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Proposed Rule2022-11469

Energy Conservation Program: Test Procedure for Portable Air Conditioners

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Published

June 8, 2022

Issuing agencies

Energy Department

Abstract

The U.S. Department of Energy ("DOE") proposes to amend the test procedure for portable air conditioners ("portable ACs") to incorporate a measure of variable-speed portable AC performance and make minor clarifying edits. DOE also proposes a new test procedure to improve representativeness for all configurations of portable ACs, which relies on a substantively different measure of cooling capacity and energy consumption compared to the current portable AC test procedure. DOE is seeking comment from interested parties on the proposal.

Full Text

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<title>Federal Register, Volume 87 Issue 110 (Wednesday, June 8, 2022)</title>
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[Federal Register Volume 87, Number 110 (Wednesday, June 8, 2022)]
[Proposed Rules]
[Pages 34934-34977]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2022-11469]

[[Page 34933]]

Vol. 87

Wednesday,

No. 110

June 8, 2022

Part II

Department of Energy

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10 CFR Parts 429 and 430

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

Federal Register / Vol. 87 , No. 110 / Wednesday, June 8, 2022 /
Proposed Rules

[[Page 34934]]

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DEPARTMENT OF ENERGY

10 CFR Parts 429 and 430

[EERE-2020-BT-TP-0029]
RIN 1904-AF03

Energy Conservation Program: Test Procedure for Portable 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'') proposes to amend the
test procedure for portable air conditioners (``portable ACs'') to
incorporate a measure of variable-speed portable AC performance and
make minor clarifying edits. DOE also proposes a new test procedure to
improve representativeness for all configurations of portable ACs,
which relies on a substantively different measure of cooling capacity
and energy consumption compared to the current portable AC test
procedure. DOE is seeking comment from interested parties on the
proposal.

DATES:
Comments: DOE will accept comments, data, and information regarding
this proposal no later than August 8, 2022. See section V, ``Public
Participation,'' for details.
Meeting: DOE will hold a webinar on Wednesday, July 13, 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-2020-BT-TP-0029,
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#7f2f100d0b1e1d131a3e3c4d4f4d4f2b2f4f4f4d463f1a1a511b101a51181009">[email&#160;protected]</a>. Include the docket
number EERE-2020-BT-TP-0029 in the subject line of the message.
3. Postal Mail: Appliance and Equipment Standards Program, U.S.
Department of Energy, Building Technologies Office, Mailstop EE-5B,
1000 Independence Avenue SW, Washington, DC 20585-0121. Telephone:
(202) 287-1445. If possible, please submit all items on a compact disc
(``CD''), in which case it is not necessary to include printed copies.
4. Hand Delivery/Courier: Appliance and Equipment Standards
Program, U.S. Department of Energy, Building Technologies Office, 950
L'Enfant Plaza SW, 6th Floor, Washington, DC, 20024. Telephone: (202)
287-1445. If possible, please submit all items on a CD, in which case
it is not necessary to include printed copies.
No telefacsimiles (``faxes'') will be accepted. For detailed
instructions on submitting comments and additional information on this
process, see section V of this document.
Docket: The docket, which includes Federal Register notices, public
meeting attendee lists and transcripts (if a public meeting is held),
comments, and other supporting documents/materials, is available for
review at <a href="http://www.regulations.gov">www.regulations.gov</a>. All documents in the docket are listed
in the <a href="http://www.regulations.gov">www.regulations.gov</a> index. However, some documents listed in the
index, such as those containing information that is exempt from public
disclosure, may not be publicly available.
The docket web page can be found at <a href="http://www.regulations.gov/docket/EERE-2020-BT-TP-0029">www.regulations.gov/docket/EERE-2020-BT-TP-0029</a>. The docket web page contains instructions on how
to access all documents, including public comments, in the docket. See
section V for information on how to submit comments through
<a href="http://www.regulations.gov">www.regulations.gov</a>.

FOR FURTHER INFORMATION CONTACT:
Mr. Lucas Adin, 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) 287-5904. Email <a href="/cdn-cgi/l/email-protection#430233332f2a222d20261037222d272231273012362630372a2c2d300326266d272c266d242c35">[email&#160;protected]</a>.
Ms. Sarah Butler, U.S. Department of Energy, Office of the General
Counsel, GC-33, 1000 Independence Avenue SW, Washington, DC 20585-0121.
Telephone: (202) 586-1777. Email: <a href="/cdn-cgi/l/email-protection#3162504350591f7344455d54437159401f555e541f565e47">[email&#160;protected]</a>.
For further information on how to submit a comment, review other
public comments and the docket, or participate in a public meeting,
contact the Appliance and Equipment Standards Program staff at (202)
287-1445 or by email: <a href="/cdn-cgi/l/email-protection#adecddddc1c4ccc3cec8fed9ccc3c9ccdfc9defcd8c8ded9c4c2c3deedc8c883c9c2c883cac2db">[email&#160;protected]</a>.

SUPPLEMENTARY INFORMATION: DOE proposes to incorporate by reference the
following draft industry standard into part 430:
Association of Home Appliance Manufacturers (``AHAM'') PAC-1-2022
Draft, (``AHAM PAC-1-2022 Draft''), ``Portable Air Conditioners''. AHAM
PAC-1-2022 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 AHAM PAC-1-2022 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 AHAM PAC-1-2022 Draft or
provide additional opportunity for comment on the changes to the
industry consensus test procedure.
A copy of AHAM PAC-1-2022 Draft is attached in this docket for
review.
DOE proposes to maintain and update the previously approved
incorporations by reference for the following industry standards in
part 430:
ANSI/ASHRAE Standard 37-2009, (``ASHRAE 37-2009''), Methods of
Testing for Rating Electrically Driven Unitary Air-Conditioning and
Heat Pump Equipment, ANSI approved June 25, 2009.
IEC 62301 (``IEC 62301''), Household electrical appliances--
Measurement of standby power, (Edition 2.0, 2011-01).
DOE proposes to incorporate by reference the following industry
standards into part 430:
ANSI/ASHRAE 51-1999/ANSI/AMCA 210-99 (``ANSI/ASHRAE 51''),
Laboratory Methods of Testing Fans for Certified Aerodynamic
Performance Rating, ANSI approved December 2, 1999; ASHRAE approved
June 23, 1999.
ANSI/ASHRAE 41.1-1986 (Reaffirmed 2006), Standard Method for
Temperature Measurement, approved February 18, 1987.
ANSI/ASHRAE Standard 41.6-1994 (RA 2006), (``ASHRAE 41.6-1994''),
Standard Method for Measurement of Moist Air Properties, ANSI
reaffirmed on January 27, 2006.
Copies of ANSI/ASHRAE Standard 51-1999, ANSI/ASHRAE Standard 41.1-
1986, and ANSI/ASHRAE Standard 41.6-1994 can be obtained from the
American National Standards Institute at <a href="https://webstore.ansi.org/">https://webstore.ansi.org/</a>.
For a further discussion of these standards see section IV.M of
this document.

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

[[Page 34935]]

B. Test Procedure
1. Updates to Industry Standards
2. Harmonization With Other AC Product Test Procedures
3. Variable-Speed Technology
4. Representative Average Period of Use
5. Cooling Mode
6. Heating Mode
7. Air Circulation Mode
8. Dehumidification Mode
9. Network Connectivity
10. Infiltration Air, Duct Heat Transfer, and Case Heat Transfer
C. Representations of Energy Efficiency
D. Test Procedure Costs and Harmonization
1. Test Procedure Costs and Impact
2. Harmonization With Industry Standards
E. Compliance Date and Waivers
IV. Procedural Issues and Regulatory Review
A. Review Under Executive Order 12866 and 13563
B. Review Under the Regulatory Flexibility Act
C. Review Under the Paperwork Reduction Act of 1995
D. Review Under the National Environmental Policy Act of 1969
E. Review Under Executive Order 13132
F. Review Under Executive Order 12988
G. Review Under the Unfunded Mandates Reform Act of 1995
H. Review Under the Treasury and General Government
Appropriations Act, 1999
I. Review Under Executive Order 12630
J. Review Under Treasury and General Government Appropriations
Act, 2001
K. Review Under Executive Order 13211
L. Review Under Section 32 of the Federal Energy Administration
Act of 1974
M. Description of Materials Incorporated by Reference
V. Public Participation
A. Participation in the Webinar
B. Procedure for Submitting Prepared General Statements for
Distribution
C. Conduct of the Webinar
D. Submission of Comments
E. Issues on Which DOE Seeks Comment
VI. Approval of the Office of the Secretary

I. Authority and Background

DOE's test procedures for portable ACs are currently prescribed at
title 10 of the Code of Federal Regulations (``CFR''), part 430,
subpart B appendix CC (``appendix CC''). The DOE test procedure
measures portable AC efficiency in terms of a combined energy
efficiency ratio (``CEER''), which is the ratio of the amount of
cooling provided by the portable AC to the amount of power it consumes
to provide that cooling. The current portable AC test procedure
calculates this using a weighted average of performance at two
different test conditions. The following sections discuss DOE's
authority to establish test procedures for portable ACs and relevant
background information regarding DOE's consideration of test procedures
for this product.

A. Authority

The Energy Policy and Conservation Act, as amended (``EPCA''),\1\
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 B \2\ of EPCA established the Energy Conservation
Program for Consumer Products Other Than Automobiles, which sets forth
a variety of provisions designed to improve energy efficiency. In
addition to specifying a list of covered products, EPCA enables the
Secretary of Energy to classify additional types of consumer products
as covered products under EPCA. (42 U.S.C. 6292(a)(20)) In a final
determination of coverage published in the Federal Register on April
18, 2016, DOE classified portable ACs as covered products under EPCA.
81 FR 22514.
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\1\ 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), which reflect the last statutory amendments that impact
Parts A and A-1 of EPCA.
\2\ For editorial reasons, upon codification in the U.S. Code,
Part B was redesignated Part A.
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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 specifically include definitions (42 U.S.C. 6291),
test procedures (42 U.S.C. 6293), labeling provisions (42 U.S.C. 6294),
energy conservation standards (42 U.S.C. 6295), and the authority to
require information and reports from manufacturers (42 U.S.C. 6296).
The Federal testing requirements consist of test procedures that
manufacturers of covered products must use as the basis for: (1)
certifying to DOE that their products comply with the applicable energy
conservation standards adopted pursuant to EPCA (42 U.S.C. 6295(s)),
and (2) making representations about the efficiency of those consumer
products (42 U.S.C. 6293(c)). Similarly, DOE must use these test
procedures to determine whether the products comply with relevant
standards promulgated under EPCA. (42 U.S.C. 6295(s))
Federal energy efficiency requirements for covered products
established under EPCA generally supersede State laws and regulations
concerning energy conservation testing, labeling, and standards. (42
U.S.C. 6297) DOE may, however, grant waivers of Federal preemption for
particular State laws or regulations, in accordance with the procedures
and other provisions of EPCA. (42 U.S.C. 6297(d))
Under 42 U.S.C. 6293, EPCA sets forth the criteria and procedures
DOE must follow when prescribing or amending test procedures for
covered products. EPCA requires that any test procedures prescribed or
amended under this section be reasonably designed to produce test
results which measure energy efficiency, energy use or estimated annual
operating cost of a covered product during a representative average use
cycle or period of use and not be unduly burdensome to conduct. (42
U.S.C. 6293(b)(3))
In addition, EPCA requires that DOE amend its test procedures for
all covered products to integrate measures of standby mode and off mode
energy consumption. (42 U.S.C. 6295(gg)(2)(A)) Standby mode and off
mode energy consumption must be incorporated into the overall energy
efficiency, energy consumption, or other energy descriptor for each
covered product unless the current test procedures already account for
and incorporate standby and off mode energy consumption or such
integration is technically infeasible. If an integrated test procedure
is technically infeasible, DOE must prescribe a separate standby mode
and off mode energy use test procedure for the covered product, if
technically feasible. (42 U.S.C. 6295(gg)(2)(A)(ii)) Any such amendment
must consider the most current versions of the International
Electrotechnical Commission (``IEC'') Standard 62301 \3\ and IEC
Standard 62087 \4\ as applicable. (42 U.S.C. 6295(gg)(2)(A))
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\3\ IEC 62301, Household electrical appliances--Measurement of
standby power (Edition 2.0, 2011-01).
\4\ IEC 62087, Methods of measurement for the power consumption
of audio, video, and related equipment (Edition 3.0, 2011-04).
---------------------------------------------------------------------------

EPCA also requires that, at least once every 7 years, DOE evaluate
test procedures for each type of covered product, including portable
ACs, 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 or period of
use. (42 U.S.C. 6293(b)(1)(A))
If the Secretary determines, on her own behalf or in response to a
petition by any interested person, that a test procedure should be
prescribed or amended, the Secretary shall promptly publish in the
Federal Register proposed test procedures and afford interested persons
an opportunity to

