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Proposed Rule2022-02279

Energy Conservation Program: Test Procedure for Computer Room Air Conditioners

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Published

February 7, 2022

Issuing agencies

Energy Department

Abstract

The U.S. Department of Energy (DOE or the Department) proposes to amend its test procedure for computer room air conditioners (CRACs) to incorporate by reference the latest draft version of the relevant industry consensus test standard. DOE also proposes to adopt the net sensible coefficient of performance (NSenCOP) metric in its test procedures for CRACs. Additionally, DOE proposes to amend certain provisions for representations and enforcement. DOE welcomes written comments from the public on any subject within the scope of this document (including topics not raised in this proposal), as well as the submission of data and other relevant information.

Full Text

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<title>Federal Register, Volume 87 Issue 25 (Monday, February 7, 2022)</title>
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[Federal Register Volume 87, Number 25 (Monday, February 7, 2022)]
[Proposed Rules]
[Pages 6948-6981]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2022-02279]

[[Page 6947]]

Vol. 87

Monday,

No. 25

February 7, 2022

Part II

Department of Energy

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10 CFR Parts 429 and 431

Energy Conservation Program: Test Procedure for Computer Room Air
Conditioners; Proposed Rule

Federal Register / Vol. 87 , No. 25 / Monday, February 7, 2022 /
Proposed Rules

[[Page 6948]]

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DEPARTMENT OF ENERGY

10 CFR Parts 429 and 431

[EERE-2021-BT-TP-0017]
RIN 1904-AE45

Energy Conservation Program: Test Procedure for Computer Room Air
Conditioners

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 computer room air conditioners (CRACs)
to incorporate by reference the latest draft version of the relevant
industry consensus test standard. DOE also proposes to adopt the net
sensible coefficient of performance (NSenCOP) metric in its test
procedures for CRACs. Additionally, DOE proposes to amend certain
provisions for representations and enforcement. DOE welcomes written
comments from the public on any subject within the scope of this
document (including topics not raised in this proposal), as well as the
submission of data and other relevant information.

DATES:
Comments: DOE will accept comments, data, and information regarding
this notice of proposed rulemaking (NOPR) no later than April 8, 2022.
See section V, ``Public Participation,'' for details.
Meeting: DOE will hold a webinar on Tuesday, March, 15, 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.

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-2021-BT-TP-0017, 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#1754787a67626372654578787a5654252725264347272726205772723973787239707861">[email&#160;protected]</a>. Include docket
number EERE-2021-BT-TP-0017 in the subject line of the message.
No telefacsimiles (faxes) will be accepted. For detailed
instructions on submitting comments and additional information on this
process, see section V of this document (Public Participation).
Although DOE has routinely accepted public comment submissions
through a variety of mechanisms, including the Federal eRulemaking
Portal, email, postal mail, or 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. 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/webinar attendee lists and transcripts, 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/EERE-2021-BT-TP-0017">www.regulations.gov/docket/EERE-2021-BT-TP-0017</a>. The docket web page contains instructions on how
to access all documents, including public comments, in the docket. See
section V (Public Participation) 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-5B,
1000 Independence Avenue SW, Washington, DC 20585-0121. Telephone:
(202) 586-7335. Email: <a href="/cdn-cgi/l/email-protection#0a4b7a7a66636b64696f597e6b646e6b786e795b7f6f797e636564794a6f6f246e656f246d657c">[email&#160;protected]</a>.
Mr. Eric Stas, U.S. Department of Energy, Office of the General
Counsel, GC-33, 1000 Independence Avenue SW, Washington, DC 20585-0121.
Telephone: (202) 586-5827. Email: <a href="/cdn-cgi/l/email-protection#4702352e246914332634072f366923282269202831">[email&#160;protected]</a>.
For further information on how to submit a comment, review other
public comments and the docket, or participate in the webinar, contact
the Appliance and Equipment Standards Program staff at (202) 287-1445
or by email: <a href="/cdn-cgi/l/email-protection#0c4d7c7c60656d626f695f786d62686d7e687f5d79697f786563627f4c696922686369226b637a">[email&#160;protected]</a>.

SUPPLEMENTARY INFORMATION: DOE proposes to incorporate by reference the
following draft industry standard into parts 429 and 431:
Air-Conditioning, Heating and Refrigeration Institute (``AHRI'')
Standard 1360-202X Draft, ``Performance Rating of Computer and Data
Processing Room Air Conditioners (``Draft Standard'').'' AHRI Standard
1360-202X Draft is in draft form and its text was provided to the
Department for the purposes of review only during the drafting of this
NOPR. DOE intends to update the reference to the final published
version of AHRI 1360-202X Draft in the Final Rule, unless there are
substantive changes between the draft and published versions, in which
case DOE may adopt the substance of the AHRI 1360-202X Draft or provide
additional opportunity for comment on the changes to the industry
consensus test procedure.
A copy of AHRI 1360-202X Draft is attached in this docket for
review.
DOE proposes to maintain and update the previously approved
incorporation by reference for the following industry standards in part
431:
ANSI/ASHRAE Standard 37-2009, ``Methods of Testing for Rating
Electrically Driven Unitary Air-Conditioning and Heat Pump Equipment,''
ASHRAE approved June 24, 2009.
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="http://webstore.ansi.org/">webstore.ansi.org/</a>.
American National Standards Institute (``ANSI'')/American Society
of Heating, Refrigerating, and Air-Conditioning Engineers (``ASHRAE'')
Standard 127-2007 ``Method of Testing for Rating Computer and Data
Processing Room Unitary Air Conditioners,'' ANSI approved June 28,
2007.
Copies of ANSI/ASHRAE Standard 127-2007 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>.
DOE proposes to incorporate by reference the following industry
standard in part 431:
ANSI/ASHRAE Standard 127-2020, ``Method of Testing for Rating
Computer and Data Processing Room Unitary Air Conditioners,'' ANSI
approved November 30, 2020.

[[Page 6949]]

Copies of ANSI/ASHRAE Standard 127-2020 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="http://webstore.ansi.org/">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. Proposed Organization of the CRAC Test Procedure
C. Updates to Industry Test Standards
D. Definitions
1. CRAC Definition
2. CRAC Configuration Definitions
a. Mounting Configurations
b. Flow Direction
c. Ducted and Non-Ducted Definitions
d. Fluid Economizer
E. Metric
1. NSenCOP
a. Indoor Entering Air Temperatures
b. Entering Water Temperatures
c. Indoor Air ESP Requirements
d. Energy Consumption of Heat Rejection Components
e. Conclusion
2. Integrated Efficiency Metric
3. Part-Load Operation and Air Circulation Mode
F. Test Method
1. Standard Configurations
2. Ceiling-Mounted CRACs
3. Non-Floor Mounted CRACs
4. ANSI/ASHRAE 37 Test Requirements
a. Test Tolerances
b. Enclosure for CRACs With Compressors in Indoor Units
c. Secondary Methods for Capacity Measurement
5. Ducted Condensers
6. Minimum External Static Pressure Requirements
7. Refrigerant Charging Instructions
G. Configuration of Unit Under Test
1. Specific Components
2. Non-Standard Indoor Fan Motors
H. General Comments
I. Represented Values
1. Multiple Refrigerants
2. Net Sensible Cooling Capacity
3. Validation Class for Glycol-Cooled CRACs
J. Test Procedure Costs and Impact
K. Reserved Appendices for Test Procedures for Commercial Air
Conditioning and Heating Equipment
L. Compliance Date
IV. Procedural Issues and Regulatory Review
A. Review Under Executive Order 12866
B. Review Under the Regulatory Flexibility Act
1. Description of Reasons Why Action Is Being Considered
2. Objective of, and Legal Basis for, Rule
3. Description and Estimate of Small Entities Regulated
4. Description and Estimate of Compliance Requirements
5. Duplication, Overlap, and Conflict With Other Rules and
Regulations
6. Significant Alternatives to the Rule
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. Procedures 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)) Commercial
package air conditioning and heating equipment includes CRACs as an
equipment category. The current DOE test procedures for CRACs are
codified at Title 10 of the Code of Federal Regulations (CFR), part
431, subpart F, appendix A, ``Uniform Test Method for the Measurement
of Energy Consumption of Air-Cooled Small ([gteqt]65,000 Btu/h),\1\
Large, and Very Large Commercial Package Air Conditioning and Heating
Equipment'' (appendix A). The following sections discuss DOE's
authority to establish and amend test procedures for CRACs, as well as
relevant background information regarding DOE's consideration of and
proposed amendments to the test procedures for this equipment.
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\1\ ``Btu/h'' refers to British thermal units per hour.
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A. Authority

The Energy Policy and Conservation Act, as amended (EPCA),\2\ among
other things, authorizes DOE to regulate the energy efficiency of a
number of consumer products and certain industrial equipment. (42
U.S.C. 6291-6317) Title III, Part C \3\ of EPCA, Public Law 94-163 (42
U.S.C. 6311-6317, as codified), 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. This covered equipment includes small,
large, and very large commercial package air conditioning and heating
equipment. (42 U.S.C. 6311(1)(B)-(D)) Commercial package air
conditioning and heating equipment includes CRACs, which are the
subject of this NOPR.
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\2\ 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).
\3\ 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) Federal energy conservation
standards, and (4) certification and enforcement procedures. Relevant
provisions of EPCA include definitions (42 U.S.C. 6311), energy
conservation standards (42 U.S.C. 6313), test procedures (42 U.S.C.
6314), labeling provisions (42 U.S.C. 6315), and the authority to
require information and reports from manufacturers (42 U.S.C. 6316).
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) and (b); 42 U.S.C. 6297) DOE may, however, grant waivers
of Federal preemption in limited circumstances 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, the statute also sets forth the criteria and
procedures DOE is required to follow when prescribing or amending test
procedures for covered equipment. Specifically, EPCA requires that any
test procedure prescribed or amended shall be reasonably designed to
produce test results which measure energy efficiency, energy use, or
estimated annual operating cost of covered

[[Page 6950]]

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, CRACs are a category of commercial package air
conditioning and heating equipment. EPCA requires that the test
procedures for commercial package air conditioning and heating
equipment 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 such an industry test procedure is
amended, DOE must update 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))
EPCA also requires that, at least once every seven years, DOE
evaluate test procedures for each type of covered equipment, including
commercial package air conditioning and heating equipment (of which
CRACs are a category), to determine whether amended test procedures
would more accurately or fully comply with the requirements for the
test procedures not to 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)-(3)).
If DOE determines that a test procedure amendment is warranted, it
must publish proposed test procedures in the Federal Register and
afford interested persons an opportunity (of not less than 45 days
duration) 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 in the
Federal Register its determination not to amend the test procedures.
(42 U.S.C. 6314(a)(1)(A)(ii))
DOE is publishing this NOPR proposing amendments to the test
procedures for CRACs in satisfaction of its aforementioned obligations
under EPCA.

B. Background

On May 16, 2012, DOE published a final rule in the Federal
Register, which, in relevant part, adopted test procedures for CRACs
that incorporate by reference ANSI/ASHRAE Standard 127-2007, ``Method
of Testing for Rating Computer and Data Processing Room Unitary Air
Conditioners'' (ANSI/ASHRAE 127-2007), which is the industry test
procedure referenced in ASHRAE Standard 90.1-2010 for CRACs, as the
basis for the Federal test procedure for such equipment. 77 FR 28928,
28989 (May 16, 2012). On October 26, 2016, ASHRAE published ASHRAE
Standard 90.1-2016, which included updates to the test procedure
references for CRACs as compared to ASHRAE Standard 90.1-2010 and
ASHRAE Standard 90.1-2013.\4\ This action by ASHRAE triggered DOE's
obligations under 42 U.S.C. 6314(a)(4)(B), as outlined previously. On
July 25, 2017, DOE published a request for information (RFI) (the July
2017 ASHRAE TP RFI) in the Federal Register to collect information and
data to consider amendments to DOE's test procedures for commercial
package air conditioning and heating equipment, given the test
procedure updates included in ASHRAE Standard 90.1-2016. 82 FR 34427.
As part of the July 2017 ASHRAE TP RFI, DOE identified several aspects
of the currently applicable Federal test procedure that might warrant
modifications, in particular: Incorporation by reference of the most
recent version of the relevant industry standard(s); efficiency metrics
and calculations; clarification of test methods; and any additional
topics that may inform DOE's decisions in a future test procedure
rulemaking, including methods to reduce regulatory burden while
ensuring the test procedures' accuracy.
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\4\ More specifically, ASHRAE Standard 90.1-2016 references AHRI
1360-2016, ``Standard for Performance Rating of Computer and Data
Processing Room Air Conditioners'' for CRACs.
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DOE received a number of comments regarding CRACs from interested
parties in response to the July 2017 ASHRAE TP RFI, which covered
multiple categories of equipment. Table I-1 lists the commenters
relevant to CRACs, along with each commenter's abbreviated name used
throughout this NOPR. Discussion of the relevant comments, and DOE's
responses, are provided in the appropriate sections of 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 a docket related to DOE's rulemaking to
develop test procedures for CRACs. As noted, the July 2017 ASHRAE TP
RFI addressed 4 different equipment categories and is available
under docket number EERE-2017-BT-TP-0018. As this NOPR addresses
only CRACs, it has been assigned a separate docket number (i.e.,
EERE-2021-BT-TP-0017). The references are arranged as follows:
(Commenter name, comment docket ID number, page of that document).

Table I-1--Interested Parties Providing CRAC-Related Written Comments in Response to the July 2017 ASHRAE TP RFI
----------------------------------------------------------------------------------------------------------------
Name Abbreviation Type
----------------------------------------------------------------------------------------------------------------
Air-Conditioning, Heating, and AHRI....................................... IR.
Refrigeration Institute.
Appliance Standards Awareness Project, Joint Advocates............................ EA.
Alliance to Save Energy, American
Council for an Energy-Efficient Economy,
Northwest Energy Efficiency Alliance,
and Northwest Power and Conservation
Council *.
Lennox International Inc................. Lennox..................................... M.
National Comfort Institute............... NCI........................................ IR.
Pacific Gas and Electric Company, California Investor-Owned Utilities (CA U.
Southern California Gas Company, San IOUs).
Diego Gas and Electric, and Southern
California Edison.
----------------------------------------------------------------------------------------------------------------
EA: Efficiency/Environmental Advocate; IR: Industry Representative; M: Manufacturer; U: Utility.
* The Northwest Power and Conservation Council is an interstate compact agency, whose mission in part is to
promote energy efficiency.

Following the July 2017 ASHRAE TP RFI, AHRI published additional
updates to its test procedure standard for CRACs on December 21, 2017
(AHRI Standard 1360-2017, ``2017 Standard for Performance Rating of
Computer and Data Processing Room Air Conditioners'' (AHRI 1360-2017)).
ASHRAE published ASHRAE Standard

[[Page 6951]]

90.1-2019 on October 24, 2019, which updated the test procedure
referenced for CRACs from AHRI 1360-2016 to AHRI 1360-2017 and added
equipment classes for ceiling-mounted CRACs. Following the publication
of ASHRAE Standard 90.1-2019, AHRI is currently working on an update to
AHRI Standard 1360 (i.e., AHRI Standard 1360-202X Draft, ``Performance
Rating of Computer and Data Processing Room Air Conditioners (``Draft
Standard'')'' (AHRI 1360-202X Draft)). These industry test standards
are discussed further in section III.C of this NOPR.

II. Synopsis of the Notice of Proposed Rulemaking

In this NOPR, DOE proposes to update the Federal test procedure for
CRACs consistent with the most recent draft version of the relevant
industry consensus test procedure, AHRI 1360-202X Draft. If AHRI
publishes a final version of AHRI 1360-202X Draft prior to DOE
publishing a final rule, DOE intends to update the referenced industry
test standard in the DOE test procedure to reference the latest version
of AHRI 1360. If a finalized version of AHRI 1360-202X Draft is not
published before the final rule or if there are substantive changes
between the draft and published versions of AHRI 1360, DOE may adopt
the substance of the AHRI 1360-202X Draft or provide additional
opportunity for comment on the final version of that industry consensus
standard. 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 the updated version of AHRI 1360 and
relevant industry standards referenced in that version of AHRI 1360;
(2) establish provisions for determining NSenCOP for CRACs; (3) clarify
the definition of ``computer room air conditioner'' to include
consideration of how equipment is marketed; and (4) amend certain
provisions for representations and enforcement in 10 CFR part 429,
consistent with the changes proposed to the test procedure. In terms of
implementation, DOE proposes to add new appendices E and E1 to subpart
F of part 431, ``Uniform test method for measuring the energy
consumption of computer room air conditioners,'' (appendix E and
appendix E1, respectively). The current DOE test procedure for CRACs
would be relocated to appendix E without change, and the new test
procedure adopting the substance of AHRI 1360-202X Draft would be
established in appendix E1 for determining NSenCOP. Compliance with
appendix E1 would not be required until such time as compliance is
required with amended energy conservation standards for CRACs that rely
on NSenCOP, should DOE adopt such standards. After compliance with
appendix E1 would be required, appendix E would no longer be used as
part of the Federal test procedure.
DOE's proposed actions are summarized in Table II.1 and addressed
in detail in section III of this document.

