 Btu/h and air-cooled, three-phase, variable refrigerant flow
multi-split air conditioners and heat pumps with a cooling capacity of
less than 65,000 Btu/h subject to standards in terms of seasonal energy
efficiency ratio 2 (``SEER2'') and heating seasonal performance factor
2 (``HSPF2'') metrics, representations with respect to the energy use
or efficiency, including compliance certifications, are subject to the
requirements in this section. If manufacturers choose to certify
compliance with any standards in terms of SEER2 and HSPF2 prior to the
applicable compliance date for those standards, the requirements of
this section must be followed.
(2) Criteria an AEDM must satisfy. A manufacturer may not apply an
AEDM to an individual model/combination to determine its represented
values (SEER2 and HSPF2, as applicable) pursuant to this section unless
authorized pursuant to Sec. 429.64(e) and:
(i) The AEDM is derived from a mathematical model that estimates
the energy efficiency or energy consumption characteristics of the
individual model or combination (SEER2 and HSPF2, as applicable) as
measured by the applicable DOE test procedure; and
(ii) The manufacturer has validated the AEDM in accordance with
paragraph (i)(3) of this section.
(3) Validation of an AEDM. For manufacturers whose models of air-
cooled, three-phase, small commercial package air conditioning and
heating equipment with a cooling capacity of less than 65,000 Btu/h or
air-cooled, three-phase, variable refrigerant flow multi-split air
conditioners and heat pumps with a cooling capacity of less than 65,000
Btu/h are otherwise

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