[[Page 34936]]

present oral and written data, views, and arguments with respect to
such procedures. The comment period on a proposed rule to amend a test
procedure shall be at least 60 days and may not exceed 270 days. In
prescribing or amending a test procedure, the Secretary shall take into
account such information as the Secretary determines relevant to such
procedure, including technological developments relating to energy use
or energy efficiency of the type (or class) of covered products
involved. (42 U.S.C. 6293(b)(2)) If DOE determines that test procedure
revisions are not appropriate, DOE must publish its determination not
to amend the test procedures. DOE is publishing this notice of proposed
rulemaking (``NOPR'') in satisfaction of the 7-year review requirement
specified in EPCA. (42 U.S.C. 6293(b)(1)(A))

B. Background

As stated, DOE's existing test procedures for portable ACs appear
at appendix CC. DOE established the test procedure for portable ACs on
June 1, 2016 (``June 2016 Final Rule''), to ensure it is representative
of typical use and to improve accuracy and repeatability without undue
test burden. 81 FR 35241. The June 2016 Final Rule established
provisions for measuring the energy consumption of single-duct and
dual-duct portable ACs in active, standby, and off modes. The June 2016
Final Rule also established provisions for certification, compliance,
and enforcement for portable ACs in 10 CFR part 429.
On June 2, 2020, DOE published a Decision and Order granting a
waiver to LG Electronics USA, Inc. (``LG'') for basic models of single-
duct variable-speed portable ACs to account for variable-speed portable
AC performance under multiple outdoor temperature operating conditions,
thus yielding more representative results. 85 FR 33643 (Case No. 2018-
004, ``LG Waiver'').
On November 5, 2020, DOE published in the Federal Register an early
assessment review request for information (``RFI'') (``November 2020
RFI'') in which it sought data and information pertinent to whether
amended test procedures would (1) more accurately or fully comply with
the requirement that the test procedure produces results that measure
energy use during a representative average use cycle or period of use
for the product without being unduly burdensome to conduct, or (2)
reduce testing burden. 85 FR 70508.
On April 6, 2021, DOE published a notice of interim waiver for GD
Midea Air Conditioning Equipment Co. LTD. (``Midea''), which issued a
similar alternate test procedure to that from the LG Waiver with
additional specifications to accommodate the combined-duct
configurations of the specified Midea basic models. 86 FR 17803 (Case
No. 2020-006, ``Midea Interim Waiver'').
On April 16, 2021, DOE published in the Federal Register an RFI
(``April 2021 RFI'') seeking data and information regarding issues
pertinent to whether amended test procedures would more accurately or
fully comply with the requirement that the test procedure produces
results that measure energy use during a representative average use
cycle or period of use for the product without being unduly burdensome
to conduct, or reduce testing burden. In the April 2021 RFI, DOE
requested comments, information, and data about a number of issues,
including (1) updates to industry test standards, (2) test
harmonization, (3) energy use measurements, (4) representative average
period of use, (5) test burden, 6) heat transfer measurements and
calculations, (7) heating mode, fan-only mode, and dehumidification
mode, (8) network connectivity, (9) part-load performance and load-
based testing, (10) spot coolers, and (11) test procedure waivers. 86
FR 20044.
DOE received comments in response to the April 2021 RFI from the
interested parties listed in Table I.1.

Table I.1--Written Comments Received in Response to April 2021 RFI
------------------------------------------------------------------------
Reference in this
Commenter(s) NOPR Commenter type
------------------------------------------------------------------------
Association of Home Appliance AHAM.............. Trade Association.
Manufacturers.
Keith Rice...................... Rice.............. Individual.
Northwest Energy Efficiency NEEA.............. Efficiency
Alliance. Organization.
Appliance Standards Awareness Joint Commenters.. Efficiency
Project, Consumer Federation of Organizations.
America, Natural Resources
Defense Council.
Pacific Gas and Electric California IOUs... Utility.
Company, Southern California
Gas Company, Southern
California Edison, and San
Diego Gas and Electric Company
(collectively, the California
Investor-Owned Utilities).
------------------------------------------------------------------------

A parenthetical reference at the end of a comment quotation or
paraphrase provides the location of the item in the public record.\5\
---------------------------------------------------------------------------

\5\ The parenthetical reference provides a reference for
information located in the docket of DOE's rulemaking to develop
test procedures for portable ACs. (Docket No. EERE-2020-BT-TP0029,
which is maintained at <a href="http://www.regulations.gov">www.regulations.gov</a>). The references are
arranged as follows: (commenter name, comment docket ID number, page
of that document).
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A list of additional abbreviations and acronyms for terms defined
in this document are provided in Table I.2.

Table I.1--List of Abbreviations and Acronyms
----------------------------------------------------------------------------------------------------------------
Abbreviation/acronym Term in this NOPR
----------------------------------------------------------------------------------------------------------------
AC............................................................... Air conditioner.
ACC.............................................................. Adjusted cooling capacity.
AEC.............................................................. Annual energy consumption.
AEER............................................................. Annualized energy efficiency ratio.
AHRI............................................................. Air-Conditioning, Heating, and Refrigeration
Institute.
ANSI............................................................. American National Standard Institute.
ASHRAE........................................................... American Society of Heating, Refrigerating
and Air-Conditioning Engineers.
Btu/h............................................................ British thermal units per hour.

[[Page 34937]]

Btu/h-ft\2\-[deg]F............................................... British thermal units per hour-square foot-
degree Fahrenheit.
Btu/Wh........................................................... British thermal units per watt-hour.
CBI.............................................................. Confidential business information.
Cd............................................................... Cooling degradation coefficient.
CEER............................................................. Combined energy efficiency ratio.
CF............................................................... Cycling factor.
CFR.............................................................. Code of Federal Regulations.
COVID-19......................................................... Coronavirus 2019.
DOE.............................................................. U.S. Department of Energy.
[deg]F........................................................... Degrees Fahrenheit.
E.O.............................................................. Executive order.
EPCA............................................................. Energy Policy and Conservation Act.
FEAA............................................................. Federal Energy Administration Authorization
Act of 1977.
FTC.............................................................. Federal Trade Commission.
IEC.............................................................. International Electrotechnical Commission.
IRFA............................................................. Initial regulatory flexibility analysis.
ISO.............................................................. International Organization for
Standardization.
kWh.............................................................. Kilowatt-hours.
LBNL............................................................. Lawrence Berkeley National Laboratory.
MAEDbS........................................................... Modernized Appliance Efficiency Database
System.
NAFTA............................................................ North American Free Trade Agreement.
NAICS............................................................ North American Industry Classification
System.
NOPR............................................................. Notice of proposed rulemaking.
OEM.............................................................. Original equipment manufacturer.
OIRA............................................................. Office of Information and Regulatory Affairs.
OMB.............................................................. Office of Management and Budget.
PAF.............................................................. Performance adjustment factor.
RECS............................................................. Residential Energy Consumption Survey.
RFI.............................................................. Request for information.
SACC............................................................. Seasonally adjusted cooling capacity.
SBA.............................................................. Small Business Administration.
UMRA............................................................. Unfunded Mandates Reform Act of 1995.
USMCA............................................................ Agreement between the United States of
America, the United Mexican States, and
Canada
----------------------------------------------------------------------------------------------------------------

II. Synopsis of the Notice of Proposed Rulemaking

In this NOPR, DOE proposes to (1) amend 10 CFR 429.4 ``Materials
incorporated by reference'' and 10 CFR 429.62, ``Portable air
conditioners;'' (2) update 10 CFR 430.2, ``Definitions'' and 10 CFR
430.23, ``Test procedures for the measurement of energy and water
consumption'' to address combined-duct portable ACs; (3) amend appendix
CC, ``10 CFR Appendix CC to Subpart B of Part 430--Uniform Test Method
for Measuring the Energy Consumption of Portable Air Conditioners;''
and (4) adopt a new appendix CC1, ``appendix CC1 to subpart B of part
430--Uniform Test Method for Measuring the Energy Consumption of
Portable Air Conditioners,'' as summarized in Tables II.1 through II.4
of this document, respectively.
In this NOPR, DOE proposes to amend 10 CFR 429.4 ``Materials
incorporated by reference'' and 10 CFR 429.62, ``Portable air
conditioners'' as follows:
(1) Incorporate by reference AHAM PAC-1-2022 Draft, ``Portable Air
Conditioners'' (``AHAM PAC-1-2022 Draft'') which includes an industry-
accepted method for testing variable-speed portable ACs, in 10 CFR
429.4; and
(2) Add rounding instructions for the seasonally adjusted cooling
capacity (``SACC'') and annualized energy efficiency ratio (``AEER'')
in 10 CFR 429.62;
DOE's proposed actions in 10 CFR 429.4 and 429.62 are summarized in
Table II.1 compared to the current 10 CFR 429.4 and 429.62, as well as
the reason for the proposed change.

Table II.1--Summary of Changes in Proposed 10 CFR 429.4 and 429.62
Relative to Current 10 CFR 429.4 and 429.62
------------------------------------------------------------------------
Proposed 10 CFR
Current 10 CFR 429.4 and 429.62 429.4 and 429.62 Attribution
------------------------------------------------------------------------
10 CFR 429.4 incorporates by Adds incorporation Updated industry
reference American National by reference in test procedure.
Standard Institute (``ANSI'')/ 10 CFR 429.4 of
AHAM PAC-1-2015. AHAM PAC-1-2022
Draft.
10 CFR 429.62 requires rounding Adds to 10 CFR To increase the
based on AHAM PAC-1-2015. 429.62 rounding reproducibility
instructions for of the test
SACC and AEER procedure.
when using
appendix CC1.
------------------------------------------------------------------------

In this NOPR, DOE also proposes to update 10 CFR 430.2,
``Definitions'' and 10 CFR 430.23, ``Test procedures for the
measurement of energy and water consumption'' as follows:
(1) Add a definition for the term ``combined-duct'' to 10 CFR
430.2; and
(2) Add requirements to determine estimated annual operating cost
for single-duct and dual-duct variable-speed portable ACs in 10 CFR
430.23.

[[Page 34938]]

DOE's proposed actions in 10 CFR 430.2 and 430.23 are summarized in
Table II.2 compared to the current 10 CFR 430.2 and 430.23, as well as
the reason for the proposed change.

Table II.2--Summary of Changes in Proposed 10 CFR 430.2 and 430.23
Relative to Current 10 CFR 430.2 and 430.23
------------------------------------------------------------------------
Proposed 10 CFR
Current 10 CFR 430.2 and 430.23 430.2 and 430.23 Attribution
------------------------------------------------------------------------
10 CFR 430.2 does not define Adds a definition Test procedure
combined-duct portable ACs. to 10 CFR 430.2 waiver.
for combined-duct
pertaining to
portable ACs.
10 CFR 430.23 does not have a Adds a method to Test procedure
method to estimate annual 10 CFR 430.23 to waiver.
operating cost for single-duct estimate annual
and dual-duct variable-speed operating cost
portable ACs. for single-duct
and dual-duct
variable-speed
portable ACs.
------------------------------------------------------------------------

In this NOPR, DOE also proposes to amend appendix CC to subpart B
of part 430--Uniform Test Method for Measuring the Energy Consumption
of Portable Air Conditioners'' as follows:
(1) Add definitions in section 2 for ``combined-duct,'' ``single-
speed,'' ``variable-speed,'' ``full compressor speed (full),'' ``low
compressor speed (low),'' and ``theoretical comparable single-speed;''
(2) Divide section 4.1 into two sections, 4.1.1 and 4.1.2, for
single-speed and variable-speed portable ACs, respectively, and detail
configuration-specific cooling mode testing requirements for variable-
speed portable ACs;
(3) Add a requirement in section 4.1.2 that, for variable-speed
portable ACs, the full compressor speed at the 95 degree Fahrenheit
(``[deg]F'') test condition be achieved with user controls, and the low
compressor speed at the 83 [deg]F test condition be achieved with
manufacturer-provided settings or controls;
(4) Add a cycling factor (``CF'') in section 5.5.1;
(5) Add a requirement to calculate SACC with full compressor speed
at the 95 [deg]F test condition and low compressor speed at the 83
[deg]F test condition in sections 5.1 and 5.2, consistent with the LG
waiver and Midea interim waiver, with an additional requirement for
variable-speed portable ACs to represent SACC with full compressor
speed for both test conditions (``SACCFull''), and;
(6) Add a requirement in section 3.1.2 that, if a portable AC has
network functions, all network functions must be disabled throughout
testing if such settings can be disabled by the end-user and the
product's user manual provides instructions on how to do so. If the
network functions cannot be disabled by the end-user, or the product's
user manual does not provide instruction for disabling network
settings, test the unit with the network settings in the factory
default configuration for the duration of the test.
DOE's proposed actions in appendix CC are summarized in Table II.3
compared to the current appendix CC, as well as the reason for the
proposed change.