Table II.1--Summary of Changes in Proposed Test Procedure Relative to
Current Test Procedure
------------------------------------------------------------------------
Proposed test
Current DOE test procedure procedure Attribution
------------------------------------------------------------------------
Incorporates by reference Incorporates by Updates to the
ANSI/ASHRAE 127-2007. reference in a new applicable industry
appendix E1- AHRI test procedures.
1360-202X Draft,
ANSI/ASHRAE 127-
2020, and ANSI/
ASHRAE 37-2009.
Includes provisions for Includes provisions Updates to the
determining SCOP. for determining applicable industry
NSenCOP. test procedures.
CRAC definition criteria CRAC definition To more clearly
include: (1) Used in criteria include: define CRACs and
computer rooms (or similar (1) Marketed for distinguish from
applications); (2) whether use in computer other equipment
rated for SCOP and tested rooms (or similar categories.
in accordance with 10 CFR applications); and
431.96; and (3) not a (2) not a consumer
consumer product. product.
Does not specify provisions Defines roof, wall, Updates to the
specific to testing roof, and ceiling-mounted applicable industry
wall, and ceiling-mounted CRAC configurations test procedures.
CRAC units. and provides test
provisions specific
to such units.
Does not include CRAC- Includes provisions Establish CRAC-
specific provisions for in 10 CFR 429.43 specific provisions
determination of specific to CRACs for determination
represented values in 10 to determine of represented
CFR 429.43. represented values values.
for units approved
for use with
multiple
refrigerants,
prescribe
represented cooling
capacity multiples,
prevent cooling
capacity over-
rating, and specify
configuration of
unit under test.
Does not include CRAC- Adopts product- Establish provisions
specific enforcement specific for DOE testing of
provisions in 10 CFR enforcement CRACs.
429.134. provisions for
CRACs regarding
verification of
cooling capacity
and configuration
of unit under test.
------------------------------------------------------------------------

DOE has tentatively determined that the proposed amendments
described in section III of this NOPR regarding the establishment of
appendix E would not alter the measured efficiency of CRACs or require
retesting solely as a result of DOE's adoption of the proposed
amendments to the test procedure, if made final. DOE has tentatively
determined, however, that the proposed test procedure amendments in
appendix E1 would, if adopted, alter the measured efficiency of CRACs
and that such amendments are consistent with the updated industry test
procedure. Further, compliance with the proposed appendix E1 and the
proposed amendments to the representation requirements in 10 CFR 429.43
would not be required until the compliance date of amended standards
denominated in terms of NSenCOP. Additionally, DOE has tentatively
determined that the proposed amendments, if made final, would not
increase the cost of testing. Discussion of DOE's proposed actions are
addressed in further detail in section III of this NOPR.

III. Discussion

A. Scope of Applicability

This rulemaking applies to CRACs. DOE defines ``computer room air
conditioner'' as a basic model of commercial package air-conditioning
and heating equipment (packaged or

[[Page 6952]]

split) that is: Used in computer rooms, data processing rooms, or other
information technology cooling applications; rated for SCOP and tested
in accordance with 10 CFR 431.96; and is not a covered consumer product
under 42 U.S.C. 6291(1)-(2) and 42 U.S.C. 6292. A CRAC may be provided
with, or have as available options, an integrated humidifier,
temperature and/or humidity control of the supplied air, and reheating
function. 10 CFR 431.92.

B. Proposed Organization of the CRAC Test Procedure

DOE is proposing to relocate and centralize the current test
procedure for CRACs to a new appendix E to subpart F of 10 CFR part
431, without change. As proposed, appendix E would not amend the
current test procedure. The test procedure as provided in proposed
appendix E would continue to reference ANSI/ASHRAE 127-2007 and provide
instructions for determining SCOP. Correspondingly, DOE is proposing to
update the existing incorporation by reference of ANSI/ASHRAE 127-2007
at 10 CFR 431.95 so that the incorporation by reference applies to
appendix E, rather than 10 CFR 431.96. The proposed appendix E would
also centralize the additional test provisions currently applicable
under 10 CFR 431.96 (i.e., optional break-in period for tests conducted
using ANSI/ASHRAE 127-2007 (currently at 10 CFR 431.96(c)) and
additional provisions for equipment set-up (currently at 10 CFR
431.96(e)). As proposed, CRACs would be required to be tested according
to appendix E until such time as compliance is required with an amended
energy conservation standard that relies on the NSenCOP metric, should
DOE adopt such a standard.
Accordingly, DOE also is proposing in parallel an amended test
procedure for CRACs that adopts AHRI 1360-202X Draft in a new appendix
E1 to subpart F of 10 CFR part 431. DOE proposes to adopt the substance
of the updated draft version of AHRI 1360, including the NSenCOP
metric, as discussed in the following sections. To this end, DOE
intends to propose to incorporate by reference the final published
version of AHRI 1360-202X Draft in the final rule, unless there are
substantive changes between the draft and published versions, in which
case DOE may adopt the substance of the AHRI 1360-202X Draft or provide
additional opportunity for comment on changes presented in the final
version of the industry consensus test standard. As proposed, CRACs
would not be required to be tested according to the test procedure in
proposed appendix E1 until such time as compliance is required with an
amended energy conservation standard that relies on the NSenCOP metric,
should DOE adopt such a standard.

C. Updates to Industry Test Standards

As noted previously, DOE's current test procedure for CRACs is
codified at 10 CFR 431.96 and incorporates by reference ANSI/ASHRAE
Standard 127-2007,\6\ which is the test procedure recognized by ASHRAE
Standard 90.1-2010 for CRACs. However, the most recent version of
ASHRAE Standard 90.1 (i.e., the 2019 edition) recognizes AHRI 1360-2017
as the test procedure for CRACs.
---------------------------------------------------------------------------

\6\ While ANSI/ASHRAE Standard 127-2007 is incorporated by
reference in its entirety, Table 1 to 10 CFR 431.96 (which defines
the applicable test methods for each category of equipment) excludes
section 5.11 of ANSI/ASHRAE Standard 127-2007 for testing CRACs. The
test procedure also includes additional provisions related to break-
in period and test set-up. See 10 CFR 431.96(c) and (e).
---------------------------------------------------------------------------

After publication of AHRI 1360-2017, DOE and other stakeholders
supported the AHRI 1360 committee in its process to further update AHRI
Standard 1360. DOE understands that this new update is currently in
draft form (i.e., AHRI 1360-202X Draft) and will supersede AHRI 1360-
2017. AHRI 1360-202X Draft references ANSI/ASHRAE 127-2020, ``Method of
Testing for Rating Computer and Data Processing Room Unitary Air
Conditioners'' (ANSI/ASHRAE 127-2020) \7\ and ANSI/ASHRAE 37-2009,
``Methods Of Testing For Rating Electrically Driven Unitary Air-
Conditioning And Heat Pump Equipment (ANSI/ASHRAE 37-2009). Both AHRI
1360-2017 and AHRI 1360-202X Draft include significant changes from
ANSI/ASHRAE 127-2007, including the use of NSenCOP instead of SCOP as
the test metric. Both efficiency metrics (NSenCOP and SCOP) are ratios
of net sensible cooling capacity delivered to the power consumed, but
there are several differences in the conditions at which tests are
performed. Section III.E.1 of this NOPR includes further discussion of
the differences between these test metrics.
---------------------------------------------------------------------------

\7\ ASHRAE published ANSI/ASHRAE Standard 127-2020 on November
30, 2020.
---------------------------------------------------------------------------

In light of these updates to the relevant industry consensus
standards, DOE is proposing to amend its test procedure for CRACs by
incorporating by reference AHRI 1360-202X Draft (in its entirety). DOE
intends to update its incorporation by reference to the final published
version of AHRI 1360-202X Draft in the final rule, unless the draft
version is not finalized before the final rule or if there are
substantive changes between the draft and published versions, in which
case DOE may adopt the substance of the AHRI 1360-202X Draft or provide
additional opportunity for comment on the substantive changes to the
updated industry consensus standard. Specifically, in the proposed test
procedure for CRACs at 10 CFR part 431, subpart F, appendix E1, DOE is
proposing to utilize sections 3.1, 3.4, 3.11, 3.14, 3.16, 3.17, 3.21-
3.23, 5, 6.1-6.3, 6.5, 6.7, and Appendices C-F of AHRI 1360-202X Draft
for the Federal test procedure for CRACs.\8\
---------------------------------------------------------------------------

\8\ DOE notes that the most recent version of ASHRAE Standard
90.1-2019 references AHRI 1360-2017 as the industry consensus test
method for CRACs.
---------------------------------------------------------------------------

DOE is also proposing to incorporate by reference several industry
standards that are subsequently referenced by AHRI 1360-202X Draft.
First, DOE is proposing to incorporate by reference ANSI/ASHRAE 127-
2020. Specifically, in the proposed test procedure for CRACs at 10 CFR
part 431, subpart F, appendix E1, DOE is proposing to utilize Figure A-
1, Test duct for measuring air flow and static pressure on downflow
units, of Appendix A of ANSI/ASHRAE 127-2020, because Figure A-1 of
Appendix A is referenced in section 5.8 of AHRI 1360-202X Draft.
Second, DOE is proposing to incorporate by reference ANSI/ASHRAE 37-
2009 for 10 CFR part 431, subpart F, appendix E1, because section 5,
Appendix D, and Appendix E of AHRI 1360-202X Draft reference methods of
test in ANSI/ASHRAE 37-2009. More specifically, DOE is proposing to
utilize all sections of ANSI/ASHRAE 37-2009, except sections 1, 2, and
4. (Any issues discussed in the July 2017 ASHRAE TP RFI that pertain to
provisions in ANSI/ASHRAE 37-2009 are addressed in section III.F.4 of
this NOPR.)

D. Definitions

1. CRAC Definition
As discussed, DOE currently defines a CRAC as a basic model of
commercial package air-conditioning and heating equipment (packaged or
split) that is: Used in computer rooms, data processing rooms, or other
information technology cooling applications; rated for SCOP and tested
in accordance with 10 CFR 431.96, and is not a covered consumer product
under 42 U.S.C. 6291(1)-(2) and 42 U.S.C. 6292. 10 CFR 431.92. A
computer room air conditioner may be provided with, or have as
available options, an integrated humidifier, temperature and/or
humidity control of the supplied air, and reheating function. Id. In
defining a CRAC, DOE was unable to identify physical characteristics
that consistently

[[Page 6953]]

distinguish CRACs from other categories of commercial package air
conditioning and heating equipment that provide comfort-cooling. See 77
FR 16769, 16772-16774 (March 22, 2012); 77 FR 28928, 28947-28948 (May
16, 2012).
In an effort to better distinguish CRACs from other categories of
commercial package air conditioning and heating equipment that provide
comfort cooling, DOE is again considering means to consistently
differentiate this equipment. To this end, DOE has considered as
potential distinguishing factors use of a minimum sensible heat ratio
(SHR) and the nominal airflow rate per ton of cooling capacity, as
discussed further in this section. SHR is the ratio of sensible cooling
capacity to the total cooling capacity. The total cooling capacity
includes both sensible cooling capacity and latent cooling capacity.\9\
---------------------------------------------------------------------------

\9\ Cooling load is composed of both sensible and latent
portions. The sensible load is the energy required to reduce the
temperature of the incoming air, without any phase change (i.e.,
cooling). The latent load is the energy required to change the
moisture in the air from water vapor into a liquid phase as it
condenses on the cooling coil (i.e., dehumidification).
---------------------------------------------------------------------------

As part of the July 2017 ASHRAE TP RFI, DOE requested comment on
the extent to which models of commercial package air conditioners are
marketed and/or installed for use in both comfort cooling and computer
room cooling applications. 82 FR 34427, 34430 (July 25, 2017). DOE also
requested comment on whether there are models rated for Energy
Efficiency Ratio (EER) or Seasonal Energy Efficiency Ratio (SEER), and
not SCOP, that are used for computer room cooling. Id. DOE sought
comment and data on whether a specific SHR value or any other design
differences or performance features would effectively and consistently
distinguish CRACs from other categories of commercial package air
conditioners. Id.
In response to the July 2017 ASHRAE TP RFI, AHRI commented that
some large unitary equipment, mini-split units, single packaged
vertical units, and large direct and indirect evaporative coolers are
used in data center applications. AHRI also noted that many of these
products are custom-built for the application and are not necessarily
designed for comfort cooling. The commenter added that in many
instances, the consulting engineer and/or the end user determines the
type of equipment used, regardless of how it is marketed. Additionally,
AHRI stated that CRACs are uniquely designed to operate year-round only
in cooling mode, and their efficiency rating should be stated as
NSenCOP. (AHRI, No. 11 at pp. 1-2). DOE did not receive specific
comments on whether there are models rated for EER or SEER, and not
SCOP or NSenCOP, that are used for computer room cooling.
With regard to whether SHR could be used to effectively and
consistently distinguish CRACs from other classes of commercial package
air conditioners, AHRI commented that SHR is dependent on the rating
conditions used for testing, coil design, and airflow rate of the unit.
AHRI stated that SHRs for CRACs typically fall within a range of around
0.90-1.0, depending on which of the indoor air rating conditions
specified for CRACs in AHRI 1360-2016 are used; whereas typical comfort
cooling commercial units have an SHR of around 0.60 at the indoor air
rating conditions specified for commercial unitary air conditioners
(CUACs) in AHRI 340/360-2015 (which differ from CRAC rating
conditions). AHRI added that CRACs obtain a higher SHR than CUACs by
having a higher airflow rate per ton of cooling capacity,\10\ and,
thus, a larger fan motor. (AHRI, No. 11 at p. 2)
---------------------------------------------------------------------------

\10\ One ton of cooling capacity equals 12,000 Btu/h.
---------------------------------------------------------------------------

As part of preparing this NOPR, DOE conducted a preliminary review
of performance data to explore the use of SHR to distinguish between
CUACs and CRACs. DOE reviewed data from CUAC product literature \11\
and DOE's Compliance Certification Database for CRACs,\12\ which
indicates that if CUACs were tested at the indoor air conditions
specified in DOE's current test procedure for CRACs, there would be
significant overlap in the ranges of SHR for CUAC models and CRAC
models. Specifically, more than half of CRAC models certified to DOE
would have an SHR that is also achieved by certain CUAC models.
Additionally, DOE's analysis of rated cooling capacity and airflow rate
data from DOE's Compliance Certification Database and the AHRI
Directory of Certified Product Performance \13\ revealed a substantial
overlap in nominal airflow rate per ton of cooling capacity between
CRACs and CUACs currently on the market. Therefore, DOE has tentatively
concluded that neither SHR nor nominal airflow rate per ton of cooling
capacity would provide a clear distinction between CRACs and CUACs.
---------------------------------------------------------------------------

\11\ Specifically, CUAC technical literature provided
performance tables that show total cooling capacity and sensible
cooling capacity at various indoor air conditions for each model.
\12\ DOE's Compliance Certification Database does not contain
sensible cooling capacity ratings for certified CUACs. (Available
at: <a href="http://www.regulations.doe.gov/ccms">www.regulations.doe.gov/ccms</a>).
\13\ The AHRI Directory of Certified Product Performance is
available at <a href="http://www.ahridirectory.org">www.ahridirectory.org</a>.
---------------------------------------------------------------------------

Because DOE was unable to identify physical characteristics that
could reliably be used to distinguish between CRACs and other equipment
types, DOE is not proposing to define CRACs based on physical
construction and/or component characteristics. Rather, DOE is proposing
to amend the definition of CRAC to include how it is marketed for use
by the manufacturer. Specifically, DOE is proposing first to replace
the phrase ``used in computer rooms, data processing rooms, or other
information technology cooling applications'' with ``marketed for use
in computer rooms, data processing rooms, or other information
technology cooling applications.'' DOE's proposed definition for CRACs
is consistent with the definition in the latest draft industry
standard, AHRI 1360-202X Draft, which also defines CRACs based on
marketing.\14\
---------------------------------------------------------------------------

\14\ Section 3.5 of AHRI 1360-202X Draft defines ``computer room
air conditioner'' as a subset of ``computer and data processing room
air conditioner.'' Section 3.4 of AHRI 1360-202X Draft defines
``computer and data processing room air conditioner,'' as an air
conditioning unit specifically marketed for cooling data centers and
information technology equipment.
---------------------------------------------------------------------------

DOE also proposes to remove the current wording ``. . . rated for
sensible coefficient of performance (SCOP) and tested in accordance
with 10 CFR 431.96'' to ensure that a unit that otherwise meets the
definition of a CRAC would be covered as a CRAC regardless of how the
manufacturer has tested and rated the model. DOE also proposes to
remove the unnecessary current wording ``. . . a basic model of'' to
avoid confusion as to whether the equipment constitutes a basic model
(i.e., DOE specifies different basic model definitions for each
equipment category at 10 CFR 431.92) before the determination is made
whether the equipment meets the CRAC definition.
DOE proposes to maintain the existing requirement that a CRAC is
not a covered consumer product under 42 U.S.C. 6291(1)-(2) and 42
U.S.C. 6292. DOE is also proposing to maintain the existing distinction
that a CRAC may be provided with, or have as available options, an
integrated humidifier, temperature, and/or humidity control of the
supplied air, and reheating function.
In summary, DOE is proposing in 10 CFR 431.92 to define Computer
Room Air Conditioner as ``commercial package air conditioning and
heating equipment (packaged or split) that is: marketed for use in
computer rooms, data processing rooms, or other information technology
cooling applications; and not a covered