Table II.3--Summary of Changes in Proposed Appendix CC to Current
Appendix CC
------------------------------------------------------------------------
Proposed appendix
Current appendix CC CC Attribution
------------------------------------------------------------------------
Does not specify compressor type Adds definitions Test procedure
or include variable-speed for single-speed waiver.
portable ACs. and variable-
speed pertaining
to portable ACs
and additional
compressor speed
definitions.
Specifies cooling mode Adds cooling mode Test procedure
requirements and subsequent requirements and waiver.
calculations for single-speed subsequent
portable ACs. calculations for
variable-speed
portable ACs.
Does not specify requirements to Adds a requirement Test procedure
achieve compressor speeds. that the full waiver.
compressor speed
at the 95 [deg]F
test condition be
achieved with
user controls and
the low
compressor speed
at the 83 [deg]F
test condition be
achieved with
manufacturer
settings.
Does not include a CF........... Adds a CF to Test procedure
determine a waiver.
theoretical
single-speed
portable AC
cooling capacity.
Calculates SACC for single-speed Adds equations to Test procedure
portable ACs. calculate SACC waiver and ensure
for variable- comparability
speed portable between single-
ACs. Requires speed and
that the full variable-speed
compressor speed capacity ratings.
be used to
determine
capacity at the
95 [deg]F test
and the low
compressor speed
be used to
determine
capacity at the
83 [deg]F test
condition.
Requires
additional
representation of
new metric,
SACCFull, using
the full
compressor speed
at the 83 [deg]F
test condition.
Does not specify address Adds a requirement To ensure
portable ACs with network that, if a reproducibility
functions. portable AC has of the test
network procedure.
functions, all
network functions
must be disabled
throughout
testing.
------------------------------------------------------------------------

In this NOPR, DOE additionally proposes to adopt a new ``appendix
CC1 to subpart B of part 430--Uniform Test Method for Measuring the
Energy Consumption of Portable Air Conditioners'' which would:
(1) Incorporate by reference parts of AHAM PAC-1-2022 Draft, which
includes an industry-accepted method for testing variable-speed
portable ACs;
(2) Adopt a new efficiency metric, AEER, to calculate more
representatively the efficiency of both

[[Page 34939]]

variable-speed and single-speed portable ACs;
(3) Amend the annual operating hours;
(4) Update the SACC and CEER equations for both single-speed and
variable-speed portable ACs;
(5) Apply a CF to single-speed portable AC efficiency; and
(6) Add a requirement that, if a portable AC has network functions,
all network functions must be disabled throughout testing. If the
network functions cannot be disabled by the end-user, or the product's
user manual does not provide instruction for disabling network
settings, then test the unit with the network function settings in the
factory default configuration for the duration of the test.
Key aspects of DOE's proposed new appendix CC1 are described in
Table II.4 compared to the current appendix CC, as well as the reason
for the proposed new appendix CC1.

Table II.4--Summary of Proposed New Appendix CC1 to Current Appendix CC
------------------------------------------------------------------------
Proposed new
Current appendix CC appendix CC1 Attribution
------------------------------------------------------------------------
Incorporates by reference ANSI/ Incorporates by Updated industry
AHAM PAC-1-2015. reference AHAM test procedure.
PAC-1-2022 Draft.
Specifies cooling mode Adds cooling mode To improve
requirements and subsequent requirements, representativenes
calculations for single-speed operating hours, s of the test
portable ACs. and a new procedure.
efficiency metric.
Calculates SACC and CEER for Adds equations to To improve
single-speed portable ACs. calculate SACC representativenes
and CEER for s of the test
variable-speed procedure.
portable ACs and
updates the SACC
and CEER
equations for
single-speed
portable ACs.
Does not include a CF........... Applies a CF to To improve
single-speed representativenes
portable AC s of the test
efficiency. procedure.
Does not specify address Adds a requirement To ensure
portable ACs with network that, if a reproducibility
functions. portable AC has of the test
network procedure.
functions, all
network functions
must be disabled
throughout
testing.
------------------------------------------------------------------------

Under 42 U.S.C. 6293(e)(1), DOE is required to determine whether an
amended test procedure will alter the measured energy use of any
covered product. If an amended test procedure does alter measured
energy use, DOE is required to make a corresponding adjustment to the
applicable energy conservation standard to ensure that minimally
compliant covered products remain compliant. (42 U.S.C. 6293(e)(2)) DOE
has tentatively determined that the proposed amendments described in
section III of this NOPR would not alter the measured efficiency of
single-speed portable ACs that are rated using the test procedure that
is currently required for testing, i.e., appendix CC. DOE has also
tentatively determined that the proposed amendments to appendix CC
described in section III and Table II.2 of this NOPR, if made final,
could alter the measured efficiency and capacity of variable-speed
portable ACs that are currently subject to waivers. Appendix CC does
not currently have separate provisions for variable-speed portable ACs.
DOE is proposing to establish a test method for such units that would
address the ability of variable-speed compressors to adjust their
operating speed based on the demand load of the conditioned space.
Although the measured efficiency could change for variable-speed
portable ACs that are currently subject to waivers, DOE has tentatively
determined that this proposal would not require an adjustment to the
energy conservation standard for portable ACs to ensure that minimally
compliant portable ACs would remain compliant. DOE reached this
conclusion because variable-speed portable ACs currently on the market
are not representative of minimally compliant units.
DOE also has tentatively determined that the proposed adoption of a
new appendix CC1 described in section III and Table II.3 of this NOPR
would alter the measured efficiency of portable ACs. DOE proposes that
testing according to the proposed new appendix CC1, if made final,
would not be required until compliance is required with amended energy
conservation standards that are based on the proposed new appendix CC1,
should such standards be established. 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 detail in section III of this NOPR.

III. Discussion

A. Scope of Applicability

DOE defines a ``portable air conditioner'' as a portable encased
assembly, other than a packaged terminal air conditioner, room air
conditioner, or dehumidifier, that delivers cooled, conditioned air to
an enclosed space, and is powered by single-phase electric current. 10
CFR 430.2. The definition also states that a portable AC includes a
source of refrigeration and may include additional means for air
circulation and heating. Id.
DOE has established definitions for two portable AC configurations:
``single-duct portable air conditioner'' and ``dual-duct portable air
conditioner.'' A ``single-duct portable air conditioner'' is a portable
AC that draws all of the condenser inlet air from the conditioned space
without the means of a duct, and discharges the condenser outlet air
outside the conditioned space through a single duct attached to an
adjustable window bracket. 10 CFR 430.2. A ``dual-duct portable air
conditioner'' is a portable AC that draws some or all of the condenser
inlet air from outside the conditioned space through a duct attached to
an adjustable window bracket, may draw additional condenser inlet air
from the conditioned space, and discharges the condenser outlet air
outside the conditioned space by means of a separate duct attached to
an adjustable window bracket. Id.
In the April 2021 RFI, DOE sought comment on whether the current
definitions of ``portable air conditioner,'' ``single-duct portable air
conditioner,'' and ``dual-duct portable air conditioner'' require
amendment, and if so, how the terms should be defined. 86 FR 20044,
20046 (Apr. 17, 2021). DOE specifically requested comment on whether
the existing definitions specified in 10 CFR 430.2 for portable ACs
require amendments to distinguish further between single-duct and dual-
duct units, or to address any unique configurations that are not
clearly addressed in the existing definitions; if amendments were
recommended, DOE sought information on what identifying characteristics
may be included in potential amended or new definitions.

[[Page 34940]]

DOE received no comments related to the definitions in response to
the April 2021 RFI. In the Midea Interim Waiver, DOE specified a
definition for ``combined-duct portable air conditioner'' as part of
the alternate test procedure. 86 FR 17803, 17808. Since this duct
configuration was not previously defined, DOE proposes to define
``combined-duct'' in 10 CFR 430.2 specifically as ``for a portable air
conditioner, the condenser inlet and outlet air streams flow through
separate ducts housed in a single duct structure.''
DOE is not proposing amendments to the definitions for ``portable
air conditioner,'' ``single-duct portable air conditioner,'' and
``dual-duct portable air conditioner'' as codified in 10 CFR 430.2, at
this time. DOE requests comment on the proposed definition of
``combined duct.''
In the April 2021 RFI, DOE also discussed a comment received in
which NEEA stated that ``spot coolers'' are not currently covered by
the portable AC test procedure, and that these products do not provide
net cooling, but rather move heat from one area to another in a space
(i.e., they reject condenser air to the cooled space). 86 FR 20044,
20051. NEEA stated that some portable AC products may meet this
description of a spot cooler, and recommended that DOE continue to
monitor the market to ensure that market characterization of a product
as a ``spot cooler'' is not utilized as a means to circumvent portable
AC standards. Id. In response, DOE sought information regarding the
availability of any portable ACs that provide cooling in a similar
manner to single-duct and dual-duct portable ACs but that do not meet
either of the definitions for a single-duct or dual-duct portable AC at
10 CFR 430.2. Id.
DOE received no comments providing additional information regarding
spot coolers. In the 2016 Final Rule, DOE identified the presence of an
adjustable window mounting bracket as a primary feature of single-duct
and dual-duct portable ACs. 81 FR 35245 (Jun. 1, 2016). In that final
rule and in subsequent market reviews, DOE found no spot coolers with
an adjustable window mounting bracket. These flexible mounting brackets
for condenser inlet and exhaust ducts are required for the portable AC
configurations addressed by the portable AC test procedure. Therefore,
in this NOPR, DOE is not proposing any amendments to the scope or
definitions related to spot coolers.

B. Test Procedure

Portable ACs are currently tested in accordance with appendix CC,
which incorporates by reference American National Standard Institute
(``ANSI'')/AHAM PAC-1-2015 ``Portable Air Conditioners'' (``ANSI/AHAM
PAC-1-2015''), ANSI/American Society of Heating, Refrigerating and Air-
Conditioning Engineers (``ASHRAE'') Standard 37-2009 ``Methods of
Testing for Rating Electrically Driven Unitary Air-Conditioning and
Heat Pump Equipment'' (``ANSI/ASHRAE Standard 37-2009''), and IEC
Standard 62301 ``Household electrical appliances--Measurement of
standby power'' (Edition 2.0 2011-01) (``IEC Standard 62301''), with
modifications. Regarding dual-duct portable ACs, the DOE test procedure
specifies provisions in addition to ANSI/AHAM PAC-1-2015. Specifically,
the DOE test procedure specifies an additional test condition for dual-
duct portable ACs (83 [deg]F dry-bulb and 67.5 [deg]F wet-bulb outdoor
temperature) and additionally accounts for duct heat transfer,
infiltration air heat transfer, and off-cycle mode energy use. See
Sections 4.1, 4.1.1, 4.1.2, and 4.2 of appendix CC. Appendix CC also
includes instructions regarding tested configurations, duct setup,
inlet test conditions, condensate removal, unit placement, duct
temperature measurements, and control settings. See Sections 3.1.1,
3.1.1.1, 3.1.1.2, 3.1.1.3, 3.1.1.4, 3.1.1.6, and 3.1.2 of appendix CC.
Under the current test procedure, a unit's SACC, in British thermal
units per hour (``Btu/h''), is calculated as a weighted average of the
adjusted cooling capacity measured at two representative operating
conditions. The adjusted cooling capacity is the measured indoor room
cooling capacity while operating in cooling mode under the specified
test conditions, adjusted based on the measured and calculated duct and
infiltration air heat transfer. See Sections 4.1, 4.1.1, 4.1.2, 5.1,
and 5.2 of appendix CC. The CEER represents the efficiency of the unit,
in Btu per watt-hours (``Btu/Wh''), based on the adjusted cooling
capacity at the two operating conditions; the annual energy consumption
in cooling mode, off-cycle mode, and inactive or off mode; and the
number of cooling mode hours per year; with weighting factors applied
for the two operating conditions. See Sections 4.2, 4.3, 5.3, and 5.4
of appendix CC.
In response to the April 2021 RFI, DOE received a comment from AHAM
stating that there is no immediate need to amend the portable AC test
procedure, given the backlog of other overdue rules and the fact that
the applicable energy conservation standards compliance date is not
until 2025. In addition, AHAM stated that it does not believe the
existing test procedure needs to be revised other than to make updates
to incorporate the existing waivers. AHAM recommended collaborating
with AHAM and other stakeholders on this test procedure through the
consensus process so that the rulemaking process can be streamlined.
(AHAM, No. 8 at p. 2) DOE notes that, at the time of the comment, AHAM
and its working group were still working on an update to AHAM PAC-1-
2015.
As stated, DOE is conducting this rulemaking in accordance with the
periodic review provision in EPCA that requires ``at least once every 7
years, the Secretary shall review test procedures for all covered
products including portable ACs and (i) amend test procedures with
respect to any covered product, if the Secretary determines that
amended test procedures would more accurately or fully comply with the
requirements of paragraph (3); or (ii) publish notice in the Federal
Register of any determination not to amend a test procedure.'' (42
U.S.C. 6293, (b)(1)(A)) In addition, DOE's regulations at 10 CFR
430.27(l) require that as soon as practicable after the granting of any
waiver, DOE will publish in the Federal Register a NOPR to amend its
regulations so as to eliminate any need for the continuation of such
waiver. As soon thereafter as practicable, DOE will publish in the
Federal Register a final rule. 10 CFR 430.27(l).
AHAM further commented that, as DOE evaluates potential changes, it
should be mindful that it will take time before many new features,
designs, and technologies lend themselves to a ``representative
average'' consumer use. AHAM therefore stated that DOE should ensure
that the portable AC test procedure does not prematurely address new
designs which may not yet have an average use or be in common use by
measuring their energy use, asserting that doing so could stifle
innovation. (AHAM, No. 8 at p. 4)
DOE notes an important distinction between the requirements of EPCA
and AHAM's comment regarding ``representative average'' consumer use as
measured by the test procedure. AHAM's comment suggests that testing
new features, designs, or technologies is not necessary because,
according to AHAM, such features may not yet be in common use on the
market. However, under EPCA, DOE is not required to develop a test
procedure for the ``average'' portable AC on the market. Instead, DOE
is required to develop a test procedure that measures energy use or
efficiency for all models of portable ACs during a representative
average use