[[Page 6954]]

consumer product under 42 U.S.C. 6291(1)-(2) and 42 U.S.C. 6292. A
computer room air conditioner may be provided with, or have as
available options, an integrated humidifier, temperature, and/or
humidity control of the supplied air, and reheating function. Computer
room air conditioners include, but are not limited to, the following
configurations as defined in 10 CFR 431.92 down-flow, horizontal-flow,
up-flow ducted, up-flow non-ducted, ceiling-mounted ducted, ceiling
mounted non-ducted, roof-mounted, and wall-mounted.'' DOE is also
proposing definitions for the configuration terms used in this proposed
definition, as discussed further in the following section of this
document. Further, regarding the ``marketed for'' criterion in the
proposed definition, DOE proposes in 10 CFR 431.92 that DOE would
consider any publicly-available document published by the manufacturer
(e.g., product literature, catalogs, and packaging labels) to determine
the application for which equipment is marketed.
DOE recognizes that there may be units on the market that would be
covered by DOE regulations for multiple equipment categories. As
discussed in a previous notice addressing CRACs, such units would have
to be tested and rated according to the requirements for each
applicable equipment class of standards (e.g., CRAC and CUAC). See 77
FR 16769, 16773 (March 22, 2012).
Issue 1: DOE requests comment on the proposed definition for
``computer room air conditioner'' that distinguishes between CRACs and
other categories of air conditioning equipment, based on the marketing
of the equipment.
2. CRAC Configuration Definitions
CRACs can be installed in a variety of different configurations,
which vary by installation location, direction of airflow over the
evaporator coil (e.g., up, down, or horizontal), and by return and
discharge air connections (e.g., raised floor plenum, ducted, free
air). AHRI 1360-202X Draft includes the concept of ``standard
configurations'' to standardize the configuration and rating conditions
(e.g., ESP, return air temperature) for testing CRACs to generate
standard ratings. Appendix C of AHRI 1360-202X Draft specifies eight
different standard configurations: (1) Ceiling-mounted ducted (with
ducted discharge and ducted return); (2) ceiling-mounted non-ducted
(with free air discharge and free air return); (3) down-flow (with
raised floor plenum discharge and free air return); (4) horizontal-flow
(with free air discharge and free air return); (5) up-flow ducted (with
ducted discharge and free air return); (6) up-flow non-ducted (with
free air discharge and free air return); (7) wall-mounted (with free
air discharge and free air return); and (8) roof-mounted ducted (with
ducted discharge and ducted return).
Section C1 in Appendix C of AHRI 1360-202X Draft specifies that all
units within the scope of the test standard must be categorized and
rated as one of the eight standard configurations, and it specifies
test conditions that vary between standard configurations. Standard
configurations are further discussed in section III.F.1 of this NOPR.
Section 3.24 of AHRI 1360-202X Draft includes definitions for the
following configurations of standard models: ``downflow unit,''
``horizontal-flow unit,'' ``upflow unit-ducted,'' ``upflow unit-
nonducted,'' ``ceiling mounted unit-ducted,'' ``ceiling-mounted unit-
nonducted,'' ``wall-mounted,'' and ``roof-mounted ducted.''
Additionally, section 3.9.2 of AHRI 1360-202X Draft includes
definitions for the following airflow configurations of floor-mounted
CRACs: ``downflow,'' ``horizontal-flow,'' and ``upflow.''
To provide additional instruction as to which configuration (and,
thus, which testing requirements and standards, as applicable) should
be used for testing, DOE is proposing to add several definitions for
CRACs consistent with the previously mentioned definitions in AHRI
1360-202X Draft. Specifically, DOE is proposing definitions for the
following terms at 10 CFR 431.92: Floor-mounted, ceiling-mounted, wall-
mounted, roof-mounted, up-flow, down-flow, horizontal flow, up-flow
ducted, up-flow non-ducted, ceiling-mounted ducted, ceiling-mounted
non-ducted, and fluid economizer. Because several of these proposed
definitions reference other defined terms (e.g., the ``up-flow non-
ducted'' definition references the separately defined ``up-flow''
term), DOE is proposing to italicize the defined terms within CRAC-
related definitions at 10 CFR 431.92 to signal to the reader which
terms are separately defined. Each of these proposed definitions is
discussed in further detail in the following sections.
Issue 2: DOE requests comment on its proposal to define the
following terms, consistent with AHRI 1360-202X Draft: Floor-mounted,
ceiling-mounted, wall-mounted, roof-mounted, up-flow, down-flow,
horizontal flow, up-flow ducted, up-flow non-ducted, ceiling-mounted
ducted, ceiling-mounted non-ducted, and fluid economizer.
a. Mounting Configurations
A variety of mounting configurations are available for CRACs. For
CRACs for which the unit housing the evaporator coil is designed to be
installed indoors (including both single package and split system
CRACs), mounting configurations include floor-mounted, wall-mounted,
and ceiling-mounted. Floor-mounted units are designed as free-standing
units that are installed directly on a solid floor, a raised floor, or
a floor-stand; wall-mounted units are designed for installation on or
through a wall; and ceiling-mounted units are designed to be installed
on or through a ceiling. Other CRACs are designed to be installed
outdoors on a building rooftop or on a slab at ground level.
DOE proposes to adopt the definitions in AHRI 1360-202X Draft for
ceiling mounted units, floor mounted units, roof mounted units, and
wall mounted units, with one minor modification. Specifically, DOE
proposes to replace the phrase ``Indoor Unit'' with ``unit housing the
evaporator coil'' to avoid the need for defining another term (i.e.,
``Indoor Unit'') in the Federal regulations. Section 3.11 of AHRI 1360-
202X Draft specifies that ``Indoor Unit'' for a split system is the
unit that removes heat from the indoor air stream. DOE has tentatively
concluded that ``the unit removing heat from the indoor air stream''
and ``the unit housing the evaporator coil'' are substantively
identical for CRACs--the only distinction would be for computer room
air handlers, which remove heat from the airstream via a chilled water
coil and thus do not have an evaporator coil. Because DOE does not
regulate air handlers, DOE is proposing to use the phrase ``housing the
evaporator coil'' to describe more narrowly the indoor unit of a CRAC
split system.
DOE proposes the following definitions for CRAC mounting
configurations at 10 CFR 431.92. These definitions are referenced by
other proposed CRAC configuration definitions described in the sections
that follow.
Floor-mounted means a configuration of computer room air
conditioner for which the unit housing the evaporator coil is
configured for indoor installation on a solid floor, raised floor, or
floor-stand. Floor-mounted computer room air conditioners are one of
the following three configurations: Down-flow, horizontal-flow, or up-
flow.
Ceiling-mounted means a configuration of computer room air
conditioner for which the unit housing the evaporator coil is
configured for

[[Page 6955]]

indoor installation on or through a ceiling.
Wall-mounted means a configuration of computer room air conditioner
for which the unit housing the evaporator coil is configured for
installation on or through a wall.
Roof-mounted means a configuration of computer room air conditioner
that is not wall-mounted, and for which the unit housing the evaporator
coil is configured for outdoor installation.
b. Flow Direction
DOE is proposing to adopt the definitions in AHRI 1360-202X Draft
for ``up-flow,'' ``down-flow,'' and ``horizontal-flow'' CRAC
configurations, with minor additions to: (1) Clarify that these
provisions apply only to floor-mounted CRACs because other types of
CRACs (i.e., ceiling-mounted, roof-mounted, and wall-mounted CRACs)
each only have one possible airflow direction through the unit; and (2)
replace the term ``cooling coil'' with ``evaporator coil'' to more
specifically reference the relevant coil, because a fluid economizer
coil could also be considered a ``cooling coil.'' The limitation of
scope of these definitions to floor-mounted CRACs is consistent with
Section 3.9.2 of AHRI 1360-202X Draft, which includes these as sub-
definitions under the definition for ``floor-mounted unit.''
DOE proposes the following definitions regarding the airflow
direction for CRACs at 10 CFR 431.92:
Up-flow means a configuration of floor-mounted computer room air
conditioner in which return air enters below the bottom of the
evaporator coil and discharge air leaves above the top of the
evaporator coil.
Down-flow means a configuration of floor-mounted computer room air
conditioner in which return air enters above the top of the evaporator
coil and discharge air leaves below the bottom of the evaporator coil.
Horizontal-flow means a configuration of floor-mounted computer
room air conditioner that is neither a down-flow nor an up-flow unit.
c. Ducted and Non-Ducted Definitions
The definitions in Section 3.19 of AHRI 1360-2017 distinguish
between ducted and non-ducted up-flow units based on the presence of
factory-installed air discharge grills or factory-installed supply air
plenums. Certain floor-mounted units, ceiling-mounted units, and wall-
mounted units can be installed either with or without a duct, depending
on the needs of the installation of the unit in the field. In the July
2017 ASHRAE TP RFI, DOE noted that AHRI 1360-2016 does not provide
express instructions on which up-flow standard model requirements would
be used for testing equipment that can be installed either with or
without a duct. DOE requested comment on which equipment
characteristics can be used to determine whether up-flow CRACs should
be tested as ducted or non-ducted models. DOE also requested comment on
whether up-flow units can be sold for both up-flow ducted and up-flow
non-ducted applications, and whether such models are currently tested
using both ducted and non-ducted rating conditions. 82 FR 34427, 34432-
34433 (July 25, 2017).
In addition, as discussed in the July 2017 ASHRAE TP RFI, DOE's
review of CRAC installation manuals suggests that some up-flow units
are installed with a plenum that directs the vertical airflow exiting
the top of the unit to a horizontal direction (e.g., either toward the
front or rear of the unit). DOE requested comment on the percentage of
up-flow CRAC installations in which a plenum is attached, and whether
non-ducted units are tested with or without this plenum. 82 FR 34427,
34434 (July 25, 2017).
In response to the July 2017 ASHRAE TP RFI, AHRI stated that up-
flow units that can be installed with ducting or with an air discharge
plenum would use more energy in the ducted configuration and should,
therefore, be tested and rated as ducted. The commenter argued that
testing and rating a unit as both ducted and non-ducted would add
unnecessary testing burden on manufacturers. AHRI further stated that
only units with factory-integrated discharge grills should be tested as
non-ducted. (AHRI, No. 11 at p. 4)
AHRI also commented that if an up-flow unit is not shipped with an
integral factory grill, it should be considered an up-flow ducted unit
and that such units are currently tested with a duct regardless of
whether they have a plenum installed or are ducted in the field. AHRI
further added that approximately 33 percent of up-flow ducted units use
a manufacturer's plenum to redirect the air from the upward direction,
while the remaining 67 percent may be installed with ducting in the
field. (AHRI, No. 11 at p. 6).
This issue was addressed with changes in AHRI 1360-202X Draft. The
definitions in Sections 3.3.1 and 3.9.1 of AHRI 1360-202X Draft
distinguish between ducted and non-ducted ceiling mounted and up-flow
floor mounted units based on the marketing of the unit. Specifically, a
unit that is marketed only for use without discharge ducting is
classified as a non-ducted unit and a unit that is marketed for use
with discharge ducting (but may also be marketed for use without
discharge ducting) is classified as a ducted unit.
DOE is proposing to include definitions consistent with AHRI 1360-
202X Draft that differentiate between ducted and non-ducted units, with
only minor modifications. The modifications are to simplify the
definitions and remove unnecessary phrases. For example, the
definitions for ``ducted discharge'' and ``free air discharge'' in
Section 3.9.1 of AHRI 1360-202X Draft apply to both up-flow and down-
flow units and specify that the terms exclude units that are ``raised
floor plenum discharge.'' The explicit exclusion of units that are
``raised floor plenum discharge'' applies only to down-flow units
because an up-flow unit discharges air near the top of the unit and
would, therefore, never discharge air into a raised floor plenum.
Consequently, this exclusion is unnecessary in DOE's proposed
definitions for ``up-flow ducted'' and ``up-flow non-ducted.''
In summary, DOE proposes the following definitions at 10 CFR 431.92
that differentiate between ducted and non-ducted units for up-flow and
ceiling-mounted CRACs:
Up-flow ducted means a configuration of an up-flow computer room
air conditioner that is configured for use with discharge ducting (even
if the unit is also configurable for use without discharge ducting).
Up-flow non-ducted means a configuration of an up-flow computer
room air conditioner that is configured only for use without discharge
ducting.
Ceiling-mounted ducted means a configuration of ceiling-mounted
computer room air conditioner that is configured for use with discharge
ducting (even if the unit is also configurable for use without
discharge ducting).
Ceiling-mounted non-ducted means a configuration of ceiling-mounted
computer room air conditioner that is configured only for use without
discharge ducting.
d. Fluid Economizer
Section 3.10 of AHRI 1360-202X Draft specifies a definition for
``fluid economizer,'' which it defines (in part) as an option available
to CRACs or computer room air handler systems. DOE is proposing to
adopt the following definition for ``fluid economizer'' at 10 CFR
431.92, which is consistent with the definition used by AHRI 1360-202X
Draft, except that it does not include computer room air handlers
because

[[Page 6956]]

these air handlers (i.e., chilled water coils) do not meet DOE's
definition for ``commercial package air conditioning and heating
equipment'' at 10 CFR 431.92.
Fluid Economizer means an option available with a computer room air
conditioner in which a fluid (other than air), cooled externally from
the unit, provides cooling of the indoor air to reduce or eliminate
unit compressor operation when outdoor temperature is low. The fluid
may include, but is not limited to, chilled water, water/glycol
solution, or refrigerant. An external fluid cooler, such as but not
limited to a dry cooler, cooling tower, or condenser, is utilized for
heat rejection. This component is sometimes referred to as a free
cooling coil, econ-o-coil, or economizer.

E. Metric

1. NSenCOP
DOE's current efficiency metric for CRACs is SCOP, which is a ratio
of cooling capacity delivered to the power consumed. For most
categories of air conditioners and heat pumps other than CRACs, the
efficiency metrics are calculated based on total cooling capacity
(which includes both sensible cooling and latent cooling). However,
unlike the conditioned spaces in most commercial buildings, computer
rooms and data centers typically have limited human occupancy and
minimal dehumidification requirements, and thus, primarily require only
sensible cooling. Therefore, SCOP is calculated based on sensible
cooling capacity rather than total cooling capacity.
As discussed, ASHRAE Standard 90.1-2016 amended the efficiency
metric for CRACs from SCOP (measured per ANSI/ASHRAE 127-2007) to
NSenCOP (measured per AHRI 1360-2016). ASHRAE Standard 90.1-2019
subsequently retained NSenCOP as the test metric, but it updated the
test reference to AHRI 1360-2017 (which specifies NSenCOP as the test
metric and has the same test conditions as AHRI 1360-2016). AHRI 1360-
202X Draft also specifies NSenCOP as the test metric and maintains the
rating conditions found in AHRI 1360-2017, while also adding rating
conditions for roof-mounted and wall-mounted units. Like SCOP, NSenCOP
is a ratio of sensible cooling capacity to the power consumed. However,
the test procedure to determine NSenCOP differs from that to determine
SCOP in four key aspects: (1) For several CRAC configurations (e.g.,
down-flow, up-flow ducted), different indoor entering air temperatures
are specified; (2) for water-cooled CRACs, different entering water
temperatures are specified; (3) for up-flow ducted configurations,
different indoor air external static pressure (ESP) requirements are
specified; and (4) for water-cooled and glycol-cooled CRACs, NSenCOP
accounts for energy consumed by fans and pumps that would be installed
in the outdoor heat rejection loop, which is not accounted for in SCOP.
Because of these key differences, the SCOP and NSenCOP metrics are not
equivalent and would result in different ratings. As noted, the current
energy conservation standards for CRACs are in terms of SCOP, and
testing according to the DOE test procedure to determine SCOP would
continue to be required until such time as the energy conservation
standards are amended to rely on NSenCOP, should DOE adopt such changes
to the standards. Each of the differences between SCOP and NSenCOP is
discussed in further detail in the following paragraphs.
a. Indoor Entering Air Temperatures
ANSI/ASHRAE 127-2007 (for SCOP) specifies using a return air
temperature (i,e., indoor entering air temperature) of 75 [deg]F for
all CRAC configurations. However, in the field, the location of the
return air inlet can impact the return air temperature. For example,
CRAC configurations in which the return air inlet is located close to
the heat source (i.e., horizontal flow units, which are typically
located adjacent to server racks) would have higher entering air
temperatures than configurations with return air inlets located further
from the heat source. In general, increasing the indoor entering air
temperature (assuming all other parameters remain unchanged) increases
the measured sensible cooling capacity and sensible cooling efficiency.
In contrast, AHRI 1360-202X Draft (for NSenCOP) specifies different
return air temperatures for different configurations. Specifically,
AHRI 1360-202X Draft specifies indoor entering air dry-bulb
temperatures for each CRAC configuration, as follows: (1) 85 [deg]F for
up-flow ducted units, down-flow units, and roof-mounted units; (2) 95
[deg]F for horizontal-flow units; and (3) 75 [deg]F for up-flow non-
ducted units, ceiling-mounted ducted units, ceiling-mounted non-ducted
units, and wall-mounted units.
b. Entering Water Temperatures
For water-cooled CRACs, ANSI/ASHRAE 127-2007 (for SCOP) specifies
an entering water temperature of 86 [deg]F, whereas AHRI 1360-202X
Draft (for NSenCOP) specifies an entering water temperature of 83
[deg]F. In general, decreasing the entering water temperature increases
the measured efficiency.
c. Indoor Air ESP Requirements
For up-flow ducted CRACs, both ANSI/ASHRAE 127-2007 and AHRI 1360-
202X Draft specify indoor air ESP requirements that vary with net
sensible cooling capacity. AHRI 1360-202X Draft specifies lower ESP
requirements than ANSI/ASHRAE 127-2007 across all capacity ranges, and
the capacity bins (i.e., capacity ranges over which each ESP
requirement applies) are different between the two test standards.
Testing with a lower ESP typically decreases the indoor fan power input
without a corresponding decrease in cooling capacity, thus increasing
the measured efficiency. Additionally, the reduction in fan heat
entering the indoor air stream that results from lower fan power also
slightly increases net sensible cooling capacity (NSCC). These indoor
air ESP requirements are further discussed in section III.F.6 of this
NOPR.
d. Energy Consumption of Heat Rejection Components
For air-cooled CRACs, all energy consumption associated with heat
rejection (i.e., transfer of heat that is captured from the conditioned
space to outdoor air) is directly captured under both ANSI/ASHRAE 127-
2007 and AHRI 1360-202X Draft because the units include the condenser
fan(s) as integral components. However, for water-cooled CRACs and
glycol-cooled CRACs, the energy consumption associated with heat
rejection components (i.e., liquid pump and cooling tower/dry cooler
fan(s)) is not captured in either test method, because the heat
rejection components for these CRACs are not integral components.
However, Section 6.3.1 of AHRI 1360-202X Draft requires that an
allowance for the power input of these components be added to the total
power input used to determine NSenCOP. Specifically, Section 6.3.1.3 of
AHRI 1360-202X Draft requires that an allowance be added for cooling
tower fan(s) and water pump power input of water-cooled CRACs equal to
5 percent of the measured unit net sensible cooling capacity, and
Section 6.3.1.4 of AHRI 1360-202X Draft requires that an allowance be
added for dry cooler fan(s) and glycol pump power input of glycol-
cooled CRACs equal to 7.5 percent of the measured unit net sensible
cooling capacity. ANSI/ASHRAE 127-2007 does not include any such
adjustments to account for the power consumption of