[[Page 34941]]

cycle or period of use (among other considerations). (42 U.S.C.
6293(b)(3))
1. Updates to Industry Standards
In the November 2020 RFI, DOE sought comment on the availability of
industry-accepted consensus-based test procedures for measuring the
energy use of portable ACs that could be adopted without modification
and more accurately or fully comply with the requirement that the test
procedure produces results that measure energy use during a
representative average use cycle for the product, and not be unduly
burdensome to conduct. 85 FR 70508, 70511.
AHAM stated that the existing test procedure need not be
significantly revised, and that the primary changes necessary are those
that incorporate the LG Waiver and Midea Interim Waiver. AHAM commented
that its PAC-1 task force is discussing broader issues for potential
consideration and will add the issues raised in the April 2021 RFI to
that discussion. AHAM stated that the PAC-1 task force is actively
pursuing an update to ANSI/AHAM PAC-1-2015 that would account for
variable-speed products and is discussing some of the issues DOE raised
in the April 2021 RFI, such as definitions, usage data, repeatability
and reproducibility, test burden, infiltration air and duct heat
transfer, variable-speed product testing, and spot coolers. AHAM
further stated that this test procedure development is on a fast track
and urged DOE to allow the process to complete before taking additional
rulemaking steps and, so long as the test procedure is consistent with
the EPCA requirements, as they expect it will be, to adopt the
resulting procedure per the Process Rule, section 8(c).\6\ AHAM stated
it will update the docket when the procedure is complete. (AHAM, No. 8
at pp. 1-2)
---------------------------------------------------------------------------

\6\ Section 8(c) of appendix A of 10 CFR part 430 subpart C, The
Procedures, Interpretations, and Policies for Consideration in New
or Revised Energy Conservation Standards and Test Procedures for
Consumer Products and Commercial/Industrial Equipment (``appendix
A'') provides guidelines on the adoption of industry test methods as
DOE test procedures for covered products and equipment. DOE updated
appendix A in a final rule published in the Federal Register on
December 13, 2021. 86 FR 70892. The updates included allowance for
the adoption of industry test methods with modifications or the use
of test methods crafted by DOE as necessary to ensure compatibility
with the relevant statutory requirements, as well as DOE's
compliance, certification, and enforcement requirements.
---------------------------------------------------------------------------

A new draft version of ANSI/AHAM PAC-1 has begun development since
the publication of the current DOE test procedure; i.e., AHAM PAC-1-
2022 Draft. DOE assessed this draft version to determine if any updates
to the DOE test procedure were warranted. As discussed in later
sections in this NOPR, DOE is proposing to adopt AHAM PAC-1-2022 Draft
in a new appendix CC1, including a new efficiency metric, AEER, and a
capacity metric, SACC, that is comparable for both single-speed and
variable-speed models. If AHAM publishes a final version of PAC-1-2022
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 AHAM PAC-1. If a finalized version of
AHAM PAC-1-2022 Draft is not published before the final rule or if
there are substantive changes between the draft and published versions
of AHAM PAC-1-2022, DOE may adopt the substance of the AHAM PAC-1-2022
Draft or provide additional opportunity for comment on the final
version of that industry consensus standard. Due to the substantive
difference in measures of capacity and energy efficiency, DOE proposes
to continue referencing ANSI/AHAM PAC-1-2015 in appendix CC, with
amendments to include the variable-speed waiver approaches as discussed
below. Until appendix CC1 takes effect, DOE proposes to add to appendix
CC a capacity metric for variable-speed models, SACC<INF>Full,</INF>
that is comparable to SACC for single-speed models.
Both ANSI/AHAM PAC-1-2015 and AHAM PAC-1-2022 Draft reference ANSI/
ASHRAE Standard 37-2009, which references certain industry test
standards in specifying test conditions, measurements, and setup. DOE
is also proposing to incorporate those industry standards specified in
the relevant sections of ANSI/ASHRAE Standard 37-2009. Specifically,
DOE is proposing to incorporate by reference ANSI/ASHRAE Standard 51-
1999 (also referred to as ANSI/AMCA 210-1999), as referenced in section
6.2, ``Nozzle Airflow Measuring Apparatus,'' of ANSI/AHAM PAC-1-2015
and AHAM PAC-1-2022 Draft, for static pressure tap placement. DOE is
also proposing to incorporate by reference ANSI/ASHRAE Standard 41.1-
1986 and ANSI/ASRHAE Standard 41.6-1994 (RA 2006), as referenced in
section 5.1, ``Temperature Measuring Instruments,'' of AHAM PAC-1-2022
Draft, for measuring dry-bulb temperature and humidity, respectively.
Incorporating these standards will clarify which versions of the
standards are required to conduct tests according to the procedure in
appendices CC and CC1.
Appendix CC Proposal: DOE is not proposing any amendments to revise
the ANSI/AHAM PAC-1-2015 reference in appendix CC. DOE proposes to
amend appendix CC to account for the difference in efficiency resulting
from the ability of variable-speed models to adjust their compressor
operating speed based on the demand load of the conditioned space, as
addressed in the LG waiver and Midea interim waiver. DOE is also
proposing to incorporate by reference ANSI/ASHRAE Standard 51-1999.
This proposal would otherwise generally maintain the existing test
procedure approach, which is the basis for the energy conservation
standards for which compliance is required beginning in 2025,
established in the energy conservation standards final rule published
by DOE on January 10, 2020 (``January 2020 Final Rule''). 85 FR 1378.
DOE requests comment on the proposal to incorporate by reference
ANSI/ASHRAE Standard 51-1999 in appendix CC, with modifications to
address comparability and representativeness.
Appendix CC1 Proposal: DOE proposes to adopt a new appendix CC1
that would incorporate by reference AHAM PAC-1-2022 Draft, with some
modifications as discussed in section III.B.5 of this document. DOE is
also proposing to incorporate those industry standards specified in the
relevant sections of ANSI/ASHRAE Standard 37-2009. Specifically, DOE is
proposing to incorporate by reference: ANSI/ASHRAE Standard 41.1-1986,
ANSI/ASRHAE Standard 41.6-1994 (RA 2006), ANSI/ASHRAE Standard 51-1999.
The newly proposed appendix CC1 would simplify the portable AC test
procedure for variable-speed portable ACs and improve
representativeness and comparability among different portable AC
configurations.
DOE requests comment on the proposal to incorporate by reference
AHAM PAC-1-2022 Draft in a new appendix CC1, with modifications to
address comparability and representativeness and to incorporate ANSI/
ASHRAE Standard 41.1-1986, ANSI/ASRHAE Standard 41.6-1994 (RA 2006),
ANSI/ASHRAE Standard 51-1999 in appendix CC1.
2. Harmonization With Other AC Product Test Procedures
In the April 2021 RFI, DOE requested further information and usage
data regarding setpoints, operating conditions, seasonal use, and
installation time for portable ACs to inform the issue of harmonization
of the test procedures for room ACs, portable ACs, and central ACs. 86
FR 20044, 20047.
NEEA stated that portable ACs and room ACs are potential
substitutes for

[[Page 34942]]

one another and may be evaluated side-by-side by consumers, but that
more data are needed to fully understand the usage characteristics and
applications of each product category. NEEA expressed particular
concern that, under the current test procedures for each product,
portable ACs may appear more efficient in comparison to room ACs,
whereas, as asserted by NEEA, the opposite is generally the case. NEEA
recommended that DOE further evaluate the typical applications and
operational hours for both portable ACs and room ACs and update the
test procedures as necessary to ensure that consumers are provided with
accurate information. (NEEA, No. 12 at p. 2)
The California IOUs commented that DOE should align the portable AC
test procedure with that of room ACs and central ACs to provide
consumers with a direct energy performance comparison between products
that provide similar utility. The California IOUs noted that the
International Organization for Standardization (``ISO'') states that
``the operational mode and features of such appliances [single duct
portable ACs and heat pumps] are quite different from those of the
well-known non-ducted ACs and heat pumps largely diffused worldwide and
covered by ISO 5151.'' \7\ The California IOUs stated that considering
how portable, room, and central AC test procedures have evolved over
time and how they have been evaluated globally, they understand why DOE
is unable to harmonize these test procedures. They noted, however, that
the DOE room AC and portable AC energy conservation standards are both
based on a metric named CEER. They encouraged DOE to consider changing
the name of the reported energy efficiency metric for portable ACs to
clarify to consumers that the portable AC and room AC metrics are not
comparable. (California IOUs, No. 10 at pp. 2-4)
---------------------------------------------------------------------------

\7\ ISO 5151: 2017 specifies performance testing, the standard
conditions, and the test methods for determining the capacity and
efficiency ratings of air-cooling air conditioners and air-to-air
heat pumps.
---------------------------------------------------------------------------

DOE recognizes that consumers may consider portable ACs and room
ACs for the same applications, and that it would be helpful to
consumers for the portable AC and room AC ratings to be comparable.
However, as discussed in a NOPR published on February 25, 2015, DOE
also expects that portable ACs and room ACs have different operating
hours and are likely utilized differently by consumers. 80 FR 10211,
10235. Accordingly, the portable AC and room AC test procedures have
different operating hours and test conditions, and the resulting CEER
metric for each test procedure measures the efficiency of the tested
product during its representative period of use. In this NOPR, DOE is
not proposing specific amendments to appendix CC or the proposed new
appendix CC1 for the purpose of achieving harmonization with the test
procedures for other AC products. Rather, DOE is proposing amendments
in this rulemaking to address and improve the representativeness of the
test procedure for portable ACs, as required by EPCA. (See 42 U.S.C.
6293(b)(3)) In the future, DOE will continue to consider EPCA
requirements and consumer usage data when amending both the portable AC
and room AC test procedures. With respect to changing the name of the
metric, DOE is proposing a new metric name for portable ACs, as
discussed in section III.B.5.f of this document.
3. Variable-Speed Technology
Portable ACs with variable-speed compressors have been introduced
to the market since the last portable AC test procedure rulemaking. As
compared to a portable AC with a single-speed compressor, a variable-
speed portable AC can use an inverter-driven variable-speed compressor
to maintain the desired temperature without cycling the compressor
motor and fans on and off. The unit responds to surrounding conditions
by adjusting the compressor rotational speed based on the cooling
demand. At reduced speeds, variable-speed compressors typically operate
more efficiently than a single-speed compressor would under the same
conditions. The current portable AC test procedure does not account for
improved efficiency from the ability of variable-speed portable ACs to
automatically adjust their compressor operating speed and overall
performance based on the cooling load of the conditioned space.
DOE has issued a test procedure waiver and an interim waiver that
specify alternate test procedures for certain basic models of variable-
speed portable ACs. 85 FR 33643; 86 FR 17803.
As discussed, DOE granted LG a test procedure waiver from specified
portions of the DOE test procedure for determining the energy
efficiency of listed portable AC basic models, under which LG is
required to test and rate the listed basic models of its portable ACs
in accordance with the alternate test procedure specified in the
Decision and Order. 85 FR 33643, 33647 (June 2, 2020). LG asserted that
the current DOE test procedure for single-duct portable ACs does not
take into account the specific performance and efficiency benefits
associated with the specified basic models, which are single-duct
variable-speed portable ACs, under part-load conditions. Id. In
granting the LG Waiver, DOE determined that the alternate test
procedure in the Decision and Order produces efficiency results for
variable-speed portable ACs which are comparable with the results for
single-speed units. Id. The alternate test procedure accomplishes this
by adjusting the efficiency rating of the variable-speed portable AC by
the amount the variable-speed unit would outperform a theoretical
comparable single-speed unit in a representative period of use. Id.
On July 16, 2020, DOE received a petition for waiver and
application for interim waiver from Midea, consistent with the approach
used for variable-speed compressors in the LG Waiver, with
modifications to account for dual-duct models incorporating Midea's
combined-duct technology.\8\ Midea stated the current test procedure
prevents the testing of its combined-duct technology because the
condenser inlet and outlet air streams are incorporated into the same
structure. (Midea Petition, EERE-2020-BT-WAV-0023 No. 2 at pp. 4-5)
Midea further stated that, since the airflow both into and out of the
condenser must be measured simultaneously, modifications are needed to
adapt Midea's combined-duct technology to DOE's test procedure and
standard airflow measurement apparatuses. (Midea Petition, EERE-2020-
BT-WAV-0023 No. 2 at p. 5) Midea stated the DOE test procedure does not
take into account a specially designed adapter that is needed for
measuring the airflows. Id. DOE granted the Midea Interim Waiver on
April 6, 2021, under which Midea is required to test and rate the
listed basic models of its portable ACs in accordance with the
alternate test procedure specified in the interim waiver. This
alternate test procedure adjusts the efficiency rating of Midea's
variable-speed portable ACs in a manner similar to that of the
alternate test procedure in the LG Waiver, with provisions to allow
testing of the combined-duct technology. 86 FR 17803.
---------------------------------------------------------------------------

\8\ The Midea Petition for Waiver from Portable Air Conditioners
Test Procedures (EERE-2020-BT-WAV-0023) is available at
<a href="http://www.regulations.gov/docket/EERE-2020-BT-WAV-0023">www.regulations.gov/docket/EERE-2020-BT-WAV-0023</a>.
---------------------------------------------------------------------------

Upon the compliance date of the test procedure provisions proposed
in this NOPR to appendix CC, should they be adopted, the LG Waiver and
Midea Interim Waiver would be terminated, as the proposed amendments to
appendix

[[Page 34943]]

CC address the issues addressed by the waiver and interim waiver. 10
CFR 430.27(h)(3).
In the April 2021 RFI, DOE requested comment on potential
amendments to the test procedure to address variable-speed portable
ACs. 86 FR 20044.
NEEA, the California IOUs, and the Joint Commenters noted that
variable-speed portable ACs have become available on the market since
the January 2020 Final Rule, pointing to the LG Waiver and Midea
Interim Waiver as evidence of variable-speed portable AC market
prevalence. (NEEA, No. 12 at p. 2; California IOUs, No. 10 at pp. 1-2;
Joint Commenters, No. 9 at p. 2) The California IOUs further stated
that these models are growing in popularity, citing prevalence on
retail websites of one of the portable ACs that is subject to a waiver.
(California IOUs, No. 10 at pp. 1-2) The California IOUs recommended
that DOE update the portable AC test procedure to establish a uniform
approach for accurately representing the energy performance benefits of
variable-speed technology to provide consumers with the best
information so they can make informed purchasing decisions. (California
IOUs, No. 10 at pp. 1-2) NEEA recommended that DOE modify the portable
AC test procedure to include variable-speed products in a way that
accurately reflects their energy use and that testing be conducted at
user-selected speeds to the maximum extent possible, as compared to
proprietary manufacturer settings, to better reflect field performance.
NEEA further stated that, given the potential for variable-speed
products to save energy through increased efficiency at low loads and
reduced cycling, it is important to capture this energy use accurately
in the test procedure so that it can be evaluated in future standards
rulemakings. (NEEA, No. 12 at p. 2) The California IOUs noted that
amending the test procedure to account for variable-speed technology
would allow DOE to remove the existing test procedure waivers, stating
that amending the test procedure would make the waivers no longer
necessary for an accurate representation of the products in question.
(California IOUs, No. 10 at pp. 1-2) In incorporating the current test
procedure waivers for variable-speed portable ACs into the DOE test
procedure, the Joint Commenters and the California IOUs encouraged DOE
to require that the ``full speed'' test be conducted using user
controls to achieve the maximum cooling capacity to improve
representativeness. (Joint Commenters, No. 9 at p. 2; California IOUs,
No. 10 at pp. 1-2)
As noted, DOE has issued a waiver and an interim waiver addressing
the ability of variable-speed portable ACs to automatically adjust
their compressor operating speed based on the cooling load of the
conditioned space. Pursuant to DOE's waiver regulations, as soon as
practicable after the granting of any waiver, DOE will publish in the
Federal Register a NOPR to amend its regulations to eliminate any need
for the continuation of such waiver. 10 CFR 430.27(l). As soon
thereafter as practicable, DOE will publish in the Federal Register a
final rule. Id.
In accordance with the requirements of 10 CFR 430.27(l), DOE is
proposing to amend appendix CC to adopt test methods and SACC and CEER
calculations for variable-speed units, consistent with those in the LG
and Midea Waivers. These test methods involve testing variable-speed
portable ACs at three conditions: the two test conditions used for
single-speed units and one additional low-compressor-speed test
condition conducted at 83 [deg]F. The low compressor speed would be
achieved and maintained using instructions provided by the manufacturer
as supplemental test information.
Additionally, DOE is proposing changes to ensure comparability of
metrics. Under the current appendix CC, SACC captures the reduced
capacity at low outdoor temperature (83 [deg]F) for variable-speed
units but not for single-speed units, because the procedure does not
allow single-speed units to cycle, as they would in normal operation.
Under the proposed appendix CC, the represented value of both variable-
speed and single-speed unit capacities at the low temperature would be
based on full speed, with a new SACC<INF>Full</INF> metric for
variable-speed units. Although it does not reflect normal operation,
this approach creates a fair comparison and does not affect the current
metric for single-speed units. Under appendix CC1, SACC would reflect
the reduced capacity at low outdoor temperature for both types.
DOE proposes to require variable-speed portable AC manufacturers to
make capacity representations with a new capacity metric,
SACC<INF>Full</INF>, while appendix CC is used. As described in the
following detail, the SACC<INF>Full</INF> metric would allow consumers
to compare single-speed portable AC and variable-speed portable AC
capacities on a like-for-like basis, when a manufacturer certifies in
accordance with appendix CC. Upon the effective date and universal use
of appendix CC1, this SACC<INF>Full</INF> metric would no longer be
necessary, as the SACC metric in appendix CC1 would take into account
the reduced cooling capacity provided by both single-speed and
variable-speed basic models. DOE would consider reporting requirements
necessary for certifying compliance with energy conservation standards
of covered appliances in a separate rulemaking, and would address
reporting requirements for SACC<INF>Full</INF> at that time.
In the LG Waiver, DOE required that the ``full speed'' 95 [deg]F
outdoor temperature test be conducted using a maximum compressor speed
achieved using instructions provided by the portable AC manufacturer.
85 FR 33643, 33651. In the Midea Interim Waiver, DOE altered this
requirement to require that the maximum compressor speed be reached by
adjusting user controls such that the compressor runs continuously
under a full cooling load. 86 FR 17803, 17809. DOE made this change
based on its own test data and the advice of commenters. Achieving full
compressor speed with user controls (i.e., native controls) rather than
manufacturer-specified codes ensures that the maximum speed tested is
representative of real-world performance. Accordingly, DOE proposes to
amend appendix CC to adopt the test procedure provisions specified in
the Midea Interim Waiver. DOE is also proposing to include such
provisions in the proposed new appendix CC1.
DOE is also proposing to amend the SACC calculations in appendix CC
and in the proposed new appendix CC1. In the LG Waiver and Midea
Interim Waiver, the alternate test procedures require the use of the
low compressor speed at the 83 [deg]F test condition as the basis for
the SACC calculation. 85 FR 33643, 33650 (June 2, 2020); 86 FR 17803,
17811 (Apr. 6, 2021). The alternate test procedures require the use of
the low compressor speed, as it would be the best representation of
typical performance and cooling provided at the 83 [deg]F test
condition. Therefore, as discussed in section III.B.5.c of this
document, DOE proposes to adopt the waiver and interim waiver alternate
test procedure approach and use the low compressor speed when
determining variable-speed portable AC capacity at the 83 [deg]F test
condition. However, DOE recognizes that cooling capacity is one of the
primary metrics that manufacturers advertise to consumers, and that,
when using appendix CC, the comparatively lower SACC values for
variable-speed models resulting from using the low compressor speed at
the 83 [deg]F test condition relative to comparable single-speed units
(which do not operate continuously at a reduced speed but typically
cycle at that

[[Page 34944]]

low temperature condition), may create an unwarranted competitive
disadvantage for single-speed models in the market and confusion for
consumers. Therefore, DOE is proposing to require manufacturers, when
testing a variable-speed portable AC using appendix CC, to represent
capacity using a new metric, SACC<INF>Full</INF>, using the full
compressor speed at the 83 [deg]F test condition. DOE does not propose
to define SACC<INF>Full</INF> in appendix CC1, nor require the use of
such a metric for representations until the compliance date of any
amended standards for portable ACs, when the use of appendix CC1 would
be required. The proposed new appendix CC1 addresses single-speed
portable AC performance at part-load under the low temperature
condition (see the discussion of cycling losses and part-load operation
in section III.5.e of this document), such that when using the proposed
new appendix CC1, no such comparability issues would arise between the
SACC values for single-speed and variable-speed AC units.
The reduced cooling load typically observed at the 83 [deg]F test
condition is not currently accounted for in appendix CC for either
single-duct or dual-duct portable ACs. In the proposed new appendix
CC1, DOE is proposing to adopt the most representative SACC calculation
for all portable ACs. For a variable-speed portable AC, this value
would be the measured cooling capacity for the unit operating with a
low compressor speed at the 83 [deg]F test condition. For a single-
speed unit, this value would be the unit's cooling capacity measured at
the 83 [deg]F test condition multiplied by a load factor--0.6 for
single-duct units and 0.5363 for dual-duct units. This change would
provide the most representative cooling capacity for both single-speed
and variable-speed units, as would reflect the expected average rate of
cooling when operating at the 83 [deg]F test condition, as indicated by
the Air-Conditioning, Heating, and Refrigeration Institute (``AHRI'')
Standard 210/240, ``Performance Rating of Unitary Air-conditioning &
Air-source Heat Pump Equipment'' (``AHRI 210/240'') Building Load
Calculation, found in section 11.2.1.2 of that standard. Both
adjustments are discussed in section III.B.5.c of this document.
In this NOPR, DOE proposes to amend appendix CC to adopt the CEER
calculation from the LG Waiver and Midea Interim Waiver alternate test
procedures for variable-speed portable ACs, with an updated cycling
factor based on new test data (as discussed in section III.B.5.e of
this document) to address the efficiency benefits associated with a
variable-speed portable AC relative to a single-speed portable AC when
operating at reduced test conditions. To maintain compatibility with
the existing portable AC standards, DOE is not proposing to amend the
CEER calculation in appendix CC for single-speed portable ACs.
However, DOE is proposing to change the CEER calculation for both
single-speed and variable-speed portable ACs in the proposed new
appendix CC1 to account for cyclic behavior of single-speed portable
ACs and to improve representativeness. This proposed approach entails
changing the operating hours for all portable ACs, namely how off-cycle
mode hours are allocated (see section III.4 of this document) and to
include a cycling factor in the CEER equation for single-speed portable
ACs to account for cycling efficiency losses outside of off-cycle mode.
For detailed discussion of these changes, see section III.5.f of this
document.
4. Representative Average Period of Use
a. Operational Modes
The measured energy performance of a portable AC includes energy
use associated with cooling mode and off-cycle mode during the cooling
season, and inactive mode and off mode energy use for the entire year.
In the April 2021 RFI, DOE sought comment regarding whether any of the
currently considered modes in the DOE test procedure should no longer
be addressed, or whether any representative modes that are not
currently considered should be addressed in future test procedure
amendments. DOE also sought comment regarding whether the performance
and energy use for these operational modes are appropriately addressed
and captured in the DOE test procedure. 86 FR 20044, 20047-20048.
DOE received comments on air circulation mode, dehumidification
mode, and heating mode, which are discussed below in sections III.B.6,
III.B.7, and III.B.8 of this document, respectively.
b. Hours of Operation
As discussed in this section, DOE is proposing a revised set of
annual operating hours for portable ACs, shown in Table III.2 of this
document.
To determine the energy use during a representative period of use,
the current DOE test procedure assigns the following hours of operation
for each mode: 750 hours for cooling mode, 880 hours for off-cycle
mode, and 1,355 hours for inactive or off mode. Section 5.3 of appendix
CC. These operating hours were established in the June 2016 Final Rule.
Because as at that time there was insufficient data for portable AC
use, DOE derived these values from the existing operating hours for
room ACs. DOE adjusted the room AC usage data to reflect portable ACs
usage; for example, inactive mode and off mode estimates outside of the
cooling season were decreased because portable ACs are more likely to
be unplugged outside of the cooling season as compared to room ACs,
which are less portable.\9\ 81 FR 35241, 35258-35259. In the April 2021
RFI, DOE stated it was unaware of any portable AC usage data sufficient
to characterize representative consumer usage in a manner more
representative than considered in the previous test procedure
rulemaking, noted that no such data or data sources had been provided
by commenters to date, and requested data regarding annual operating
hours for all representative modes of operation for portable ACs. 86 FR
20044, 20048.
---------------------------------------------------------------------------