[[Page 6957]]

these heat rejection components in the power input used to calculate
SCOP. The addition of these allowances does not change how the test is
conducted, but the resulting changes to the efficiency ratings would
more fully capture field energy consumption and allow for more
representative comparison of water-cooled and glycol-cooled CRACs with
air-cooled CRACs.
e. Conclusion
In response to the changes to the efficiency metric and referenced
industry test standard for CRACs in ASHRAE Standard 90.1-2019 and the
draft update to the referenced industry test standard (AHRI 1360-202X
Draft), DOE proposes to update its efficiency metric for CRACs to
NSenCOP. As discussed in section I.A of this NOPR, this approach is
consistent with the general statutory scheme in EPCA to adopt an
amended test procedure that is consistent with the updated relevant
industry test procedure referenced in ASHRAE Standard 90.1. As part of
any future analysis of energy conservation standards for CRACs, DOE
would expect to conduct a crosswalk analysis to translate the current
Federal standards in terms of SCOP to equivalent levels in terms of
NSenCOP to evaluate potential amendments to the energy conservation
standards, as appropriate.
Updating the industry consensus standard referenced in the DOE test
procedure for CRACs to the draft updated version of the industry
standard (i.e., AHRI 1360-202X Draft), would require DOE to change the
metric for CRACs from SCOP to NSenCOP. As noted, the energy
conservation standards for CRACs are in terms of SCOP, and testing
according to the DOE test procedure to determine SCOP would continue to
be required until such time as the energy conservation standards are
amended to rely on NSenCOP, should DOE adopt such changes to the
standards. Further, DOE is unaware of any data or information
indicating that NSenCOP test conditions are not representative of an
average CRAC use cycle, but the Department requests comments, data, and
information as to this understanding.
Issue 3: DOE requests comment on its proposal to adopt the NSenCOP
metric for CRACs as part of the proposed test procedure in appendix E1,
which would be used only if DOE were to prescribe energy conservation
standards denominated in terms of NSenCOP in a future rulemaking.
Additionally, DOE seeks feedback on whether the rating conditions in
AHRI 1360-202X Draft are appropriately representative of field
applications.
2. Integrated Efficiency Metric
In contrast to an efficiency metric that measures performance at
only one test point, an annualized, or ``integrated'' efficiency metric
measures performance at multiple test points (i.e., tests with
different outdoor test conditions) that are intended to reflect
seasonal variation in outdoor ambient temperatures that would be
experienced by the equipment installed in the field. ANSI/ASHRAE 127-
2007 includes an integrated efficiency metric (i.e., adjusted sensible
coefficient of performance (ASCOP)--a metric for which DOE does not
require manufacturers to report ratings), which is calculated based on
the SCOP determined at four different rating conditions (A, B, C, and
D) that represent different ambient conditions, with weightings for the
SCOP at each rating condition based on the climate at a specific
location. All subsequent versions of CRAC industry standards (i.e, 2012
and 2020 versions of ASHRAE Standard 127; 2013, 2016, 2017, and draft
versions of AHRI Standard 1360) include a different integrated
efficiency metric--integrated net sensible coefficient of performance
(iNSenCOP). The iNSenCOP metric is similar to ASCOP in that it
comprises a weighted average of NSenCOP values for four test points at
varying outdoor conditions.\15\ Additionally, iNSenCOP includes the
weightings for each test point, whereas for ASCOP, ANSI/ASHRAE 127-2007
does not provide the weightings for each test point, and instead
specifies obtaining data from a weather bureau or other reputable
source to develop weightings for each ASCOP test point.
---------------------------------------------------------------------------

\15\ The rating conditions A, B, C, and D specified for ASCOP in
ANSI/ASHRAE 127-2007 and for iNSenCOP in subsequent CRAC industry
test standards (i.e., 2012 and 2020 versions of ASHRAE Standard 127;
2013, 2016, 2017, and 202X Draft versions of AHRI Standard 1360) for
air-cooled units correspond to outdoor entering air temperatures of
95.0 [deg]F, 80.0 [deg]F, 65.0 [deg]F, and 40.0 [deg]F,
respectively.
---------------------------------------------------------------------------

The ASCOP and iNSenCOP test methods in the CRAC industry consensus
test standards require units to maintain a constant sensible cooling
capacity at lower ambient temperatures. However, as the ambient
temperature decreases, the maximum cooling capacity of a CRAC will
inherently increase as the condensing temperature decreases. The CRAC
industry consensus test standards do not provide direction regarding
how the unit should be controlled to deliver the same amount of
sensible cooling as its capacity increases for the lower-ambient tests.
AHRI 1360-2017 acknowledges that it may be difficult to maintain test
conditions within tolerance while operating at the full-load cooling
load at reduced ambient temperatures, but does not provide direction
regarding how the unit should be controlled. In the July 2017 ASHRAE TP
RFI, DOE requested comment on whether it should consider adopting an
integrated efficiency metric (e.g., iNSenCOP) and, if so, how the
requirement to maintain a constant sensible cooling capacity associated
with the iNSenCOP test procedure should be implemented during testing.
82 FR 34427, 34432 (July 25, 2017).
In response, AHRI stated that an annualized energy efficiency
metric such as iNSenCOP would best represent the energy efficiency of
CRACs. However, AHRI stated that testing limitations currently prevent
the development of an iNSenCOP metric. AHRI further commented that it
had begun work to assess the feasibility of an annualized metric that
can be verified by testing, but that this research would not be
completed in time for inclusion in the 2017 version of AHRI 1360.
Consequently, AHRI recommended that this issue be addressed at a later
date. (AHRI, No. 11 at p. 3)
Consistent with AHRI's comment, section D1 of AHRI 136-2017 (and
section G1 of the subsequently published AHRI 1360-202X Draft) states
that ``a long-term goal is for iNSenCOP to replace NSenCOP after a more
readily testable means has been standardized.'' DOE is not aware of any
test data that verifies the validity of the iNSenCOP metric. Further,
minimum efficiency levels in terms of iNSenCOP have not been adopted in
ASHRAE Standard 90.1. The Department acknowledges the potential benefit
regarding representativeness that would be provided with an annualized
metric for CRACs. However, given the apparent need for further
validation and the lack of test data, DOE is not proposing to use the
iNSenCOP metric at this time.
3. Part-Load Operation and Air Circulation Mode
As discussed in the July 2017 ASHRAE TP RFI, CRACs typically
operate at part-load (i.e., less than designed full cooling capacity)
in the field. 82 FR 34427, 34432 (July 25, 2017). Reasons for this may
include, but are not limited to, redundancy in installed units to
prevent server shutdown if a CRAC unit stops working, and server room
designers building in extra cooling capacity to accommodate additional
server racks in the future. While the current DOE test procedure
measures performance at full-load, DOE has estimated that CRACs operate
on average at a sensible load of 65 percent

[[Page 6958]]

of the full-load sensible capacity in the analysis for a final rule for
standards and test procedures for certain commercial heating, air
conditioning, and water heating equipment (including CRACs) published
on May 16, 2012 (77 FR 28928). (Technical Support Document, EERE-2011-
BT-STD-0029-0021, pp. 4-15, 4-16) In the July 2017 ASHRAE TP RFI, DOE
requested information on the range of typical field load levels for
CRACs at conditions close to or at the maximum ambient outdoor air
temperature conditions specified in the DOE test procedure for various
unit capacities. DOE also sought input on typical rules of thumb for
oversizing and whether the issue of oversizing of this equipment should
be addressed in the efficiency metric. 82 FR 34427, 34432 (July 25,
2017).
Additionally, as discussed in the July 2017 ASHRAE TP RFI, many
CRACs operate in air circulation mode. 82 FR 34427, 34432 (July 25,
2017). In this mode, the direct expansion refrigerant system is shut
down, and only the indoor fans and controls are operating. In a
computer room with redundant CRAC units installed, one or more of the
redundant units can be operated in air circulation mode to provide
increased air movement. In the July 2017 ASHRAE TP RFI, DOE requested
comment on the conditions under which CRACs typically operate in air
circulation mode (i.e., operating the indoor fan without actively
cooling) in the field, whether each CRAC switches automatically between
standard cooling mode and air circulation mode, and if so, the time
percentage that CRACs operate in air circulation mode. DOE also sought
comment on which fan setting(s) is used for air circulation mode and
whether DOE should consider this energy use in the CRAC efficiency
metric. Id.
The CA IOUs encouraged DOE to adopt an efficiency metric for CRACs
that includes part-load conditions, stating that a full-load metric is
highly unrepresentative of operation of CRACs in the field.
Specifically, the CA IOUs stated that because computer rooms are built
out in stages, CRACs may be sized for loads that are far greater than
the loads actually met in practice, and that redundant and oversized
CRACs are typically installed to ensure the continuous operation of
these critical facilities. These commenters further stated that CRACs
typically operate at between 10 percent and 50 percent of full-load
capacity. Therefore, the CA IOUs recommended that DOE should modify the
iNSenCOP metric to account for part-load operation in addition to
variations in ambient conditions, or that DOE should develop a new
integrated metric that includes part-load test points. (CA IOUs, No. 3
at pp. 3-4)
The Joint Advocates urged DOE to adopt an efficiency metric for
CRACs that incorporates part-load performance, stating that a full-load
metric is not representative of performance in the field and,
therefore, does not provide good information to consumers.
Additionally, the Joint Advocates stated that if CRACs spend a
significant amount of time in air circulation mode, the energy use for
that operating mode should be captured in the test procedure. These
commenters also stated that variable-speed controls for fans and
compressors can significantly improve performance when operating at
part-load conditions or in air circulation mode, and that capturing
these benefits in the test procedure would likely increase adoption of
these technologies. The Joint Advocates acknowledged that measuring
power consumption in air circulation mode would require additional
testing, but suggested that the test burden would be small and that
testing of air circulation mode could be performed immediately
following the refrigeration system testing, similar to what is
specified in the new test procedures for testing dehumidifiers in
``off-cycle'' mode. (Joint Advocates, No. 9 at pp. 2-3)
AHRI stated that oversizing of CRACs varies from site to site and
depends on several factors such as redundancy, control sequencing, and
the build-out plan. Because of such variations, AHRI stated that it is
neither practical nor feasible to address oversizing in the efficiency
metric for CRACs. AHRI did not comment on whether energy use from air
circulation mode should be reflected in the CRAC efficiency metric, but
stated that airflow is a major consideration in the design of a data
center cooling system and that the control of airflow depends on how
the data center is designed. The trade association stated that
circulating fan speeds (in the case of variable-speed fans) are
controlled by aisle temperatures, rack temperatures, static pressure,
and supply air or return air temperatures; and that the industry has
gone to great lengths to address airflow design and control issues.
AHRI further commented that in many cases, the controls can be adjusted
manually in a matter of seconds to respond to server equipment or load
changes in the room. (AHRI, No. 11 at p. 4)
These comments suggest that CRACs are commonly oversized when
installed in the field, and that this oversizing can significantly
influence performance. DOE acknowledges that the extent of oversizing
of CRACs likely varies by application, but DOE tentatively disagrees
with AHRI's statement that it is neither practical nor feasible to
account for oversizing in an efficiency metric for CRACs. For example,
the ESP that indoor fans must overcome from ductwork varies widely by
installation location, yet all versions of AHRI Standard 1360 specify
ESP requirements to be used for testing all CRACs. Additionally, DOE
understands that many CRACs operate in air circulation mode and that
incorporating air circulation mode in testing might incentivize use of
more-efficient fan technologies for CRACs that typically operate at
lower fan speeds in air circulation mode. At this time, however, DOE
does not have information or data on part-load or air circulation mode
operation of CRACs to support a proposal to amend the efficiency metric
to account for performance in these operating modes.

F. Test Method

This section discusses certain issues related to testing CRACs,
several of which were identified by DOE in the July 2017 ASHRAE TP RFI
and subsequently addressed in AHRI 1360-202X Draft. Therefore, in this
section, comments received regarding such issues are briefly summarized
and cited but are addressed by referencing the relevant language in
AHRI 1360-202X Draft.
1. Standard Configurations
Section 3.18 of AHRI 1360-2016 specifies four floor-mounted
``standard model'' configurations to standardize rating conditions
(e.g., ESP, return air temperature) based on the configuration of a
unit. These four ``standard model'' configurations are: Up-flow ducted,
up-flow non-ducted, down-flow, and horizontal-flow. Section C1 of
Appendix C of AHRI 1360-2016 categorizes all units within the scope of
the test as one of the four floor-mounted ``standard model''
configurations, and Table C1 of AHRI 1360-2016 specifies the indoor
rating conditions for each ``standard model'' configuration. Table C1
of AHRI 1360-2016 also identifies 13 ``application configurations,''
which are optional test configurations and are not specified for use in
developing efficiency ratings.
As part of the July 2017 ASHRAE TP RFI, DOE requested confirmation
that, although floor-mounted CRACs may be sold to be installed in
multiple configurations, all models are capable of being tested as one
of the four floor-mounted standard models identified in Table C.1 of
AHRI 1360-2016. 82 FR 34427, 34433 (July 25, 2017).

[[Page 6959]]

In response to the July 2017 ASHRAE TP RFI, AHRI stated that all
floor-mounted models can be configured as one of the four floor-mounted
standard models specified in AHRI 1360-2016 and tested accordingly.
AHRI also added that some air discharge unit variations may require
special test set-ups, but did not elaborate on this issue. (AHRI, No.
11 at p. 4)
AHRI 1360-2017 specifies six ``standard model'' configurations and
includes ceiling-mounted ducted and ceiling-mounted non-ducted
``standard model'' configurations, in addition to the four floor-
mounted ``standard model'' configurations in AHRI 1360-2016. AHRI 1360-
202X Draft includes a similar concept but designates the configurations
as ``standard configurations'' rather than ``standard models.'' In
addition to the six configurations specified as ``standard models'' in
AHRI 1360-2017, Sections 3.25 and C1 (to Appendix C) of AHRI 1360-202X
Draft include two additional standard configurations for wall-mounted
and roof-mounted CRACs. Tables C1 and C2 to Appendix C of AHRI 1360-
202X Draft specify these eight standard configurations, as well as 14
``application configurations,'' which Section 3.2 of AHRI 1360-202X
Draft defines as unit configurations other than standard
configurations. However, Section 3.2 of AHRI 1360-202X Draft states
that all units within the scope of AHRI Standard 1360 shall be tested
and rated as standard configurations. Accordingly, for each application
configuration, Note 2 to Table C1 and Notes 3 through 5 to Table C2 of
AHRI 1360-202X Draft assign a specific standard configuration to be
used for rating purposes.
In light of the provisions in AHRI 1360-202X Draft regarding
standard configurations for testing CRACs, DOE surmises that the
approach provided in AHRI 1360-202X Draft represents industry consensus
regarding the most appropriate and representative configurations for
testing. To the extent that AHRI had any concerns regarding special
test set-ups needed for certain unit variations (as set forth in the
comments in response to the July 2017 ASHRAE TP RFI), DOE presumes that
AHRI's original position on this issue changed during the course of
developing the updated industry consensus standard. DOE is proposing to
adopt the provisions regarding standard configurations to be used for
testing under AHRI 1360-202X Draft.
2. Ceiling-Mounted CRACs
The CRAC industry test standard referenced in DOE's current test
procedure in 10 CFR 431.96, ANSI/ASHRAE 127-2007 (omitting section
5.11), is not specific as to mounting location (i.e., floor, ceiling,
wall, roof). However, on October 7, 2015, DOE issued a draft guidance
document (``October 2015 Draft Guidance'') to clarify that ceiling-
mounted CRACs are covered equipment and are required to be tested under
the current DOE test procedure for purposes of making representations
of energy consumption. DOE also noted that a manufacturer may request a
test procedure waiver for a basic model if it contains design features
that prevent testing according to the DOE test procedure. (Docket No.
EERE-2014-BT-GUID-0022, No. 3, pp. 1-2) \16\
---------------------------------------------------------------------------

\16\ Available at: <a href="http://www.regulations.gov/docket?D=EERE-2014-BT-GUID-0022">www.regulations.gov/docket?D=EERE-2014-BT-GUID-0022</a>.
---------------------------------------------------------------------------

In the July 2017 ASHRAE TP RFI, DOE requested comment on the
appropriate test procedure for ceiling-mounted CRACs and the test
burden associated with any such procedure. 82 FR 34427, 34431 (July 25,
2017). DOE also noted that ANSI/ASHRAE 127-2007 and ANSI/ASHRAE 127-
2012 do not exclude ceiling-mounted CRACs, but that AHRI 1360-2016 (the
latest version of AHRI 1360 at the time of the July 2017 ASHRAE TP RFI)
provides test provisions and rating conditions only for floor-mounted
CRACs. 82 FR 34427, 34430-34431 (July 25, 2017). Further, DOE noted
that the current DOE test procedure, which incorporates by reference
ANSI/ASHRAE 127-2007, specifies different test conditions (e.g.,
different ESP) than AHRI 1360-2016, and the Department requested
comment on whether the test requirements of ANSI/ASHRAE 127-2007 are
representative of average use cycles for ceiling-mounted CRACs. 82 FR
34427, 34433-34434 (July 25, 2017). In the July 2017 ASHRAE TP RFI, DOE
requested information on whether the ESP levels required by ANSI/ASHRAE
127-2012 (which is referenced by AHRI 1360-2016) are representative of
field operation for ceiling-mounted CRACs (among other non-floor-
mounted CRAC configurations), and if not, what a representative minimum
ESP would be. 82 FR 34427, 34434 (July 25, 2017).
In response, AHRI commented that AHRI 1360 was under revision (at
the time of the response) and that an updated version would be
published in 2017 (i.e., AHRI 1360-2017). AHRI stated that the revised
version would specify ESP requirements for ceiling-mounted CRACs. AHRI
provided a working draft of AHRI 1360-2017 as part of its comment
response. (AHRI, No. 11 at p. 6) AHRI also stated that the average use
cycle for ceiling-mounted CRAC units and other non-floor-mounted CRACs
would be the same as floor-mounted units. (AHRI, No. 11 at p. 5)
AHRI 1360-202X Draft includes ceiling-mounted units within the
scope of the industry consensus test standard and specifies ducting
configuration (e.g., ducted discharge and ducted return) requirements
in section 3.3.1, indoor entering air temperature in Table 3, and ESP
requirements that apply specifically to ceiling-mounted units in Table
5 of that standard. These configurations and conditions align with
those included for ceiling-mounted CRACs in the working draft of AHRI
1360-2017 provided as part of AHRI's comment response. Accordingly, DOE
surmises that the approach provided in AHRI 1360-202X Draft represents
industry consensus regarding the most appropriate and representative
method for testing ceiling-mounted CRACs. Further, from DOE's initial
review of public product literature for ceiling-mounted CRACs, DOE has
tentatively determined that the ESP requirements for ceiling-mounted
CRACs in AHRI 1360-202X Draft are more representative for testing
ceiling-mounted CRACs than the ESP requirements specified in ANSI/
ASHRAE 127-2007 (as provided in the October 2015 Draft Guidance
Document). Therefore, DOE is proposing to adopt the provisions in AHRI
1360-202X Draft regarding testing ceiling-mounted CRACs. If DOE adopts
the proposed test procedures for ceiling-mounted CRACs, DOE expects
that this update to the industry consensus standard would obviate the
need to update/finalize DOE's draft guidance document on this issue.
(Docket No. EERE-2014-BT-GUID-0022, No. 3, pp. 1-2)
3. Non-Floor Mounted CRACs
The current DOE test procedure (which references ANSI/ASHRAE 127-
2007) does not provide specific directions for testing wall-mounted or
roof-mounted CRACs (although they are not excluded from ANSI/ASHRAE
127-2007). In the July 2017 ASHRAE TP RFI, DOE requested information on
the extent to which single-package non-floor-mounted air conditioners
are used in computer room applications. DOE also requested comment on
whether special test procedure provisions should be developed for
different kinds of single-package non-floor-mounted air conditioners
that are used for computer room cooling. 82 FR 34427, 34431 (July 25,
2017).
In response to the July 2017 ASHRAE TP RFI, AHRI stated that it did
not have

[[Page 6960]]

information on the extent to which single-package non-floor-mounted air
conditioners are used in computer room applications. AHRI further
stated that it has not studied test provisions for single-package non-
floor-mounted CRACs in-depth, but commented that these units could be
tested by combining the test set-up(s) used for testing air
conditioners intended for comfort cooling applications with the rating
conditions specified for CRACs in AHRI 1360. (AHRI, No. 11 at pp. 2-3)
AHRI 1360-202X Draft includes wall-mounted and roof-mounted units
in the scope of the test standard and provides rating and test
conditions for these units. In light of the provisions in AHRI 1360-
202X Draft regarding testing wall-mounted and roof-mounted CRACs, DOE
surmises that the approach provided in AHRI 1360-202X Draft represents
industry consensus regarding the most appropriate and representative
method for testing these CRACs. DOE is proposing to adopt the
provisions in AHRI 1360-202X Draft regarding testing wall-mounted and
roof-mounted CRACs.
In the July 2017 ASHRAE TP RFI, DOE also requested comment on
whether there are other configurations of commercial package air
conditioners that are designed, marketed, or used in computer room
cooling applications and that meet DOE's current definition for a CRAC,
beyond floor-mounted units, ceiling-mounted units, portable units,
indoor single-package wall-mounted units, roof-mounted units, and
certain SPVUs. 82 FR 34427, 34431 (July 25, 2017).
In response, AHRI commented that DOE's list of configurations of
commercial package air conditioners presented in the July 2017 ASHRAE
TP RFI covers all variations of systems used for data center cooling
other than variable refrigerant flow multi-split air conditioners and
heat pumps (``VRF multi-split systems''), evaporative coolers, and site
built-up systems (i.e., engineered-to-order systems). (AHRI, No. 11 at
p. 3)
DOE has not identified any VRF multi-split systems on the market
that are specifically marketed for computer room cooling applications,
and provisions for testing such systems are not included in AHRI 1360-
202X Draft or ANSI/ASHRAE 127-2020. Evaporative coolers do not include
refrigeration systems; therefore, they are not air conditioners and are
not covered products or equipment under 42 U.S.C. 6291 or 42 U.S.C.
6311, respectively. The Federal test procedures (and energy
conservation standards) do not distinguish between ``engineered-to-
order'' equipment and mass-market equipment. To the extent that
equipment is a CRAC, it is subject to the Federal test procedures and
applicable energy conservation standards. In its comments, AHRI did not
provide any indication that there are site-built/engineered-to-order
CRACs that warrant unique test provisions. In accordance with the CRAC
configurations covered in AHRI 1360-202X Draft, DOE surmises that the
provisions provided in AHRI 1360-202X Draft represents industry
consensus regarding the configurations of CRACs for which specific test
provisions are warranted. DOE is not proposing test provisions for any
configurations of CRACs not included in AHRI 1360-202X Draft.
4. ANSI/ASHRAE 37 Test Requirements
The current DOE test procedure for CRACs references ANSI/ASHRAE
127-2007, which in turn references ANSI/ASHRAE Standard 37-2005,
``Methods of Testing for Rating Unitary Air-Conditioning and Heat Pump
Equipment'' (ANSI/ASHRAE 37-2005). In the July 2017 ASHRAE TP RFI, DOE
noted that ANSI/ASHRAE 127-2012 and AHRI 1360-2016 reference a more
recent version (i.e., ANSI/ASHRAE 37-2009), but none of these industry
test standards for CRACs indicate which specific provisions of the
applicable version of ANSI/ASHRAE 37 are intended to apply. 82 FR
34427, 34433 (July 25, 2017). DOE requested comment on whether the test
method of ANSI/ASHRAE 37-2009 is appropriate for measuring capacity,
sensible capacity, and electric energy use for all configurations of
CRACs (including configurations for which DOE does not currently
prescribe standards). Id.
In response, AHRI stated that a combination of ANSI/ASHRAE 37-2009,
ANSI/ASHRAE 127-2012, and the draft version of AHRI 1360 at the time of
AHRI's comment should cover most test methods for CRACs. (AHRI, No. 11
at p. 5).
AHRI 1360-202X Draft also references ANSI/ASHRAE 37-2009 but
provides additional clarity on the applicability of provisions in ANSI/
ASHRAE 37-2009. Specifically, Section 5.1 of AHRI 1360-202X Draft
specifies that all testing shall be conducted in accordance with ANSI/
ASHRAE 127-2020 and ANSI/ASHRAE 37-2009, and that in the event of
conflicting instructions between test standards, the instructions in
AHRI 1360-202X Draft take precedence. In light of the provisions in
AHRI 1360-202X Draft regarding the applicability of ANSI/ASHRAE 37-
2009, DOE surmises that the approach provided in AHRI 1360-202X Draft
represents industry consensus regarding the most appropriate and
representative method for testing CRACs. DOE is proposing to adopt the
provisions in AHRI 1360-202X Draft regarding the applicability of ANSI/
ASHRAE 37-2009 for testing CRACs.
In the July 2017 ASHRAE TP RFI, DOE raised several more specific
issues related to the applicability of ANSI/ASHRAE 37-2009. These
issues are addressed in AHRI 1360-202X Draft, and DOE is proposing to
adopt these provisions in AHRI 1360-202X Draft. These issues are
discussed in the following subsections.
a. Test Tolerances
Table 2b of ANSI/ASHRAE 37-2009 includes test operating tolerances
(i.e., the maximum permissible range of a measurement during the
specified test interval) and condition tolerances (i.e., the maximum
permissible difference between the averaged value of the measured test
parameter and the specified test condition) for several parameters,
including air and fluid temperatures. Section 5.1 of ANSI/ASHRAE 127-
2007 and Section 5.2.1 of ANSI/ASHRAE 127-2012 include an operating
tolerance for the room temperature; however, no published versions of
ANSI/ASHRAE 127 or AHRI 1360 prior to AHRI 1360-2017 specifically
include tolerances for any other test parameters or clarify whether
such tolerances are included as part of the general reference to ASHRAE
Standard 37.
In the July 2017 ASHRAE TP RFI, DOE requested comment on whether
any operating or condition tolerances included in Table 2b of ANSI/
ASHRAE 37-2009 are inappropriate for CRACs. If any are inappropriate,
DOE requested an explanation as to why and suggestions on how the
tolerances should be changed. 82 FR 34427, 34433 (July 25, 2017).
In response, AHRI commented that the tolerances listed in Table 2b
of ANSI/ASHRAE 37-2009 are appropriate for testing CRACs. (AHRI, No. 11
at p. 5)
Subsequently, the AHRI 1360 committee has developed an updated
draft version, AHRI 1360-202X Draft, which specifies operating and
condition test tolerances in Table 7 of the draft industry test
standard. These tolerances generally align with those in Table 2b of
ANSI/ASHRAE 37-2009 but also include tolerances for electrical voltage,
electrical frequency, and indoor and outdoor dew point temperatures.
Furthermore, section E5.3.2 of Appendix E of AHRI 1360-202X Draft
specifies condition tolerances for indoor

[[Page 6961]]

airflow and ESP. DOE is proposing to adopt the test tolerances
specified in AHRI 1360-202X Draft.
b. Enclosure for CRACs With Compressors in Indoor Units
DOE's research indicates that most air-cooled CRACs are split
systems with the compressor(s) housed in the indoor unit. Additionally,
water-cooled and glycol-cooled CRACs are typically single-package
systems, and all components in such systems are typically intended for
indoor installation. Where the compressor is installed in relation to
the conditioned space and other system components impacts the capacity
of the system and the provisions necessary for accurately measuring
system capacity, because waste heat from the compressor is transferred
to the surrounding air. Section 6.1.5 of ASHRAE 37-2009 states that an
enclosure as shown in Figure 3 of the standard must be used when the
compressor is housed in the indoor section (i.e., indoor unit) and
separately ventilated (i.e., air that absorbs compressor heat would not
combine with supply air, which is used to measure capacity). Figure 3
shows an insulated enclosure surrounding the indoor unit that ensures
that the separately ventilated compressor air recombines with supply
air to be included in capacity measurements. Hence, the heat rejected
from the compressor shell is accounted for in the indoor air enthalpy
method measurement. This test arrangement also reflects field
performance of the air conditioner to the extent that any compressor
heat rejected to the indoors will heat the space, thereby reducing
cooling capacity and increasing heating capacity. For systems where the
compressor is in the indoor section but not separately ventilated, the
air that absorbs compressor heat combines with supply air and is
accounted for in the indoor air enthalpy method capacity measurements
without the need for the enclosure in Figure 3. In the 2017 ASHRAE TP
RFI, DOE requested comment on whether it is appropriate to incorporate
the impact of compressor heat in sensible capacity measurements for
CRACs with compressors housed in their indoor units. 82 FR 34427, 34433
(July 25, 2017).
In response, AHRI stated that the heat released from the compressor
shell is not significant. AHRI further commented that both the hot and
cold sections of the compressor are typically exposed to the unit
airstream, and, therefore, that compressor heat (if any) is already
included in the sensible capacity measurement of CRACs. Similarly, in
units where the compressor is in a separate compartment, AHRI stated
that the negative air pressure of the adjacent evaporator usually pulls
the compressor heat, if any, into the airstream. (AHRI, No. 11 at p.
6).
Section 5.4 of AHRI 1360-202X Draft specifies requirements for when
an enclosure as shown in Figure 3 of ANSI/ASHRAE 37-2009 must be used
for testing CRACs. Specifically, Section 5.4.1 notes than an enclosure
is required for systems for which the compressor(s) is housed in a part
of the unit that the manufacturer's installation instructions indicate
is intended for indoor installation and the compressor(s) is separately
ventilated from the evaporator or condenser airstream. Additionally,
for systems for which the compressor(s) is housed in a part of the unit
that the manufacturer's installation instructions indicate is intended
for indoor installation, but the compressor(s) is not separately
ventilated--Section 5.4.2 states that an enclosure must be used if the
required heat balance between the primary and secondary capacity
measurements cannot be achieved. In light of the provisions in AHRI
1360-202X Draft regarding enclosures for CRACs with compressors in the
indoor unit, DOE surmises that AHRI's original position on these
provisions, as set forth in the comments in response to the July 2017
ASHRAE TP RFI, changed during the course of developing that industry
consensus standard. DOE is proposing to adopt the provisions regarding
enclosures for CRACs with compressors in the indoor unit specified in
Section 5.4 of AHRI 1360-202X Draft.
c. Secondary Methods for Capacity Measurement
Section 7.2.1 of ANSI/ASHRAE 37-2005 (which is referenced by ANSI/
ASHRAE 127-2007, which is incorporated by reference in DOE's current
test procedure) and Section 7.2.1 of ANSI/ASHRAE 37-2009 (which is
referenced by all CRAC industry test standards published after 2009)
both require that when testing equipment with a total cooling capacity
less than 135,000 Btu/h, simultaneous capacity tests must be conducted
using the indoor air enthalpy method as the primary method and one
other applicable method as the secondary method.\17\ Specifically,
these other applicable test methods include the outdoor air enthalpy
method, the compressor calibration method, the refrigerant enthalpy
method, and the outdoor liquid coil method. Table 1 of ANSI/ASHRAE 37-
2005 and Table 1 of ANSI/ASHRAE 37-2009 specify which of these test
methods are applicable for each equipment configuration and method of
heat rejection in cooling mode. Additionally, Section 10.1.2 of these
standards requires that the total cooling capacity values calculated
from the two simultaneously conducted methods agree within 6.0 percent.
---------------------------------------------------------------------------

\17\ ANSI/ASHRAE 37-2009 does not require secondary capacity
measurements for equipment with cooling capacity greater than or
equal to 135,000 Btu/h.
---------------------------------------------------------------------------

The secondary test method is mainly used to validate the accuracy
of the capacity measurements. Specifically, the secondary test method
ensures that all energy flowing into and out from the system are
accounted for. If the measured total cooling capacity is verified to be
accurate by using a secondary test method, the measured sensible
cooling capacity using the indoor air enthalpy method likewise would be
accurate, thereby ensuring results that are appropriately
representative of equipment operation during an average use cycle.
In the 2017 ASHRAE TP RFI, DOE sought comment on whether a
secondary test is appropriate for testing CRACs, for what range of
cooling capacity such a requirement should apply for CRACs, how the
requirement should be applied, what level of agreement should be
required, and whether there would be a significant additional test
burden resulting from a secondary test. 82 FR 34427, 34433 (July 25,
2017).
In response, AHRI stated that it is not aware of a secondary test
that confirms sensible cooling capacity specifically. AHRI recommended
that DOE not adopt a secondary test requirement for CRACs until such
time as an appropriate test method is developed and proven to be
accurate. (AHRI, No. 11 at p. 5)
AHRI 1360-202X Draft includes requirements for conducting secondary
methods of total capacity measurement for CRACs. More specifically,
Section E7.2 of Appendix E of AHRI 1360-202X Draft sets forth equipment
configurations for which secondary measurements are not required, but
for all other configurations, it requires use of one of the applicable
``Group B'' methods specified in Table 1 of ANSI/ASHRAE 37-2009 as a
secondary method.\18\ Section E7.4 of Appendix E

[[Page 6962]]

of AHRI 1360-202X Draft specifies a requirement on agreement between
total capacity measurements (for applicable equipment)--the secondary
capacity measurement must be within 6 percent of the primary capacity
measurement. In light of the provisions in AHRI 1360-202X Draft
regarding secondary methods for capacity measurement, DOE surmises
AHRI's original position on these provisions, as set forth in the
comments in response to the July 2017 ASHRAE TP RFI, changed during the
course of developing that industry consensus standard. DOE is proposing
to adopt the provisions regarding secondary methods specified in
Section E7 of AHRI 1360-202X Draft.
---------------------------------------------------------------------------

\18\ Specifically, Section E7.2 of Appendix E of AHRI 1360-202X
Draft includes the following requirements: For the following
equipment, no secondary measurements are required: (1) Single-
package evaporatively-cooled equipment with rated cooling capacity
greater than or equal to 135,000 Btu/h and (2) air-cooled single-
package equipment with outdoor airflow rates (either manufacturer-
specified or determined via testing) above 9,000 scfm. For all other
equipment, use one of the applicable ``Group B'' methods specified
in Table 1 of ANSI/ASHRAE 37-2009 as a secondary method for capacity
measurement.
---------------------------------------------------------------------------

5. Ducted Condensers
CRACs with condensers or condensing units intended for indoor
installation may require ducting of outdoor air. As part of the July
2017 ASHRAE TP RFI, DOE requested comment on how to set up the
condenser airflow when testing CRACs manufactured with condenser air
inlet and outlet connections and high-static condenser fans (which is
indicative of units that can be installed indoors with the condenser
inlet air ducted from the outdoors to the unit, and vice versa for the
condenser outlet air). Additionally, DOE requested comment on whether
some CRACs can be installed with or without condenser ducting, and if
so, how often these units are typically installed with condenser
ducting. DOE also sought comment on whether certain CRAC configurations
are more likely to be installed with condenser ducting. 82 FR 34427,
34434 (July 25, 2017).
In response, AHRI stated that the condenser airflow is established
and measured in accordance with ANSI/ASHRAE 37-2009 and ANSI/ASHRAE
127-2012, and that a two-step process is required when testing in
psychrometric rooms without an outdoor air measurement chamber. (AHRI,
No. 11 at p. 7) AHRI also commented that manufacturers do not know what
percentage of CRACs with indoor condensers are ducted in the field, but
that all units with indoor condensers are capable of being ducted and
are rated with an ESP consistent with the requirements in Section
6.2.4.5 of AHRI 1360-2016.\19\ AHRI further stated that 99 percent of
air-cooled floor-mounted CRACs utilize outdoor free air discharge
condensers and that only 1 percent of units are installed with indoor
ducted condensers. However, AHRI stated that indoor ducted condensers
are more prevalent for air-cooled ceiling-mounted CRACs (20 percent).
Additionally, AHRI argued that due to space constraints, as well as
larger condenser fan motors, ceiling-mounted CRACs with ducted
condensers should have lower minimum efficiency levels. AHRI stated
that it will develop a proposal regarding efficiency levels to be
included in ASHRAE Standard 90.1 for ceiling-mounted CRACs with ducted
condensers in the near future. Id.
---------------------------------------------------------------------------

\19\ Section 6.2.4.5 of AHRI 1360-2016 specifies that for
products intended to be installed with the outdoor airflow ducted,
the unit shall be installed with outdoor coil ductwork installed per
manufacturer installation instructions and shall operate at 0.5 in
H<INF>2</INF>O ESP.
---------------------------------------------------------------------------