\9\ Further information regarding the development of the
operating hours is provided in the February 25, 2015 NOPR and
November 27, 2015 supplemental NOPR, available at
<a href="http://www.regulations.gov/docket/EERE-2014-BT-TP-0014-0009">www.regulations.gov/docket/EERE-2014-BT-TP-0014-0009</a> and
<a href="http://www.regulations.gov/docket/EERE-2014-BT-TP-0014-0021">www.regulations.gov/docket/EERE-2014-BT-TP-0014-0021</a>, respectively.
---------------------------------------------------------------------------

AHAM urged DOE not to rely on room AC data to determine annual
operating hours for portable ACs, stating that portable and room ACs
may be similar in some ways, but that usage of the products differs, as
DOE recognized in the April 2021 RFI. AHAM stated that DOE should
refrain from using room AC data to support rulemaking activity for
portable ACs unless there is evidence that the data are a sufficient
surrogate. (AHAM, No. 8 at p. 3) AHAM also asserted that, to establish
or amend representative average use cycles or periods of use, DOE must
have national, statistically significant, field use data (not surveys)
on consumer use. Without such data, AHAM claimed that it is impossible
and inappropriate for DOE to determine or change the average use cycle
in a test procedure. AHAM asserted that EPCA does not contemplate test
procedures that measure every possible cycle, combination of options,
or use pattern; and that EPCA instead requires test procedures measure
only a ``representative average use cycle or period of use.'' AHAM
further stated that test procedures will inevitably become unduly
burdensome to conduct if, to measure every possible kilowatt-hour, test
procedures are amended to account for every possible cycle or pattern.
AHAM urged DOE to focus on

[[Page 34945]]

representative, average use cycles. (AHAM, No. 8 at p. 3) AHAM did not
provide data or identify data sources for portable AC use.
DOE has been unable to identify nationally representative data and
information regarding annual operating hours specifically for portable
ACs independent from estimates based on room AC operating hours. DOE
also considered whether operating hours for other air conditioning
equipment could be relevant but found no evidence that changing the
current portable AC operating hours that are based on room AC usage
would be more representative. Therefore, DOE is not proposing to amend
the operating hours in appendix CC.
As discussed, DOE is proposing to address cycling behavior of
single-speed portable ACs in the proposed new appendix CC1. When a
single-speed portable AC setpoint is reached, the compressor
automatically turns off and the unit enters off-cycle mode until the
compressor reactivates according to the thermostat or temperature
sensor signal. Whereas when a variable-speed portable AC setpoint is
reached, the compressor continues to run, but at a lower speed to match
the load, avoiding cycling and off-cycle mode operation entirely. As
part of the proposal to address cycling behavior, DOE has assessed the
annual operating hours for portable ACs in the proposed new appendix
CC1 to more representatively account for cooling mode and off-cycle
mode operation. For single-duct portable ACs, the current appendix CC
specifies 750 annual operating hours for cooling mode. For dual-duct
portable ACs, the current appendix CC specifies a total of 750 cooling
mode hours apportioned between the two specified test conditions (95
[deg]F and 83 [deg]F), with weighting factors of 0.2 and 0.8 applied to
the 95 [deg]F and 83 [deg]F tests, respectively. In assigning these
hours to cooling mode, the current portable AC test procedure does not
account for the relationship between cyclic behavior and off-cycle mode
as it relates to single-speed portable ACs in typical operation.
To better represent and measure the effects of cyclic behavior in
the proposed new appendix CC1, DOE reassessed and reallocated the
existing 750 cooling mode operating hours to the 95 [deg]F and 83
[deg]F test conditions, taking in to account the expected off-cycle
mode hours that correspond to the cooling mode hours at the 83 [deg]F
test condition. To do so, DOE divided the 750 ``compressor on'' cooling
mode hours between the two test conditions based on the Temperature Bin
Hours from Table 16, titled ``Fractional Bin Hours to Be Used in
Calculation of SEER'' in AHRI 210/240. DOE considered the AHRI 210/240
fractional bin hours allocation because it is widely accepted by
industry as applicable for air conditioning equipment and because it is
the source of the building load calculation that DOE proposes to use to
calculate the expected cooling load for portable ACs. DOE summed the
fractional hours for the closest temperature bins to each cooling mode
test condition--bins 6, 7, and 8 for the 95 [deg]F test condition, and
bins 4 and 5 for the 83 [deg]F cooling mode test condition--and then
normalized the weighting factors by dividing those fractional hours by
the total number of fractional hours used from the table. This resulted
in weighting factors of 14 percent and 86 percent (see section III.5.c
of this document) for the 95 [deg]F and 83 [deg]F cooling mode test
conditions, respectively. DOE excluded bins 1-3 because these bins fall
below the indoor test condition temperature of 80 [deg]F, indicating
that they are outside of the most representative use period for
portable ACs. Multiplying these weighting factors by 750 hours yielded
a split of those cooling mode hours into 164 hours and 586 hours for
the 95 [deg]F and 83 [deg]F cooling mode test conditions, respectively,
for single-speed units.

Table III.1--Calculation of Weighting Factors From AHRI 210/240 Fractional Bin Hours
----------------------------------------------------------------------------------------------------------------
Percent of total used
Bin No. Bin Fractional bin Sum of fractional fractional hours
temperature hours hours (weighting factors)
----------------------------------------------------------------------------------------------------------------
1................................. 67 0.214 Not Used............. N/A
2................................. 72 0.231
3................................. 77 0.216
4................................. 82 0.161 0.265................ 78
5................................. 87 0.104
6................................. 92 0.052 0.074................ 22
7................................. 97 0.018
8................................. 102 0.004
----------------------------------------------------------------------------------------------------------------

DOE estimated off-cycle mode hours for single-speed units as
follows: Based on the AHRI 210/240 Building Load Calculation found in
section 11.2.1.2 of that standard, single-speed units operate under a
reduced load equal to 60 percent of the full cooling load. Therefore,
at the reduced load, a single-speed unit would be expected to operate
in cooling mode (i.e., compressor on) for 60 percent of that time and
off-cycle mode (i.e., compressor off) for the remaining 40 percent of
that time. Accordingly, because the 586 cooling mode (compressor on)
hours assigned to the 83 [deg]F cooling mode test condition represent
60 percent of the total operating hours in reduced load conditions, DOE
estimates that there are 977 total operating hours at the 83 [deg]F
cooling mode test condition (i.e., including both cooling mode and off-
cycle mode). This is the sum of the 586 cooling mode hours at the 83
[deg]F cooling mode test condition, calculated above, and 391 hours,
representing the off-cycle mode hours (calculated as 977 hours x 0.40).
Because variable-speed portable ACs are not expected to enter off-cycle
mode at the 83 [deg]F test condition, the proposed cooling mode hours
at the 83 [deg]F test condition represent the total variable-speed
operating hours at the 83 [deg]F test condition (i.e., 977 hours).
Appendix CC currently allocates 1,355 hours to off and inactive
modes. To account for cyclic behavior, or the avoidance of it, DOE
proposes to increase this to reflect hours currently considered as part
of off-cycle mode. DOE estimated updated off/inactive mode hours for
the proposed new appendix CC1 as follows: appendix CC currently
allocates 880 hours to off-cycle mode. As described previously, under
the proposed new appendix CC1, DOE proposes to allocate 391 hours to
off-cycle mode for single-speed units based on estimates derived from
the AHRI 210/240 Building Load

[[Page 34946]]

Calculation.\10\ In the May 2015 NOPR, DOE determined that portable ACs
spend 2,985 hours per year plugged in. Because the total number of
hours spent plugged in would not change with the revised number of off-
cycle mode hours, DOE proposes to re-allocate the difference between
the current and proposed off-cycle mode hours--489 hours--to off/
inactive mode in the proposed new appendix CC1, yielding a total of
1,844 hours for off/inactive mode (i.e., the sum of 1,355 and 489). DOE
maintains that the analysis used for the appendix CC was based on the
best available data for portable AC operation, although it does not
take into account cyclic behavior. DOE is proposing these changes to
the operating hours in the new appendix CC1 to account for cyclic
behavior (or the avoidance of it) in all units, which would improve
test procedure representativeness overall.
---------------------------------------------------------------------------

\10\ As discussed, for variable-speed units, these 391 hours are
allocated to cooling mode hours at the 83 [deg]F test condition.
---------------------------------------------------------------------------

Table III.2 summarizes the annual operating hours for portable ACs
under current appendix CC and the proposed new appendix CC1.

Table III.2--Annual Operating Hours for Portable ACs
------------------------------------------------------------------------
Proposed new
Operating mode Appendix CC appendix CC1
------------------------------------------------------------------------
Cooling Mode, 95 [deg]F........... \1\ 750 164.
Cooling Mode, 83 [deg]F........... \1\ 750 586 (Single-Speed).
977 (Variable-
Speed).
Off-Cycle Mode.................... 880 391 (Single-Speed).
0 (Variable-Speed).
Off/Inactive Mode................. 1,355 1,844.
------------------------------------------------------------------------
\1\ These operating mode hours are for the purposes of calculating
annual energy consumption under different ambient conditions and are
not a division of the total cooling mode operating hours. The total
dual-duct cooling mode operating hours are 750 hours.

Appendix CC
As discussed previously, DOE is not proposing to change the annual
operating hours in appendix CC.
Appendix CC1
DOE proposes to adopt in the new appendix CC1 the operating hours
shown in Table III.2 of this document.
DOE requests comment on the proposal to amend the operating hours
in the proposed new appendix CC1 as shown in Table III.2 of this
document.
c. Configurations
The current portable AC test procedure in appendix CC addresses two
configurations of portable ACs: dual-duct and single-duct. Appendix CC
currently requires that portable ACs able to operate as both a single-
duct and dual-duct portable AC, as distributed in commerce by the
manufacturer, must be tested and rated for both duct configurations.
Section 3.1.1 of appendix CC.
In the April 2021 RFI, DOE requested feedback regarding single-duct
and dual-duct portable AC test requirements and any other relevant
considerations to ensure that the test procedures produce
representative results for both configurations, including products that
operate in both configurations, as distributed in commerce by the
manufacturer. 86 FR 20044, 20048-20049.
NEEA recommended that DOE maintain the requirement for products
that can operate as both dual-duct and single-duct portable ACs to be
tested in both configurations. NEEA stated that, given the difference
in performance between single-duct and dual-duct products, if a product
can be configured as single duct, it should be tested in this
configuration. (NEEA, No. 12 at p. 3)
In this NOPR, DOE is not proposing any amendments to the
configurations addressed by the test procedure in appendix CC and
proposes to adopt the same requirements in the new appendix CC1.
DOE requests comment on the proposal to adopt in the new appendix
CC1 the requirement that portable ACs able to operate as both a single-
duct and dual-duct portable AC, as distributed in commerce by the
manufacturer, must be tested and rated for both duct configurations.
5. Cooling Mode
a. Test Conditions
Section 4 of appendix CC measures cooling capacity and overall
power input in cooling mode using one test condition for single-duct
units and two test conditions for dual-duct units. For single-duct
units, the test procedure specifies an 80 [deg]F dry-bulb/67 [deg]F
wet-bulb condenser (``outdoor'') inlet air test condition. For dual-
duct units, configuration A specifies a 95 [deg]F dry-bulb/75 [deg]F
wet-bulb outdoor test condition and configuration B specifies an 83
[deg]F dry-bulb/67.5 [deg]F wet-bulb outdoor test condition. See
Section 4.1 of appendix CC.
The California IOUs commented that the portable AC test procedure
is the only test procedure that uses a low-load, outdoor test condition
of 83 [deg]F dry-bulb/67.5 [deg]F wet-bulb; all other residential AC
test procedures use a low-load condition of 82 [deg]F dry-bulb/65
[deg]F wet-bulb. The California IOUs suggested that DOE change the low-
load condition for the portable AC test procedure to 82 [deg]F dry-
bulb/65 [deg]F wet-bulb. (California IOUs, No. 10 at p. 4)
Rice suggested that DOE consider dry-bulb temperature conditions of
82, 87, and 95 [deg]F, instead of the current 83 and 95 [deg]F
conditions, to represent temperature bins of 80 to 85 [deg]F, 85 to 90
[deg]F, and 90 to 100 [deg]F, respectively, along with suitable AHRI
210/240 fractional hours and cooling loads at these three temperatures.
According to Rice, this would provide more comparability with the room
AC test procedure conditions and would better represent the performance
non-linearity with ambient conditions for variable-speed products. To
avoid the need to retest single-speed portable AC units to these new
conditions, Rice asserted that performance at 82 and 87 [deg]F could be
extrapolated and interpolated from existing 83 and 95 [deg]F single-
speed portable AC test data. (Rice, No. 11 at pp. 2-3)
As described in the supplemental NOPR published November 27, 2015,
and confirmed in the June 2016 Final Rule, the low-load test condition
of 83 [deg]F dry-bulb/67.5 [deg]F wet-bulb reflects the national
weighted-average temperature and humidity observed during the hottest
750 hours (the hours during which DOE expects portable ACs to operate
in cooling mode). DOE