AHRI 1360-202X Draft includes provisions for testing CRACs with
ducted condensers. Specifically, Table 6 of AHRI 1360-202X Draft
provides the following outdoor air ESP requirements for units with
ducted condensers: 0.5 in H<INF>2</INF>O \20\ for ceiling-mounted
units, and 0.0 in H<INF>2</INF>O for all other configurations. Further,
Section E6 of Appendix E of AHRI 1360-202X Draft specifies test
provisions for setting outdoor airflow and outdoor air ESP for units
with ducted condensers. In light of the provisions in AHRI 1360-202X
Draft regarding testing CRACs with ducted condensers, DOE surmises that
the approach provided in AHRI 1360-202X Draft represents industry
consensus regarding the most appropriate and representative method for
testing CRACs with ducted condensers. DOE is proposing to adopt the
provisions in AHRI 1360-202X Draft regarding testing CRACs with ducted
condensers.
---------------------------------------------------------------------------

\20\ The symbol ``in H<INF>2</INF>O'' refers to inches of water
column.
---------------------------------------------------------------------------

Regarding AHRI's comment about stringency of minimum efficiency
levels for ceiling-mounted CRACs with ducted condensers, DOE notes that
minimum efficiency levels for ceiling-mounted CRACs (including separate
levels for units with and without ducted condensers) are included in
ASHRAE Standard 90.1-2019. DOE is evaluating the ASHRAE Standard 90.1-
2019 minimum efficiency levels for CRACs in a separate energy
conservation standards rulemaking (see Docket No. EERE-2020-BT-STD-
0008).
6. Minimum External Static Pressure Requirements
In the July 2017 ASHRAE TP RFI, DOE noted that ANSI/ASHRAE 127-2007
(which is referenced by the current DOE test procedure), ANSI/ASHRAE
127-2012, and AHRI 1360-2016 all contain different minimum ESP
specifications. 82 FR 34427, 34433 (July 25, 2017). DOE noted that the
2007 and 2012 versions of ANSI/ASHRAE 127 contain the same minimum ESP
levels but use different definitions to determine which minimum ESP
level applies for a given unit. Specifically, ANSI/ASHRAE 127-2012
defines ``ducted systems'' as ``air conditioners intended to be
connected to supply and/or return ductwork'' instead of ``to supply and
return ductwork,'' as specified in ANSI/ASHRAE 127-2007. Additionally,
DOE observed that the ESP requirements specified in AHRI 1360-2016 for
up-flow ducted and down-flow configurations are significantly lower
than those specified in ANSI/ASHRAE 127-2012. DOE further stated that
it was considering adopting the test procedures and the ESP
requirements specified in AHRI 1360-2016, but sought input on whether
the ESP requirements specified in AHRI 1360-2016 are representative of
field operation for floor-mounted CRACs. 82 FR 34433-34434 (July 25,
2017).
In response, AHRI commented that while there are some unusual
circumstances where excessive ducting is required, the ESP requirements
specified in AHRI 1360-2016 are representative of most applications.
(AHRI, No. 11 at p. 6)
AHRI 1360-202X Draft specifies indoor air ESP requirements in Table
5 for all configurations of CRACs. The ESP requirements specified for
floor-mounted CRACs in Table 5 align with those specified in AHRI 1360-
2016, except that the capacity boundaries for ESP requirements for up-
flow ducted units increased from 65,000 Btu/h and 240,000 Btu/h to
80,000 Btu/h and 295,000 Btu/h, respectively. This increase in capacity
boundaries reflects the increase in NSCC associated with the increased
return air temperature for up-flow ducted units in the NSenCOP metric,
as compared to the SCOP metric (see section III.E.1.a of this NOPR for
further discussion of the indoor entering air temperature conditions
for NSenCOP). ESP requirements for ceiling-mounted CRACs are discussed
in section III.F.2 of this NOPR, and ESP requirements for wall-mounted
and roof-mounted CRACs are discussed in section III.F.3 of this NOPR.
DOE surmises that the approach provided in AHRI 1360-202X Draft
represents industry consensus regarding the most appropriate and
representative ESP requirements for testing CRACs. DOE is not proposing
any deviations from the ESP requirements specified in Table 5 of AHRI
1360-202X Draft.

[[Page 6963]]

7. Refrigerant Charging Instructions
The amount of refrigerant charge in an air conditioner can have a
significant impact on the system performance. DOE's current test
procedure for CRACs requires that units be set up for test in
accordance with the manufacturer installation and operation manuals. 10
CFR 431.96(e). In addition, the current DOE test procedure states that
if the manufacturer specifies a range of superheat, sub-cooling, and/or
refrigerant pressures in the installation and operation manual, any
value within that range may be used to determine refrigerant charge,
unless the manufacturer clearly specifies a rating value in its
installation or operation manual, in which case the specified value
shall be used. 10 CFR 431.96(e)(1). The current DOE test procedure does
not provide charging instructions if the manufacturer does not provide
instructions in the manual that is shipped with the unit or if the
provided instructions are unclear or incomplete.
As part of the July 2017 ASHRAE TP RFI, DOE noted that neither the
ASHRAE nor the AHRI test standards for CRACs (published at the time of
the July 2017 ASHRAE TP RFI) include specific instructions for
refrigerant charging. 82 FR 34427, 34434 (July 25, 2017). In a June 8,
2016 final rule for the test procedure for central air conditioners and
heat pumps (CACs/HPs), DOE further stated that the Federal test
procedure for CACs/HPs provides a comprehensive approach for
refrigerant charging intended to improve test reproducibility.\21\ 81
FR 36992, 37030-37031. Specifically, DOE noted in the July 2017 ASHRAE
TP RFI that the approach for CACs/HPs indicates which set of
installation instructions to use for charging, explains what to do if
there are no instructions, indicates that target values of parameters
are the centers of the range allowed by installation instructions, and
specifies tolerances for the measured values. DOE requested comment on
which refrigerant charging requirements should be considered to
establish reproducible test results for CRACs, and whether the approach
for CACs/HPs would be appropriate for CRACs. DOE also requested comment
on the operating conditions at which CRAC units are typically charged
in the field and/or what conditions should be used to set refrigerant
charge for testing purposes. 82 FR 34427, 34434-34435 (July 25, 2017).
---------------------------------------------------------------------------

\21\ The currently applicable test procedure for CACs/HPs is
located at 10 CFR part 430, subpart B, appendix M.
---------------------------------------------------------------------------

In response, AHRI commented that refrigerant charging should be
based on the manufacturer's instructions, and that because CRACs are
operated year-round, manufacturers determine the optimum charge for hot
and cold weather operation. (AHRI, No. 11 at p. 8).
Section 5.9 of AHRI 1360-202X Draft includes a comprehensive set of
provisions regarding refrigerant charging for CRACs that is generally
consistent with the approach for CACs/HPs currently in DOE's
regulations. Specifically, Section 5.9 of AHRI 1360-202X Draft requires
that units be charged at conditions specified by the manufacturer in
accordance with the manufacturer installation instructions or labels
applied to the unit, which is consistent with AHRI's comment. If there
are no manufacturer-specified charging conditions, Section 5.9 of AHRI
1360-202X Draft specifies charging at the standard rating conditions
(as defined in Tables 3 and 4 of that test standard). Section 5.9 of
AHRI 1360-202X Draft also provides additional charging instructions to
be used if the manufacturer does not provide instructions or if the
provided instructions are unclear or incomplete (e.g., specifying
default charging targets to use if none are provided by the
manufacturer and specifying an instruction priority to be used in the
event of conflicting information between multiple manufacturer-provided
charging instructions). In light of the provisions in AHRI 1360-202X
Draft, DOE surmises that the approach provided in AHRI 1360-202X Draft
represents industry consensus regarding the most appropriate and
representative approach for refrigerant charging for testing CRACs. DOE
is not proposing any deviations from the refrigerant charging
provisions specified in Section 5.9 of AHRI 1360-202X Draft.

G. Configuration of Unit Under Test

CRACs are distributed in commerce in a variety of configurations
consisting of different combinations of components. The following
sections address the required configuration of units under test.
1. Specific Components
An Appliance Standards and Rulemaking Federal Advisory Committee
(ASRAC) working group for certain commercial heating, ventilating, and
air conditioning (HVAC) equipment (Commercial HVAC Working Group),\22\
which included CRACs, submitted a term sheet (Commercial HVAC Term
Sheet) providing the Commercial HVAC Working Group's recommendations.
(Docket No. EERE-2013-BT-NOC-0023, No. 52) \23\ The Commercial HVAC
Working Group recommended that DOE issue guidance under current
regulations on how to test certain equipment features when included in
a basic model, until the testing of such features can be addressed
through a test procedure rulemaking. The Commercial HVAC Term Sheet
listed the subject features under the heading ``Equipment Features
Requiring Test Procedure Action.'' (Id. at pp. 3-9) The Commercial HVAC
Working Group also recommended that DOE issue an enforcement policy
stating that DOE would exclude certain equipment with specified
features from Departmental testing, but only when the manufacturer
offers for sale at all times a model without that feature but that is
identical in terms of all other features; otherwise, the model with
that feature would be eligible for Departmental testing. These features
were listed under the heading ``Equipment Features Subject to
Enforcement Policy.'' (Id. at pp. 9-15)
---------------------------------------------------------------------------

\22\ In 2013, members of ASRAC formed the Commercial HVAC
Working Group to engage in a negotiated rulemaking effort regarding
the certification of certain commercial HVAC equipment, including
CRACs. The Commercial HVAC Working Group's recommendations are
available at <a href="http://www.regulations.gov">www.regulations.gov</a> under Docket No. EERE-2013-BT-NOC-
0023-0052.
\23\ Available at <a href="http://www.regulations.gov/document/EERE-2013-BT-NOC-0023-0052">www.regulations.gov/document/EERE-2013-BT-NOC-0023-0052</a>.
---------------------------------------------------------------------------

On January 30, 2015, DOE issued a Commercial HVAC Enforcement
Policy addressing the treatment of specific features during
Departmental testing of commercial HVAC equipment. (See <a href="http://www.energy.gov/gc/downloads/commercial-equipment-testing-enforcement-policies">www.energy.gov/gc/downloads/commercial-equipment-testing-enforcement-policies</a>) The
Commercial HVAC Enforcement Policy stated that--for the purposes of
assessment testing pursuant to 10 CFR 429.104, verification testing
pursuant to 10 CFR 429.70(c)(5), and enforcement testing pursuant to 10
CFR 429.110--DOE would not test a unit with one of the optional
features listed for a specified equipment type if a manufacturer
distributes in commerce an otherwise identical unit that does not
include one of the optional features. (Id at p. 1) The objective of the
Commercial HVAC Enforcement Policy is to ensure that each basic model
has a commercially-available version eligible for DOE testing, meaning
that each basic model includes either a model without the optional
feature(s) or a model with the optional features that is eligible for
testing. Id. The features in the Commercial HVAC Enforcement Policy for
CRACs align with the Commercial HVAC Term Sheet's list designated

[[Page 6964]]

``Equipment Features Subject to Enforcement Policy.''
AHRI 1360-202X Draft includes Appendix D, ``Unit Configuration for
Standard Efficiency Determination--Normative.'' Section D2 of that
appendix includes a list of features that are optional for testing.
Section D2 of AHRI 1360-202X Draft further specifies the following
general provisions regarding testing of units with optional features:
<bullet> If an otherwise identical model (within the same basic
model) without the feature is distributed in commerce, test the
otherwise identical model.
<bullet> If an otherwise identical model (within the same basic
model) without the feature is not distributed in commerce, conduct
tests with the feature present but configured and de-activated so as to
minimize (partially or totally) the impact on the results of the test
(as determined per the provisions in section D2). Alternatively, the
manufacturer may indicate in the supplemental testing instructions that
the test shall be conducted using a specially built otherwise identical
unit that is not distributed in commerce and does not have the feature.
The optional features provisions in AHRI 1360-202X Draft are
generally consistent with DOE's Commercial HVAC Enforcement Policy, but
the list of optional features in Section D2 of AHRI 1360-202X Draft
does not align with the list of features included for CRACs in the
Commercial HVAC Enforcement Policy. For CRACs, the Commercial HVAC
Enforcement Policy specifies two optional features (high-static
condenser fan/motor assembly and dehumidification components) which are
not included in the optional features section in Section D2 of AHRI
1360-202X Draft. DOE understands AHRI 1360-202X Draft to represent the
industry consensus position on testing CRACs. As such, DOE understands
the industry consensus to be that these two features should not be
treated as optional features for CRACs.
Additionally, unlike Section D2 of AHRI 1360-202X Draft, DOE's
Commercial HVAC Enforcement Policy does not allow a manufacturer to
test a specially-built otherwise identical model for testing models
without a feature that are not distributed in commerce. Because testing
such specially-built models would not provide ratings representative of
equipment distributed in commerce, DOE has tentatively concluded that
this option is not appropriate. Therefore, consistent with the
Commercial HVAC Enforcement Policy, DOE is not proposing to include
this option for testing specially-built units in its representation and
enforcement provisions.
DOE notes that the list of features and provisions in Section D2 of
Appendix D of AHRI 1360-202X Draft conflates features that can be
addressed by testing provisions with features that warrant enforcement
relief (i.e., features that, if present on a unit under test, could
have a substantive impact on test results and that cannot be disabled
or otherwise mitigated). This differentiation was central to the
Commercial HVAC Term Sheet, which as noted previously, included
separate lists for ``Equipment Features Requiring Test Procedure
Action'' and ``Equipment Features Subject to Enforcement Policy,'' and
remains central to providing clarity in DOE's regulations. Further,
provisions more explicit than what is included in Section D2 of AHRI
1360-202X Draft are warranted to clarify the differences between how
specific components must be treated when manufacturers are making
representations as opposed to when DOE is conducting enforcement
testing.
In order to provide clarity between test procedure provisions
(i.e., how to test a specific unit) and representation and enforcement
provisions (e.g., which model to test), DOE is not proposing to adopt
Sections D1 and D2 of Appendix D of AHRI 1360-202X Draft but instead is
proposing to adopt related provisions in 10 CFR part 431, subpart F,
appendix E1, in 10 CFR 429.43, and in 10 CFR 429.134, without any
substantive change to the requirements, except as discussed
subsequently regarding coated coils and previously regarding specially-
built units.
Specifically, in 10 CFR part 431, subpart F, appendix E1, DOE
proposes test procedure provisions for specific components, including
the components listed in section D2 of AHRI 1360-202X Draft for which
there is a unique test procedure action (i.e., test procedure
provisions specific to the component that are not addressed by general
provisions in AHRI 1360-202X Draft to test per manufacturers'
installation instructions).\24\ These provisions would specify how to
test a unit with such a component. For example, for a unit with an air
economizer factory-installed, place the economizer in the 100-percent
return position and close and seal the outside air dampers for testing.
These proposed test provisions are consistent with the provision in
Section D2 of AHRI 1360-202X Draft, but include revisions for further
clarity and specificity (e.g., adding clarifying provisions for how to
test units with modular economizers, as opposed to units shipped with
economizers installed).
---------------------------------------------------------------------------

\24\ For the following components listed in Section D2 of AHRI
1360-202X Draft, DOE has tentatively concluded that there is not a
specific test procedure action to be specified for testing a unit
with the component present: Powered exhaust/powered return air fans,
coated coils, compressor variable frequency drive (VFD), flooded
condenser head pressure controls, and condensate pump.
---------------------------------------------------------------------------

Consistent with the Commercial HVAC Term Sheet and the Commercial
HVAC Enforcement Policy, in 10 CFR 429.43(a)(4), DOE is proposing
provisions that would allow determination of represented values to be
based on an individual model distributed in commerce without the
component in specific cases. The components to which these provisions
apply are limited to those components for which the test provisions for
testing a unit with these components may result in differences in
ratings compared to testing a unit without these components.\25\ For
these components, DOE proposes in 10 CFR 429.43(a)(4) that:
---------------------------------------------------------------------------

\25\ DOE has tentatively concluded that for the following
features included in Section D2 of AHRI 1360-202X Draft, testing a
unit with these components in accordance with the proposed test
provisions would not result in differences in ratings compared to
testing a unit without these components. Therefore, DOE is not
proposing to include these features in 10 CFR 429.43(a)(4): High-
effectiveness indoor air filtration, harmonic distortion mitigation
devices, electric reheat elements, and non-standard power
transformer.
---------------------------------------------------------------------------

<bullet> If a basic model includes only individual models
distributed in commerce with a specific component, or does not include
any otherwise identical individual models without the specific
component, the manufacturer must determine represented values for the
basic model based on performance of an individual model with the
component present (and consistent with any relevant proposed test
procedure provisions in appendix E1).
<bullet> If a basic model includes both individual models
distributed in commerce with a specific component and otherwise
identical individual models without the specific component, the
manufacturer may determine represented values for the basic model based
on performance of an individual model either with the component present
(and consistent with any relevant proposed test procedure provisions in
appendix E1) or without the component present.
DOE's proposed provisions in 10 CFR 429.43(a)(4) include all of the
optional features (excluding those that pertain only to chilled water
equipment and not to CRACs) specified in Section D2 of AHRI 1360-202X
Draft for which the

[[Page 6965]]

test provisions for testing a unit with these components may result in
differences in ratings compared to testing a unit without these
components, except coated coils. DOE is proposing to exclude coated
coils from the specific components list specified in 10 CFR 429.43
because DOE has tentatively concluded that the presence of coated coils
does not result in a significant impact to performance of CRACs, and,
therefore, that models with coated coils should be rated based on
performance of models with coated coils.
DOE notes that in some cases, individual models may include
multiples of the specified components or there may be individual models
within a basic model that include various versions of the specified
components that result in more or less energy use. In these cases, the
represented values of performance must be representative of the lowest
efficiency found within the basic model.
Also consistent with the Commercial HVAC Term Sheet and the
Commercial HVAC Enforcement Policy, in 10 CFR 429.134(g), DOE is
proposing provisions regarding how DOE would assess compliance for
basic models that include individual models distributed in commerce
with specific components.
<bullet> If a basic model includes only individual models
distributed in commerce with a specific component, or does not include
any otherwise identical individual models without the specific
component, DOE may assess compliance for the basic model based on
testing an individual model with the component present (and consistent
with any relevant proposed test procedure provisions in appendix E1).
<bullet> If a basic model includes both individual models
distributed in commerce with a specific component and otherwise
identical individual models without the specific component, DOE will
assess compliance for the basic model based on testing of an otherwise
identical model within the basic model that does not include the
component, except if DOE is not able to obtain such a model for
testing. In such a case, DOE will assess compliance for the basic model
based on testing of an individual model with the specific component
present (and consistent with any relevant proposed test procedure
provisions in appendix E1).
Were DOE to adopt the provisions in 10 CFR part 431, subpart F,
appendix E1, 10 CFR 429.43, and 10 CFR 429.134 as proposed, DOE would
rescind the Commercial HVAC Enforcement Policy to the extent it is
applicable to CRACs. In a separate certification rulemaking, DOE may
consider certification reporting requirements such that manufacturers
would be required to certify which otherwise identical models are used
for making representations of basic models that include individual
models with specific components.
Issue 4: DOE seeks comment on its proposals regarding specific
components in 10 CFR part 431, subpart F, appendix E1, 10 CFR 429.43,
and 10 CFR 429.134.
2. Non-Standard Indoor Fan Motors
The Commercial HVAC Enforcement Policy includes high-static indoor
blowers/oversized motors as an optional feature for CRACs, among other
equipment. The Commercial HVAC Enforcement Policy states that when
selecting a unit of a basic model for DOE[hyphen]initiated testing, if
the basic model includes a variety of high-static indoor blowers or
oversized motor options,\26\ DOE will test a unit that has a standard
indoor fan assembly (as described in the STI that is part of the
manufacturer's certification, including information about the standard
motor and associated drive that was used in determining the certified
rating). This policy only applies where: (a) The manufacturer
distributes in commerce a model within the basic model with the
standard indoor fan assembly (i.e., standard motor and drive), and (b)
all models in the basic model have a motor with the same or better
relative efficiency performance as the standard motor included in the
test unit, as described in a separate guidance document discussed
subsequently. If the manufacturer does not offer models with the
standard motor identified in the STI or offers models with high-static
motors that do not comply with the comparable efficiency guidance, DOE
will test any indoor fan assembly offered for sale by the manufacturer.
---------------------------------------------------------------------------

\26\ The Commercial HVAC Enforcement Policy defines ``high
static indoors blower or oversized motor'' as an assembly that
drives the fan and can deliver higher external static pressure than
the standard indoor fan assembly sold with the equipment.
---------------------------------------------------------------------------

DOE subsequently issued a draft guidance document (``Draft
Commercial HVAC Guidance Document'') on June 29, 2015 to request
comment on a method for comparing the efficiencies of a standard motor
and a high-static indoor blower/oversized motor.\27\ As presented in
the Draft Commercial HVAC Guidance Document, the relative efficiency of
an indoor fan motor would be determined by comparing the percent losses
of the standard indoor fan motor to the percent losses of the non-
standard (oversized) indoor fan motor. The percent losses would be
determined by comparing each motor's wattage losses to the wattage
losses of a corresponding reference motor. Additionally, the draft
method contains a table that includes a number of situations with
different combinations of characteristics of the standard motor and
oversized motor (e.g, whether each motor is subject to Federal
standards for motors, whether each motor can be tested to the Federal
test procedure for motors, whether each motor horsepower is less than
one) and specifies for each combination whether the non-standard fan
enforcement policy would apply (i.e., whether DOE would not test a
model with an oversized motor, as long as the relative efficiency of
the oversized motor is at least as good as performance of the standard
motor). DOE has not issued a final guidance document and is instead
addressing the issue for CRACs in this test procedure rulemaking.
---------------------------------------------------------------------------

\27\ Available at <a href="http://www1.eere.energy.gov/buildings/appliance_standards/pdfs/draft-commercial-hvac-motor-faq-2015-06-29.pdf">www1.eere.energy.gov/buildings/appliance_standards/pdfs/draft-commercial-hvac-motor-faq-2015-06-29.pdf</a>.
---------------------------------------------------------------------------

Section D3 of AHRI 1360-202X Draft includes two different
approaches for comparing the efficiency for standard and non-standard
indoor fan motors.\28\ Section D3.1 of AHRI 1360-202X Draft includes an
approach for directly comparing the efficiency for standard and non-
standard indoor fan motors, and this approach applies for most indoor
fan assemblies. Section D3.2 includes an approach to compare
performance for certain integrated fan and motor (IFM) combinations in
which the motor and fan cannot be separated and/or are not rated
separately.
---------------------------------------------------------------------------

\28\ Section D3 of AHRI 1360-202X Draft states that: (1) The
standard indoor fan motor is the motor specified in the
manufacturer's installation instructions by the manufacturer for
testing and shall be distributed in commerce as part of a particular
model; and that (2) a non-standard motor is an indoor fan motor that
is not the standard indoor fan motor and that is distributed in
commerce as part of an individual model within the same Basic Model.
---------------------------------------------------------------------------

Section D3.1 of AHRI 1360-202X Draft requires that in order for the
individual model with the non-standard indoor fan motor to be certified
within the same basic model as the individual model with the standard
indoor fan motor, the non-standard indoor fan motor must be more
efficient than the minimum value calculated using Equation D1 of AHRI
1360-202X Draft. This minimum non-standard motor efficiency calculation
is dependent on the efficiency of the standard fan motor and the
reference efficiencies (determined per Table D1 of AHRI 1360-202X
Draft) of the standard and non-standard fan motors.

[[Page 6966]]

Section D3.2 of AHRI 1360-202X Draft contains a method for
comparing performance of IFMs. Because the motor in an IFM is not
separately rated from the fan, this method compares the performance of
the entire fan-motor assembly for the standard and non-standard IFMs,
rather than just the fan motors. This approach enables comparison of
the relative performance of standard and non-standard IFMs, for which
motor efficiencies could otherwise not be compared using the method
specified in Section D3.1 of AHRI 1360-202X Draft. Specifically, this
method determines the ratio of the input power of the non-standard IFM
to the input power of the standard IFM at the same duty point, as
defined in Section D3.2 of AHRI 1360-202X Draft (i.e., operating at the
maximum external static pressure for the standard IFM at the rated
airflow). If the input power ratio does not exceed the maximum ratio
specified in Table D3 of AHRI 1360-202X Draft, the individual model
with the non-standard IFM may be certified within the same basic model
as the individual model with the standard IFM. Section D3.2 of AHRI
1360-202X Draft allows these calculations to be conducted using either
test data or simulated performance data.
The approaches in Section D3 of AHRI 1360-202X Draft for non-
standard indoor fan motors and IFMs generally align with the approaches
of the Commercial HVAC Enforcement Policy and the Draft Commercial HVAC
Guidance Document, while providing greater detail and accommodating a
wider range of fan motor options. DOE also has tentatively determined
that Section D3 of Appendix D of AHRI 1360-202X Draft would more fully
provide the guidance intended by the Commercial HVAC Enforcement Policy
with regard to non-standard indoor fan motors.
DOE proposes to adopt the provisions in Section D3 of AHRI 1360-
202X Draft for comparing performance of standard and non-standard
indoor fan motors and IFMs in the proposed appendix E1.\29\
Additionally, DOE proposes to adopt the provisions in Section D3 of
Appendix D of AHRI 1360-202X Draft for the determination of the
represented efficiency value of CRACs at 10 CFR 429.43(a)(3)(v)(C) and
for DOE assessment and enforcement testing of CRACs at 10 CFR
429.134(s)(1). Were DOE to adopt the references to section D3 of
Appendix D of AHRI 1360-202X Draft, as proposed, DOE would rescind the
Commercial HVAC Enforcement Policy to the extent it is applicable to
CRACs.
---------------------------------------------------------------------------

\29\ Per DOE's existing certification regulations, if a
manufacturer were to use the proposed approach to certify a basic
model, the manufacturer would be required to maintain documentation
of how the relative efficiencies of the standard and non-standard
fan motors or the input powers of the standard and non-standard IFMs
were determined, as well as the supporting calculations. See 10 CFR
429.71.
---------------------------------------------------------------------------

Issue 5: DOE requests comment on its proposal to adopt the methods
for comparing relative efficiency of standard and non-standard indoor
fan motors and integrated fan and motor combinations specified in
Section D3 of AHRI 1360-202X Draft in the proposed test procedure in 10
CFR part 431, subpart F, appendix E1, as well as in provisions for
determination of represented values in 10 CFR 429.43(a) and provisions
for DOE assessment and enforcement testing in 10 CFR 429.134.

H. General Comments

In response to the July 2017 ASHRAE TP RFI, DOE received several
general comments not specific to any one equipment category or test
procedure. This section addresses those comments.
NCI recommended that DOE follow the development of ASHRAE Standard
221P, ``Test Method to Measure and Score the Operating Performance of
an Installed Constant Volume Unitary HVAC System,'' and consider where
it may be appropriately applied within EPCA test procedures. (NCI, No.
4 at pp. 1-2) NCI stated that it has collected data indicating that
typical split systems and packaged units serving residential and small
commercial buildings typically deliver 50 percent to 60 percent of the
rated capacity to the occupied zone, thereby making laboratory tests
unrepresentative of field performance. Id.
As noted in section I.A of this NOPR, EPCA prescribes that if an
industry testing procedure or rating procedure developed or recognized
by industry (as referenced in ASHRAE Standard 90.1) is amended, DOE
must update 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)(A) and (B)) DOE notes that ASHRAE
Standard 90.1 does not reference ANSI/ASHRAE Standard 221-2020, ``Test
Method to Field-Measure and Score the Cooling and Heating Performance
of an Installed Unitary HVAC System'' \30\ as the applicable test
procedure for CRACs. NCI also did not provide data on field performance
or any correlations between CRAC field performance and laboratory test
performance for DOE to consider. Furthermore, ASHRAE 221-2020 does not
provide a method to determine the efficiency of CRACs. As discussed,
DOE is proposing to adopt the substance of AHRI 1360-202X Draft, either
through incorporation by reference of the final version of the update
to AHRI 1360 as published, or by specifying the substance of the
relevant test procedure provisions in the CFR.
---------------------------------------------------------------------------

\30\ Found online at <a href="http://www.webstore.ansi.org/Standards/ASHRAE/ANSIASHRAEStandard2212020">www.webstore.ansi.org/Standards/ASHRAE/ANSIASHRAEStandard2212020</a>. ASHRAE Standard 221P was the name of the
proposed standard prior to publication. However, after publication,
the name of that standard became ASHRAE Standard 221-2020.
---------------------------------------------------------------------------

The CA IOUs commented that while the July 2017 ASHRAE TP RFI
expressed interest in reducing burden to manufacturers, DOE already
took steps to reduce burden by allowing alternative energy efficiency
or energy use determination methods (AEDMs). (CA IOUs, No. 7 at pp. 1-
2) The CA IOUs expressed their view that there are no further
opportunities to streamline test procedures to limit testing burden.
Id. Additionally, the CA IOUs emphasized the importance of accurate
efficiency ratings for its incentive programs and customer knowledge,
pointing to the statutory provision that test procedures must produce
results that are representative of the product's energy efficiency.
(Id.)
Lennox stated that it generally supports DOE meeting the statutory
requirements to design test procedures to measure energy efficiency
during an average use cycle, but in doing so, the commenter requested
that DOE also consider overall impacts on consumers and manufacturers.
(Lennox, No. 8 at pp. 1-2). The commenter stated that in commercial
applications, predicting actual energy use from a single metric is
difficult and that a metric better serves as a point of comparison.
(Id.) Lennox suggested that DOE should strike a balance between
evaluating equipment in a meaningful way without introducing
unwarranted regulatory burden from overly complex test procedures or
calculations that provide little value to consumers. (Id.)
In response to the CA IOUs and Lennox, DOE notes that its approach
to test procedures is largely dictated by the requirements of EPCA. As
discussed, EPCA prescribes that the test procedures for commercial
package air conditioning and heating equipment must be those

[[Page 6967]]

generally accepted industry testing procedures or rating procedures
developed or recognized by industry as referenced in ASHRAE Standard
90.1. (42 U.S.C. 6314(a)(4)(A)) If such relevant industry test
procedure is amended, DOE must update its test procedure to be
consistent with the amended industry consensus test procedure, unless
DOE determines, by rule published in the Federal Register and supported
by clear and convincing evidence, that the 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
establishing or amending its test procedures, DOE must develop test
procedures that are reasonably designed to produce test results which
reflect energy efficiency, energy use, and estimated operating costs of
a type of industrial equipment during a representative average use
cycle and that are not unduly burdensome to conduct. (42 U.S.C.
6314(a)(2)). DOE's considerations of these requirements in relation to
individual test method issues are discussed within the relevant
sections of this NOPR.
The Joint Advocates stated that there are ambiguities in industry
test procedures, and these commenters recommended that DOE should
address these ambiguities in order to provide a level playing field for
manufacturers and to ensure that any verification or enforcement
testing is consistent with manufacturers' own testing. (Joint
Advocates, No. 9 at p. 2)
In response, DOE notes that the Joint Advocates did not identify
any specific test provisions that were the cause of their concern. In
the context of the test procedure for CRACs, DOE has carefully and
thoroughly evaluated the industry test standard in the context of the
statutory criteria regarding representativeness of the measured energy
efficiency and test burden. To the extent there are provisions in the
relevant industry test procedure that may benefit from further detail,
such provisions are discussed in the previous sections of this
document. DOE welcomes further stakeholder input on this topic, as
necessary.

I. Represented Values

1. Multiple Refrigerants
DOE recognizes that some commercial package air conditioning and
heating equipment may be sold with more than one refrigerant option
(e.g., R-410A or R-407C). Typically, manufacturers specify a single
refrigerant in their literature for each unique model, but in its
review, DOE has identified at least one CRAC manufacturer that provides
two refrigerant options under the same model number. The refrigerant
chosen by the customer in the field installation may impact the energy
efficiency of a unit. For this reason, DOE is proposing representation
requirements applicable to models approved for use with multiple
refrigerants. So that the proposals in this NOPR would only require
manufacturers to update representations once, DOE proposes to align the
compliance date for these representation requirements with the proposed
metric change (i.e., these proposals would only be required when
certifying to amended standards in terms of NSenCOP).
Use of a refrigerant (such as R-407C as compared to R-410A) that
requires different hardware (i.e., compressors, heat exchangers, or air
moving systems that are not the same or comparably performing) would
represent a different basic model, and according to current DOE
regulations, separate representations of energy efficiency are required
for each basic model. 10 CFR 429.43(a) In contrast, some refrigerants
(such as R-422D, R-427A) do not require different hardware, and a
manufacturer may consider them to be the same basic model, per DOE's
current definition for ``basic model'' at 10 CFR 431.92. In the latter
case of a CRAC with multiple refrigerant options that do not require
different hardware, DOE proposes that a manufacturer must determine the
represented values in the proposed new section 10 CFR
429.43(a)(3)(v)(A) (e.g., NSenCOP and net sensible cooling capacity)
for that basic model based on the refrigerant(s)--among all
refrigerants listed on the unit's nameplate--that result in the lowest
cooling efficiency. These represented values would apply to the basic
model for all refrigerants specified by the manufacturer as appropriate
for use, regardless of which refrigerant is actually used in the field.
Issue 6: DOE requests comment on its proposal regarding
representations for CRAC basic models approved for use with multiple
refrigerants.
2. Net Sensible Cooling Capacity
For CRACs, NSCC determines equipment class, which in turn
determines the applicable energy conservation standard. 10 CFR 431.97.
While NSCC is a required represented value for CRACs, DOE does not
currently specify any provisions for CRACs regarding how close the
represented value of NSCC must be to the tested or AEDM-simulated NSCC,
or whether DOE will use measured or certified NSCC to determine
equipment class for enforcement testing. In contrast, at paragraphs
(a)(1)(iv) and (a)(2)(ii) of 10 CFR 429.43 and paragraph (g) of 10 CFR
429.134, DOE specifies such provisions regarding the cooling capacity
for air-cooled CUACs (ACUACs). Because energy conservation standards
for CRACs are dependent on NSCC, inconsistent approaches to the
application of NSCC between basic models could result in inconsistent
determinations of equipment class and, in turn, inconsistent
applications of the energy conservation standards.
Consequently, DOE is proposing to add the following provisions
regarding NSCC for CRACs: (1) A requirement that the represented NSCC
be between 95 percent and 100 percent of the tested or AEDM-simulated
NSCC; and (2) an enforcement provision stating that DOE would use the
mean of measured NSCC values from testing, rather than the certified
NSCC, to determine the applicable standards.
First, DOE proposes to require in 10 CFR 429.43(a)(3)(v)(B) that
the represented value of NSCC must be between 95 percent and 100
percent of the mean of the NSCC values measured for the units in the
sample (if determined through testing), or between 95 percent and 100
percent of the NSCC output simulated by an AEDM. This tolerance would
help to ensure that equipment is capable of performing at the cooling
capacity for which it is represented to commercial consumers, while
also enabling manufacturers to conservatively rate the cooling capacity
to allow for minor variations in the capacity measurements from
different units tested at different laboratories.
Second, DOE is proposing in its product-specific enforcement
provisions at 10 CFR 429.134(s)(1) that the NSCC of each tested unit of
the basic model will be measured pursuant to the test requirements of
10 CFR part 431, subpart F, appendix E1 and that the mean of the
measurement(s) will be used to determine the applicable standard for
compliance purposes.
As discussed, determination of the applicable energy conservation
standard for CRACs is dependent on the rated NSCC. Specifically, the
standards for CRACs generally decrease in stringency with increasing
NSCC (i.e., equipment classes with higher NSCC ranges have lower
standards than equipment classes with lower NSCC ranges). Consequently,
over-rating a system could result in decreased stringency by
incorrectly applying a more lenient standard prescribed for a higher
NSCC equipment class. DOE has tentatively concluded that these
proposals would result in

[[Page 6968]]

more accurate ratings of NSCC, thereby ensuring application of the
appropriate energy conservation standards, while providing
manufacturers the flexibility to conservatively rate NSCC so as to
provide reasonable certainty that the subject equipment is capable of
delivering the NSCC represented to commercial consumers.
Issue 7: DOE requests comment on its proposals related to
represented values and verification testing of NSCC for CRACs.
3. Validation Class for Glycol-Cooled CRACs
DOE's existing testing regulations allow the use of an AEDM, in
lieu of actual testing, to simulate the efficiency of CRACs. 10 CFR
429.43(a). In the AEDM requirements for CRACs in 10 CFR 429.70, the
table itemizing validation classes for commercial HVAC equipment
inadvertently omits glycol-cooled CRACs. For this reason and because
DOE understands glycol-cooled CRACs to be similar in design to water-
cooled CRACs, DOE is proposing to include glycol-cooled CRACs in the
existing validation class for water-cooled CRACs at 10 CFR
429.70(c)(2)(iv). Specifically, DOE proposes at 10 CFR 429.70(c)(2)(iv)
that the minimum number of distinct water-cooled and/or glycol-cooled
models that must be tested per AEDM would be two basic models, which
aligns with the ``two basic model'' requirement that currently applies
to the water-cooled CRACs validation class.