[[Page 34947]]

determined these values based on its analysis of hourly ambient
temperature data from the National Climatic Data Center of the National
Oceanic and Atmospheric Administration collected at weather stations in
44 representative states, combined with its analysis of the 2009
Residential Energy Consumption Survey (``RECS'') to identify room AC
ownership \11\ in the different geographic regions. Based on the RECS
ownership data and weather data, DOE used a weighted-average approach
to combine the average temperature and humidity for each individual
state into sub-regional, regional, and finally, the representative
national average temperature and humidity for the hottest 750 hours in
each state. DOE found that the national average dry-bulb temperature
and relative humidity associated with the hottest 750 hours are 83
[deg]F and 45 percent, respectively (corresponding to a wet-bulb
temperature of 67.5 [deg]F). 80 FR 74020, 74026; 81 FR 35241, 35250.
DOE maintains that this analysis yields the most representative
operating periods for portable ACs.
---------------------------------------------------------------------------

\11\ DOE uses room AC data because RECS has no portable AC data.
DOE has previously stated that room ACs and portable ACs differ from
each other in that they have different installation means, and that
they induce different amounts of outdoor air infiltration heat and
other unwanted heat transfer to the conditioned space. 86 FR 20044,
20047. However, room ACs and portable ACs have similar use cases
(i.e., both products provide seasonal cooling) such that in the
absence of data for portable ACs, the ownership data and weather
data for room ACs is sufficiently applicable to analysis of portable
AC cooling mode.
---------------------------------------------------------------------------

In response to Rice's suggestions, the addition of a third test
condition would increase test burden by 50 percent for all models. This
increase in test burden would not be justifiable, as the additional
test condition between the two current test conditions would not
provide significantly more information on the performance of portable
ACs. Based on past modeling that explored the impact of adjusted
outdoor test conditions on air conditioner performance, DOE expects
that performance at intermediate temperatures is relatively linear
between the two temperature data points, resulting in minimal
difference in weighted-average performance if an intermediate
temperature data point is included. Furthermore, an additional test
condition would not provide full comparability with the room AC test
procedure, which, as previously discussed, has four test conditions for
variable-speed units and one test condition for single-speed units.
Extrapolating/interpolating performance at three test conditions based
on the existing test conditions increases the complexity of the test
procedure without benefit, as the extrapolated/interpolated data points
would be based on the same data currently being used in the portable AC
test procedure.
AHAM PAC-1-2022 Draft specifies the same test conditions for
single-speed units as the current appendix CC and, for variable-speed
units, AHAM PAC-1-2022 Draft specifies the same test conditions as the
test procedure waivers and as proposed in this NOPR.
DOE proposes to adopt AHAM PAC-1-2022 Draft in the new appendix
CC1, and, by extension, the test conditions contained therein. In
revisions to the appendix CC, DOE is not proposing to change the test
conditions for single-speed portable ACs. Consistent with the LG Waiver
and Midea Interim Waiver, DOE is proposing to adopt multiple test
conditions for variable-speed portable ACs: two for single-duct models
and three for dual-duct models.
DOE requests comment on the proposal to add variable-speed test
conditions in appendix CC consistent with the LG Waiver and Midea
Interim Waiver while otherwise retaining the current test conditions,
and to adopt the AHAM PAC-1-2022 Draft test conditions in the proposed
new appendix CC1.
b. Achieving Compressor Speeds
The alternate test procedure specified in the LG Waiver requires
both the full and low compressor speeds to be achieved using special
instructions and settings provided by the manufacturer to DOE and
laboratories. 85 FR 33643, 33651. The alternate test procedure
specified in the Midea Interim Waiver requires the full compressor
speed to be achieved by using user controls (``native controls'') with
the thermostat setpoint set at 75 [deg]F, and the low compressor speed
to be achieved using manufacturer settings. 86 FR 17803, 17808-17809.
Consistent with that approach, AHAM PAC-1-2022 Draft specifies using
native controls to achieve the full compressor speed, and using
instruction and settings provided by the manufacturer to laboratories
to achieve the low compressor speed.
Using native controls to achieve the full compressor speed would
ensure that the measured full speed is representative of real-world
operation but is impractical. The only way to reach reduced compressor
speeds using native controls during testing would be with load-based
tests, which DOE has tentatively concluded are impractical for portable
ACs at this time, as discussed in section III.5.g of this document.
Therefore, to improve representativeness, DOE is proposing that for
variable-speed portable ACs, in both appendix CC and the proposed new
appendix CC1, the full compressor speed be achieved by using native
controls with the thermostat setpoint set at 75 [deg]F and the low
compressor speed to be achieved using instructions and settings
provided by the manufacturer to DOE and laboratories. This proposal is
consistent with the alternate test procedure specified in the Midea
Interim Waiver and with AHAM PAC-1-2022 Draft. This is a change from
the procedure specified in the LG Waiver and would require retesting of
the models listed in that waiver.
DOE proposes to adopt AHAM PAC-1-2022 Draft in the new appendix
CC1, and, by extension, the compressor speed requirements contained
therein. In revisions to the appendix CC, DOE is proposing to adopt the
native control and manufacturer setting approach set forth in the Midea
Interim Waiver.
DOE requests comment on the proposal to add compressor speed
requirements in appendix CC consistent with the Midea Interim Waiver,
and to adopt the AHAM PAC-1-2022 Draft compressor speed requirements in
the proposed new appendix CC1.
c. Seasonal Adjusted Cooling Capacity
Under the current test procedure, a unit's SACC, in Btu/h, is
calculated as a weighted average of the adjusted cooling capacity
measured at the two specified operating conditions (i.e., 95 [deg]F and
83 [deg]F). Under appendix CC, full-load operation is used to measure
each test condition,\12\ such that the SACC reflects full-load
operation at both test conditions. The LG Waiver and Midea Interim
Waiver change the operating condition at the 83 [deg]F condition to use
the ``low'' compressor speed (i.e., part-load performance) instead.
Accordingly, the SACC for the models subject to the LG Waiver and Midea
Interim Waiver reflects full-load operation at the 95 [deg]F condition
and part-load operation at the 83 [deg]F condition. DOE required this
approach in the test procedure waivers because it yields a more
representative measure of capacity. However, DOE proposes in this NOPR
to test variable-speed portable ACs at full-load operation at

[[Page 34948]]

each test condition for the purpose of measuring SACC, which would
differ from the alternate test procedure required under the LG Waiver
and the Midea Interim Waiver, for the reasons that follow.
---------------------------------------------------------------------------

\12\ Appendix CC is a constant temperature test, in which the
portable AC begins cooling the ``indoor'' chamber of a psychrometric
chamber with the thermostat setpoint set to the lowest possible
value. Reconditioning equipment maintains the indoor chamber
temperature at 80 [deg]F, such that the portable AC is never able to
cool the room to the thermostat set temperature. In this test setup,
the portable AC will run at full compressor speed indefinitely, it
will not reduce compressor speed or cycle the compressor off.
---------------------------------------------------------------------------

In response to the Midea Interim Waiver, Midea reiterated its
recommendation to determine Adjusted Cooling Capacity (``ACC'') at the
83 [deg]F test condition with the compressor operating at full speed,
which Midea asserted should be used to calculate SACC in accordance
with Section 5.2 of appendix CC. Midea suggested that if the ACC at the
83 [deg]F test condition with the compressor operating at low speed is
used in calculating SACC, the SACC would be underreported compared to
single-speed units that would be used in the same applications. Midea
requested that the full compressor speed be specified for both test
conditions for the purposes of calculating SACC. (Midea, Midea Petition
for Waiver, No. 9 at pp. 1-4) \13\
---------------------------------------------------------------------------

\13\ A notation in the form ``Midea, Midea Petition for Waiver,
No. 9 at pp. 1-2'' identifies a written comment: (1) Made by Midea;
(2) recorded in document number 9 that is filed in the docket of the
Midea Petition for Waiver from Portable Air Conditioners Test
Procedure (Docket No. EERE-2020-BT-WAV-0023) and available for
review at <a href="http://www.regulations.gov">www.regulations.gov</a>; and (3) which appears on pages 1 and
2 of document number 9.
---------------------------------------------------------------------------

Currently, SACC for single-speed portable ACs is based in appendix
CC on full-load operation at the low (83 [deg]F) test condition, while
the LG Waiver and Midea Interim Waiver require SACC for the specified
basic models of variable-speed portable ACs to be based on part-load
operation (i.e., low compressor speed) at the low test condition. As a
result, DOE agrees with Midea that the SACC values for the variable-
speed models tested using the waiver test procedure are not directly
comparable to the SACC values of single-speed units tested pursuant to
appendix CC. Generally, operating at part-load yields a lower measured
capacity; therefore, the SACC values for the subject variable-speed
models are lower than the SACC values for otherwise identical single-
speed models. DOE understands that cooling capacity is one of the
primary metrics that manufacturers advertise to consumers. The
approaches required under the existing waivers, by resulting in
comparatively lower SACC values for the subject variable-speed models,
may limit the comparability of the performance between single-speed
models and the variable-speed models subject to the LG Waiver and Midea
Interim Waiver.
Although DOE proposes to change how to measure SACC in appendix
CC1, in appendix CC, DOE is proposing to maintain the Midea Interim
Waiver approach of determining SACC using the low compressor speed to
represent part-load operation at the 83 [deg]F outdoor temperature test
condition but adding another metric, SACC<INF>Full</INF>, to facilitate
consumer comparisons. DOE expects that portable ACs will typically
encounter reduced cooling loads when the outdoor temperature is 83
[deg]F, based on the building load calculation found in Section
11.2.1.2 of AHRI 210/240. Therefore, the cooling capacity more
representative of the average period of use includes reduced compressor
speed operation at the 83 [deg]F outdoor temperature condition.
However, DOE understands variable-speed portable AC manufacturers have
an interest in the ability to make representations of cooling capacity
based on full-compressor speed at the 83 [deg]F outdoor temperature
test condition, comparable to how single-speed units are tested in
appendix CC. Therefore, DOE proposes to require in appendix CC that
manufacturers of variable-speed portable ACs base representations of
cooling capacity on an additional new metric, SACC<INF>Full</INF>,
using full compressor speed performance to calculate
SACC<INF>Full</INF> at the low test condition. This additional metric
would provide consumers with comparable capacity ratings for variable-
speed and single-speed portable ACs while appendix CC is in use.
For the proposed new appendix CC1, DOE proposes to account for
cyclic behavior in both single-speed and variable-speed units by
modifying the SACC calculation to factor in reduced capacity from part-
load operation at the low (83 [deg]F) test condition. This change would
align all models with the waiver approach to variable-speed SACC. For
single-speed units, the test at the low test condition would still be
performed at full load, but the resulting cooling capacity would be
multiplied by a load factor defined as 0.6 for single-duct units and
0.5363 for dual-duct units.\14\ These adjustments would account for
cooling capacity lost due to compressor cycling under reduced cooling
loads, which DOE expects portable ACs will typically encounter when the
outdoor temperature is 83 [deg]F, as discussed previously. This
approach would result in reduced SACC values for single-speed portable
ACs relative to those calculated by the current test procedure at
appendix CC. This would also result in comparable SACC values between
single-speed and variable-speed portable ACs, eliminating any need in
appendix CC1 for the adjusted SACC<INF>Full</INF> proposed for appendix
CC.
---------------------------------------------------------------------------

\14\ While dual-duct and single-duct portable ACs experience the
same load at 83 [deg]F, dual-duct units experience an increase in
cooling capacity as outdoor process air temperatures decrease due to
the cooler outdoor air being more effective at removing heat from
the condenser. Single-duct units do not experience this increase
because the air entering the condenser is always the same indoor air
temperature of 80 [deg]F. This cooling capacity increase allows
dual-duct portable ACs to remove heat from rooms more quickly at the
83 [deg]F outdoor temperature condition, thus leading to less time
with the compressor on. DOE used thermodynamic modeling to measure
the expected capacity change for dual-duct portable ACs between the
95 [deg]F and 83 [deg]F test conditions and used this to confirm the
AHAM PAC-1-2022 Draft adjustment of the cooling load factor for
dual-duct portable ACs from 60 percent of full load operation at a
95 [deg]F outdoor temperature to 53.63 percent of full load
operation at an 83 [deg]F outdoor temperature.
---------------------------------------------------------------------------