J. Test Procedure Costs and Impact

In this NOPR, DOE proposes to amend the existing test procedure for
CRACs, by adopting the substance of the latest draft version of the
applicable industry test method, AHRI 1360-202X Draft, including the
energy efficiency metric, NSenCOP. To the extent that AHRI 1360 is
finalized consistent with the draft, DOE proposes to incorporate the
industry test standard by reference. If there are substantive changes
between the draft and published versions of AHRI 1360, DOE may adopt
the substance of AHRI 1360-202X Draft or provide additional opportunity
for comment. DOE also proposes to amend its representation and
enforcement provisions for CRACs.
DOE has tentatively determined that the proposed amendments in this
NOPR would improve the representativeness, accuracy, and
reproducibility of the test results and would not be unduly burdensome
for manufacturers to conduct or result in increased testing cost as
compared to the current test procedure. Because the current DOE test
procedure for CRACs would be relocated to appendix E without change,
the proposed test procedure in appendix E for measuring SCOP would
result in no change in testing practices.
Should DOE adopt standards in a future energy conservation
standards rulemaking in terms of the new metric (NSenCOP), the proposed
test procedure in appendix E1 for measuring NSenCOP (which DOE proposes
to be substantively the same as AHRI 1360-202X Draft) would be
required. DOE has tentatively concluded that this proposed test
procedure would not increase third-party lab testing costs per unit
relative to the current DOE test procedure, which DOE estimates to be
$10,200 for CRACs \31\ for physical testing. However, DOE has
tentatively concluded that the potential adoption of standards
denominated in terms of NSenCOP (and corresponding requirement to use
the proposed test procedure in appendix E1) would alter the measured
energy efficiency for CRACs. Consequently, manufacturers may not be
able to rely on data generated under the current test procedure and
would, therefore, be required to re-rate CRAC models. Once again, in
accordance with 10 CFR 429.70, CRAC manufacturers may elect to use
AEDMs to rate models, which significantly reduces costs to industry.
DOE estimates the per-manufacturer cost to develop and validate an AEDM
for CRACs to be $46,000. DOE estimates a cost of approximately $50 per
basic model \32\ for determining energy efficiency using the validated
AEDM.
---------------------------------------------------------------------------

\31\ Manufacturers are not required to perform laboratory
testing on all basic models. In accordance with 10 CFR 429.70, CRAC
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.
\32\ DOE estimated initial costs to validate an AEDM assuming 80
hours of general time to develop an AEDM based on existing
simulation tools and 16 hours to validate two basic models within
that AEDM at the cost of an engineering technician wage of $50 per
hour plus the cost of third-party physical testing of two units per
validation class (as required in 10 CFR 429.70(c)(2)(iv)). DOE
estimated the additional per basic model cost to determine
efficiency using an AEDM, assuming 1 hour per basic model at the
cost of an engineering technician wage of $50 per hour.
---------------------------------------------------------------------------

Given that most CRAC manufacturers are AHRI members and that DOE is
proposing to adopt the procedure in the prevailing industry test
procedure that was established for use in AHRI's certification program,
which has already been updated to include NSenCOP, DOE expects that
most manufacturers would already be testing using the published version
of the AHRI 1360-202X Draft in the timeframe of any potential future
energy conservation standard. Based on this, DOE has tentatively
determined that the proposed test procedure amendments would not be
expected to increase the testing burden on CRAC manufacturers that are
AHRI members. For the minority of CRAC manufacturers that are not
members of AHRI, the proposed test procedure amendments may have costs
associated with model re-rating, to the extent that the manufacturers
would not already be testing to the updated industry test procedure.
Issue 8: DOE requests comment on its understanding of the impact of
the test procedure proposals in this NOPR, specifically DOE's initial
conclusion that the proposed DOE test procedure amendments, if
finalized, would not increase testing burden on most CRAC manufacturers
(i.e., CRAC manufacturers who are AHRI members), compared to current
industry practice as indicated by AHRI 1360-202X Draft, and that those
proposed amendments would not have a significant impact on the
remaining CRAC manufacturers (i.e., CRAC manufacturers who are not AHRI
members).

K. Reserved Appendices for Test Procedures for Commercial Air
Conditioning and Heating Equipment

In this document, DOE proposes to establish new test procedures for
CRACs in the proposed appendix E and new appendix E1 to subpart F of
part 431. This proposed organization of the test procedures would be
consistent with the organization of the test procedures for other
covered equipment and covered products. DOE has tentatively concluded
that providing the test procedures for specific equipment in designated
appendices would improve the readability of the test procedures.
Accordingly, to provide for future consideration of a similar
organization for other commercial package air conditioning and heating
equipment test procedures, DOE is proposing to reserve appendices B
through D. The reserved appendices are intended to facilitate any
potential future reorganization of the regulations and are not an
indication of substantive changes to test procedures for other
commercial package air conditioning and heating equipment.

L. Compliance Date

EPCA prescribes that, if DOE amends a test procedure, all
representations of energy efficiency and energy use, including those
made in the context of certification and on marketing materials

[[Page 6969]]

and product labels, must be made in accordance with that 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))
CRACs would not be required to be tested according to the test
procedure in the proposed appendix E1 until such time as compliance is
required with an amended energy conservation standard that relies on
the NSenCOP metric, should DOE adopt such a standard.

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 rulemaking does not constitute a ``significant
regulatory action'' under section 3(f) of Executive Order 12866,
``Regulatory Planning and Review,'' 58 FR 51735 (Oct. 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://energy.gov/gc/office-general-counsel">energy.gov/gc/office-general-counsel</a>. DOE reviewed
this proposed rule under the provisions of the Regulatory Flexibility
Act and the policies and procedures 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
CRACs to reflect updates to the relevant industry test standard,
pursuant to the relevant statutory provisions of EPCA.
2. Objective of, and Legal Basis for, Rule
EPCA, as amended, requires that the test procedures for commercial
package air conditioning and heating equipment, which includes CRACs,
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. (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) 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 must
evaluate test procedures for each type of covered equipment, including
CRACs, 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))
DOE is publishing this NOPR proposing amendments to the test
procedure for CRACs in satisfaction of the aforementioned obligations
under EPCA.
3. Description and Estimate of Small Entities Regulated
DOE uses the Small Business Administration (SBA) small business
size standards to determine whether manufacturers qualify as small
businesses, which are listed by the North American Industry
Classification System (NAICS).\33\ The SBA considers a business entity
to be a small business, if, together with its affiliates, it employs
less than a threshold number of workers specified in 13 CFR part 121.
---------------------------------------------------------------------------

\33\ 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 August 30, 2021).
---------------------------------------------------------------------------

CRAC manufacturers are classified under NAICS code 333415, ``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. DOE utilized the
California Energy Commission's Modernized Appliance Efficiency Database
System (``MAEDbS'') \34\ and DOE's Compliance Certification Database
(``CCD'') \35\ in identifying potential small businesses that
manufacture CRACs covered by this rulemaking. DOE used subscription-
based business information tools (e.g., reports from Dun & Bradstreet
\36\) to determine headcount and revenue of those small businesses. DOE
identified nine companies that are original equipment manufacturers
(OEMs) of CRACs covered by this rulemaking. DOE screened out companies
that do not meet the definition of a ``small business'' or are foreign-
owned and operated. DOE identified three small, domestic OEMs for
consideration. One small, domestic OEM is not an AHRI member, while the
other two small, domestic OEMs are AHRI members.
---------------------------------------------------------------------------

\34\ MAEDbS can be accessed at
<a href="http://www.cacertappliances.energy.ca.gov/Pages/Search/AdvancedSearch.aspx">www.cacertappliances.energy.ca.gov/Pages/Search/AdvancedSearch.aspx</a>
(Last accessed August 30, 2021).
\35\ Certified equipment in the CCD are listed by product class
and can be accessed at <a href="http://www.regulations.doe.gov/certification-data/#q=Product_Group_s%3A*">www.regulations.doe.gov/certification-data/#q=Product_Group_s%3A*</a> (Last accessed August 30, 2021).
\36\ Market research available at: <a href="http://app.dnbhoovers.com">app.dnbhoovers.com</a> (Last
accessed August 30, 2021).
---------------------------------------------------------------------------

4. Description and Estimate of Compliance Requirements
In this NOPR, DOE is proposing to relocate the current DOE test
procedure to a new appendix E of subpart F of part 431 (``appendix E'')
without change. DOE is also proposing an amended test procedure at
appendix E1 to subpart F of part 431 (``appendix E1''). Specifically,
DOE is proposing in appendix E1 to adopt the updated draft industry
test standard AHRI 1360-202X Draft for CRACs. Additionally, this NOPR
seeks to amend certain representation and enforcement provisions for
CRACs in 10 CFR part 429.
Appendix E 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 test procedure in appendix E1 includes amendments for
measuring CRAC energy efficiency using the NSenCOP metric so as to be
consistent with the updated draft industry test procedure. Should DOE
adopt amended energy conservation standards in the future denominated
in terms of NSenCOP, the Department

[[Page 6970]]

expects there would not be an increase in third-party lab testing costs
per unit relative to the current Federal test procedure. DOE estimates
such testing costs to be $10,200 per unit for physical testing. DOE has
tentatively concluded that the proposed test procedure may require re-
rating of CRAC models; however, this would not be mandatory until such
time as DOE amends the energy conservation standards for CRACs based on
NSenCOP, should DOE adopt such amendments.
If CRAC manufacturers conduct physical testing to certify a basic
model, two units are required to be tested per basic model. However,
manufacturers are not required to perform laboratory testing on all
basic models, as CRAC manufacturers may elect to use AEDMs.\37\ 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.
---------------------------------------------------------------------------

\37\ In accordance with 10 CFR 429.70.
---------------------------------------------------------------------------

Small businesses would be expected to have different potential
regulatory costs depending on whether they are a member of AHRI. DOE
understands that all AHRI members and all manufacturers currently
certifying to the AHRI Directory will be testing their CRAC models in
accordance with the final version of AHRI 1360-202X Draft, the industry
test procedure DOE is proposing to incorporate by reference (if
finalized and consistent with AHRI 1360-202X Draft), and using AHRI's
certification program, which has already been updated to include the
NSenCOP metric.
The proposed test procedure amendments would not add any additional
testing burden to manufacturers which are members of AHRI, as those
members currently are or soon will be using the finalized version of
the AHRI 1360-202X draft test procedure. If DOE were to adopt energy
conservation standards denominated in terms of the NSenCOP metric, the
proposed test procedure amendments may, however, result in re-rating
costs for manufacturers which are not AHRI members (currently one
identified OEM).
DOE estimated the range of additional potential testing costs for
the single small CRAC manufacturer which is not an AHRI member. This
small business would only incur additional testing costs if they would
not already be using the finalized version of the AHRI 1360-202X Draft
to test their CRAC models. DOE estimates that this small business
manufactures 113 basic models.
When developing cost estimates for this single, non-AHRI-member
small business, DOE considered the cost to develop an AEDM, the costs
to validate the AEDM through physical testing, and the cost per model
to determine ratings using the AEDM. The Department anticipates that
this small OEM would avail itself of the cost-saving option which the
AEDM provides. DOE estimated the cost to develop and validate an AEDM
for CRACs to be approximately $46,000, which includes physical testing
of two models per validation class. Additionally, DOE estimated a cost
of approximately $50 per basic model for determining energy efficiency
using the validated AEDM. The estimated cost to rate the 113 basic
models with the AEDM would be $5,650. Therefore, should DOE adopt
amended energy conservation standards in the future denominated in
terms of NSenCOP as the efficiency metric, this small business could
incur total testing and rating costs of $51,650.
DOE understands the annual revenue of this small business to be
approximately $17 million. Therefore, testing and AEDM costs could
cause this small business manufacturer to incur costs of up to 0.30
percent of its annual revenue.
Issue 9: DOE requests comment on the number of small businesses DOE
identified. DOE also seeks comment on the potential costs for the small
business that is not an AHRI member and manufactures CRACs
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 rule being considered in this document.
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 CRAC
models. Without AEDMs, the average cost to rate all basic models for
the small CRAC manufacturer (non-AHRI member) would be $1,152,600.
Additionally, DOE considered alternative test methods and
modifications to the AHRI 1360-202X Draft test procedure for CRACs.
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 CRACs through adoption of the substance of AHRI
1360-202X Draft. DOE intends to update the reference to the final
published version of AHRI 1360-202X Draft in the final rule, unless
there are substantive changes between the draft and published versions,
in which case DOE may adopt the substance of the AHRI 1360-202X Draft
or provide additional opportunity for comment on the changes to the
industry consensus test procedure.
Manufacturers subject to DOE's energy efficiency standards may
apply to DOE's Office of Hearings and Appeals for exception relief
under certain circumstances. Manufacturers should refer to 10 CFR part
1003 for additional details.

C. Review Under the Paperwork Reduction Act of 1995

Manufacturers of CRACs 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 commercial
package air condition and heating equipment. (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.

[[Page 6971]]

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 for 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 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 (Feb. 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://energy.gov/gc/office-general-counsel">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 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 (Feb. 22, 2002), and
DOE's guidelines were published at 67 FR 62446 (Oct. 7, 2002). 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

[[Page 6972]]

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 procedure for
measuring the energy efficiency of CRACs 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.

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 amendments to the Federal test procedure for CRACs are
primarily in response to modifications to the applicable industry
consensus test standards (i.e., AHRI 1360-202X Draft, ANSI/ASHRAE 37-
2009, and ANSI/ASHRAE 127-2020). 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 they were 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 standards:

(1) The draft test standard provided by AHRI, titled
``Performance Rating of Computer and Data Processing Room Air
Conditioners (``Draft Standard'') AHRI Standard 1360-202X Draft.
AHRI Standard 1360-202X Draft is a draft industry test procedure for
measuring the performance of CRACs. AHRI Standard 1360-202X Draft is
in draft form and its text was provided to the Department for the
purposes of review only during the drafting of this NOPR. AHRI 1360-
202X Draft has been attached in this docket for review. DOE intends
to update the reference to the final published version of AHRI 1360-
202X Draft in the Final Rule, unless there are substantive changes
between the draft and published versions, in which case DOE may
adopt the substance of the AHRI 1360-202X Draft or provide
additional opportunity for comment on the changes to the industry
consensus test procedure.
(2) The test standard published by ASHRAE, titled ``Method of
Testing for Rating Computer and Data Processing Room Unitary Air
Conditioners,'' ANSI/ASHRAE Standard 127-2020. ANSI/ASHRAE Standard
127-2020 is an industry-accepted test procedure for measuring the
performance of CRACs. ANSI/ASHRAE Standard 127-2020 is available on
ANSI's website at <a href="http://webstore.ansi.org/standards/ashrae/ansiashrae1272020">webstore.ansi.org/standards/ashrae/ansiashrae1272020</a>.
(3) 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="http://webstore.ansi.org/RecordDetail.aspx?sku=ANSI%2FASHRAE+Standard+37-2009">webstore.ansi.org/RecordDetail.aspx?sku=ANSI%2FASHRAE+Standard+37-2009</a>.
(4) The test standard published by ASHRAE, titled ``Method of
Testing for Rating Computer and Data Processing Room Unitary Air
Conditioners,'' ANSI/ASHRAE Standard 127-2007. ANSI/ASHRAE Standard
127-2007 is an industry-accepted test procedure for measuring the
performance of CRACs. ANSI/ASHRAE Standard 127-2007 is available on
ANSI's website at <a href="https://webstore.ansi.org/standards/ashrae/ansiashrae1272007">https://webstore.ansi.org/standards/ashrae/ansiashrae1272007</a>.

The following standards were previously approved for incorporation
by reference in the section where they appear and no change is
proposed: AHRI 210/240-2008, AHRI 340/360-2007, ISO Standard 13256-1,
AHRI 1230-2010, AHRI 390-2003.

V. Public Participation

A. Participation in the Webinar

The time and date of the webinar are listed in the DATES section at
the beginning of this document. Webinar registration information,
participant instructions, and information about the capabilities
available to webinar participants will be published on DOE's website:
<a href="http://www.energy.gov/eere/buildings/public-meetings-and-comment-deadlines">www.energy.gov/eere/buildings/public-meetings-and-comment-deadlines</a>.
Participants are responsible for ensuring their systems are compatible
with the webinar software.

B. Procedures for Submitting Prepared General Statements for
Distribution

Any person who has an interest in the topics addressed in this
proposed rulemaking, 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/public meeting.
Such persons may submit requests to speak via email to the Appliance
and Equipment Standards Program at:
<a href="/cdn-cgi/l/email-protection#ecad9c9c80858d828f89bf988d82888d9e889fbd99899f988583829fac8989c2888389c28b839a">[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.
DOE requests persons selected to make an oral presentation to
submit an advance copy of their statements at least two weeks before
the webinar/public meeting. 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 to prepare
a transcript. DOE reserves the

[[Page 6973]]

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 present a summary of the proposals, 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 allow, 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 and comment on
statements made by others. Participants should be prepared to answer
questions by DOE and by other participants concerning these issues. DOE
representatives may also ask questions of participants concerning other
matters relevant to this rulemaking. The official conducting the
webinar 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.
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 document.
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.
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

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