Appendix CC
DOE is proposing to maintain the current SACC calculation for
single-speed units in the revised appendix CC. DOE also proposes that
the SACC for variable-speed units be calculated using the low
compressor speed at the 83 [deg]F test condition in appendix CC
consistent with the previously granted LG Waiver and Midea Interim
Waiver. DOE also proposes to require manufacturers to represent cooling
capacity with a new metric, SACC<INF>Full</INF>, for variable-speed
portable ACs, using the full compressor speed at the 83 [deg]F test
condition.
Appendix CC1
DOE is proposing to adopt an updated approach in calculating SACC,
for variable-speed units, using the measured cooling capacity at the 83
[deg]F test condition using the low compressor speed, aligning with the
waiver approach, and for single-speed units, multiplying the measured
cooling capacity at the 83 [deg]F test condition by a load factor of
0.6 for single-duct units and 0.5363 for dual-duct units.
DOE requests comment on the proposal to maintain in the revised
appendix CC the current SACC calculation for single-speed units and to
adopt a SACC calculation consistent with the test procedure waivers for
variable-speed units for the purposes of determining CEER. DOE also
requests comment on the proposal to require manufacturers of variable-
speed units to represent cooling capacity using a new metric,
SACC<INF>Full</INF>, based on full load performance at the low
temperature condition. DOE further requests comment on the proposal to
adopt an updated SACC calculation for single-speed units and variable-
speed units that accounts for reduced cooling load

[[Page 34949]]

at the 83 [deg]F test condition in the proposed new appendix CC1.
d. Weighting Factors
The current portable AC test procedure calculates SACC and CEER as
weighted averages of the results of various calculations, based on the
measured capacity and power values at the two portable AC test
conditions, representing outdoor temperatures of 95 [deg]F and 83
[deg]F. Both equations use weighting factors of 0.2 and 0.8 for the two
test conditions, respectively. See Section 5.4 of appendix CC.
Rice and the Joint Commenters stated that these current weighting
factors potentially underweight performance at 95 [deg]F and overweight
performance at 83 [deg]F by not taking into account that the cooling
provided during operation at 95 [deg]F is significantly greater than
during operation at 83 [deg]F. They encouraged DOE to reevaluate the
weighting factors used in the portable AC test procedure. (Rice, No. 11
at pp. 2-3; Joint Commenters, No. 9 at p. 3) Rice suggested deriving
cycling loss factors using a building load calculation starting with
full load at 95 [deg]F and decreasing to zero load at 65 [deg]F. This
is similar to what is done in AHRI 210/240, except for the assumption
of full load at 95 [deg]F as opposed to altering the calculated full-
load temperature based on test unit capacity. According to Rice, this
would result in weighting factors of 0.27 and 0.73 for the 95 [deg]F
and 83 [deg]F conditions, respectively. Rice suggested that the 0.8 and
0.2 fractional hours in Section 5.2 of appendix CC were originally
derived by considering the hottest 750 hours in relevant regions around
the country, combined with related RECS data. Rice stated that while
the conditions and weighting appear to be based on the hottest 750
hours during the cooling season, the total seasonal cooling amount will
be delivered over a wider range of ambient temperatures by matching the
lower cooling loads, either by cycling or by variable-speed matching.
As such, Rice argued that the assumption that portable ACs operate
during the hottest 750 hours in each region seems inappropriate. Rice
stated that if DOE decides to move away from assumption of the hottest
750 hours, DOE should consider for those fractional hours the 95, 87,
and 82 [deg]F test condition approach described above, with weighting
factors of 0.28, 0.33, and 0.39, respectively, per AHRI 210/240 binned
data sets. (Rice, No. 11 at pp. 2-3)
The CEER weighting factors are used to calculate the fractional
contribution of CEER at each test condition relative to the average
representative period of portable AC use, based on cooling provided and
estimated cooling mode operating hours at each test condition. As
discussed in section III.B.5.a of this document, DOE derived the
weighting factors in the current appendix CC from a geographically
weighted average of operating hours best represented by each test
condition, based on the 2009 RECS data. The test conditions for which
the weightings were determined represent peak performance (i.e., the 95
[deg]F test condition) and the weighted-average temperature and
humidity observed during the hottest 750 hours, the hours during which
DOE expects portable ACs are most likely to operate in cooling mode
(i.e., the 83 [deg]F test condition). 81 FR 35242, 35252 (Jun. 1,
2016). Because DOE is proposing in the new appendix CC1 to change the
portable AC operating hours estimate from a RECS-based estimate to an
estimate based on the bin operating hours and building load calculation
from AHRI 210/240, DOE is proposing similar changes to the weighting
factors in the proposed new appendix CC1 to maintain internal
consistency.
In determining the proposed new appendix CC1 weighting factors, DOE
considered the portion of the proposed appendix CC1 total cooling mode
and off-cycle mode hours spent at each temperature condition (see Table
III.2 in section III.4.b of this document)--14.4 percent of the total
cooling mode hours are allocated to the 95 [deg]F test condition and
85.6 percent to the 83 [deg]F test condition. DOE is proposing to adopt
these weighting factors for SACC only in the new appendix CC1. To avoid
changing the SACC relative to the current values, DOE is not proposing
changes to the SACC or CEER calculations in appendix CC to match these
updated weighting factors, which were the basis for determining the
energy conservation standards that are effective in January 2025, as
discussed above. Therefore, DOE is proposing that the modified
weighting factors be adopted only in the new appendix CC1.
Specifically, DOE is proposing to adjust the weighting factors for the
two test conditions, in accordance with the changes to the operating
hours, to 0.144 for the 95 [deg]F test condition and 0.856 for the 83
[deg]F test condition.
DOE requests comment on the proposed weighting factors in the
proposed new appendix CC1 (0.144 for the 95 [deg]F test condition and
0.856 for the 83 [deg]F test condition).
e. Cycling Losses
Historically, portable ACs have been designed using a single-speed
compressor, which operates at full cooling capacity while the
compressor is on. When the required cooling load in a space is less
than the full cooling capacity of the unit, a single-speed compressor
cycles on and off. This cycling behavior introduces inefficiencies
often referred to as ``cycling losses.'' In addition, single-speed
portable ACs may experience inefficiencies by continuing to operate the
blower fan during compressor off periods after the evaporator coils
have warmed to the point that any further fan operation does not
contribute to the unit's overall cooling capacity. These two types of
inefficiencies occur only for single-speed portable ACs; as discussed
in the April 2021 RFI, variable-speed ACs avoid such inefficiencies
because their compressors run continuously, adjusting their speeds as
required to match the cooling load. 86 FR 20044, 20050-20051.
Cycling losses associated with single-speed compressors are not
currently accounted for in appendix CC. In the LG Waiver, DOE addressed
the cycling of a single-speed compressor as part of a ``performance
adjustment factor'' (``PAF''). As established in the LG Waiver, the PAF
represents the average performance improvement of the variable-speed
unit relative to a theoretical comparable single-duct single-speed
unit, resulting from the variable-speed unit's avoiding cycling losses
associated with the lower temperature test condition. 85 FR 33643,
33646. The Midea Interim Waiver similarly requires use of a PAF. 86 FR
17803, 17819-17820.
In the April 2021 RFI, DOE requested further information and data
on efficiency losses associated with single-speed compressor cycling at
part-load conditions. DOE also requested comment on the incorporation
of the current waiver approach to determine variable-speed portable AC
efficiency, based on a PAF representing the performance improvement
relative to a single-speed portable AC resulting from elimination of
cycling losses. 86 FR 20044, 20050-20051.
Rice, the Joint Commenters, and the California IOUs encouraged DOE
to account for cycling losses in the portable AC test procedure to
provide an accurate comparison of single-speed and variable-speed
compressor performance. (Rice, No. 11 at p. 3; Joint Commenters, No. 9
at pp. 2-3; California IOUs, No. 10 at pp. 1-2)
The Joint Commenters and the California IOUs stated that, in
calculating the performance of a ``theoretical comparable'' single-
speed unit, the LG Waiver and Midea Interim Waiver for variable-speed
portable ACs

[[Page 34950]]

include an assumed cycling loss factor for single-speed units to
capture the benefits of variable-speed units in reducing cycling
losses. They further commented that, in the Midea Interim Waiver, DOE
modified the cycling loss factor to reflect load-based testing of two
single-speed room AC units at reduced cooling loads. (Joint Commenters,
No. 9 at pp. 2-3; California IOUs, No. 10 at pp. 1-2) Rice and the
Joint Commenters encouraged DOE to provide the basis for determining an
appropriate cycling loss factor through the use of load-based testing,
stating that there are likely differences related to cycling losses
between room AC and portable AC designs. (Rice, No. 11 at p. 3; Joint
Commenters, No. 9 at pp. 2-3) The California IOUs requested that DOE
evaluate the cycling loss factor for a selection of single-duct and
dual-duct portable ACs to determine the appropriate cycling loss factor
to be used in the updated test procedure, but did not explicitly
request that this be evaluated through the use of load-based testing.
(California IOUs, No. 10 at pp. 1-2)
Rice also stated that, to date, the cooling degradation
coefficients (``Cds'') proposed by DOE for portable ACs have been
derived from load-based tests performed on single-speed room ACs, but
asserted that there are likely various differences related to cycling
losses between room AC and portable AC designs. Rice stated that no
information was provided in those tests on how the fans were operated
during the compressor off-cycles. Rice requested that this information
should be reported and should be consistent with how these models will
operate in the field at the rated control settings, asserting that fan
operation can significantly affect Cd levels due to the fan power usage
with minimal or no cooling output. (Rice, No. 11 at p. 3)
DOE conducted investigative testing of portable ACs to determine a
representative cycling loss adjustment factor specifically for portable
ACs. DOE aimed to calculate the difference in efficiency for single-
speed portable ACs when tested under full-load constant load conditions
and part-load cycling load conditions, while focusing on just the
cycling losses and not fan operation in off-cycle mode. Load-based
testing was infeasible for portable ACs with the equipment and
facilities used in the investigative testing. Instead, DOE performed
cyclic tests, which triggered single-speed portable AC cycling by
remotely adjusting the setpoint of the test unit in a cyclic pattern
while it was in the test chamber, simulating the behavior of the unit
when the room temperature reaches the unit setpoint. DOE conducted
tests on five units with two different test lengths, 10 minutes and 30
minutes, to account for real-world variations in unit capacity and room
size. In the 30-minute test, the unit operated for roughly 16 minutes
and cycled off for 14 minutes, approximating a 53 percent cooling load.
In the 10-minute test, the unit operated for roughly 5.5 minutes and
cycled off for 4.5 minutes, approximating a 55 percent cooling load.
Table III.3 shows the relative difference in energy use during cyclic
operation in comparison to energy use when operating continuously,
expressed as a percentage.
As shown in Table III.3, on average, the portable ACs that were
tested performed at 81.9 percent of the efficiency when operating
cyclically compared to when operating continuously, not counting energy
lost to fan operation in off-cycle mode.

Table III.3--Relative Efficiency During Cycling Operation Compared to
Continuous Operation
------------------------------------------------------------------------
Test length 30 min 10 min
------------------------------------------------------------------------
Unit 1.................................. 86% \1\
Unit 2.................................. 80% 84%
Unit 3.................................. 81% 84%
Unit 4.................................. 79% 82%
Unit 5.................................. 76% 82%
-------------------------------
Combined Avg............................ 81.9%
------------------------------------------------------------------------
\1\ The 10-minute test was not performed on Unit 1 due to limited test
laboratory availability.

Based on these test results, DOE proposes to use 0.82 as the
cycling factor (CF), representing that a cycling unit is 82 percent as
efficient as a unit which does not cycle, not accounting for any power
consumed during off-cycle mode.
Appendix CC and Appendix CC1
DOE is proposing to account for cycling losses in the amended
appendix CC by comparing variable-speed unit performance to that of a
theoretical comparable single-speed unit, using the test procedure
waiver approach, as previously discussed. Based on DOE's investigative
testing, the proposed CF for the theoretical comparable single-speed
unit in appendix CC would be 0.82.
In the proposed new appendix CC1, DOE would account for cycling
losses directly in the single-speed portable AC CEER calculation, using
the same CF proposed for appendix CC, 0.82.
DOE requests comment on the proposal to adopt a CF of 0.82 based on
DOE's investigative testing, in appendix CC and in the proposed new
appendix CC1.
f. Energy Efficiency Calculations
The current portable AC test procedure at appendix CC represents
efficiency using CEER, an efficiency metric calculated as the weighted
average of the condition-specific CEER values, including the annual
energy consumption in cooling mode, off-cycle mode, and off or inactive
mode. The alternate test procedures in the LG Waiver and Midea Interim
Waiver adjusts the CEER metric in the test procedure to address the
cycling of a single-speed compressor through a PAF. The PAF, which
represents the average performance improvement of the variable-speed
unit relative to a theoretical comparable single-duct single-speed unit
at reduced operating conditions, is applied to the measured variable-
speed unit efficiency. This approach increases the measured efficiency
of a variable-speed portable AC relative to the measured efficiency of
single-speed portable ACs. This approach reasonably represents the
efficiency of a variable-speed portable AC relative to a single-speed
portable AC as currently measured in accordance with appendix CC, and
maintains compatibility with the existing portable AC standards.
Therefore, DOE proposes to adopt in appendix CC the general approach
from the LG Waiver and Midea Interim Waiver to determine variable-speed
portable AC efficiency.

[[Page 34951]]

However, DOE recognizes that the waiver approach only indirectly
addresses cycling losses and does not consider the effect on a single-
speed unit's performance of cycling losses from operating at reduced
conditions. A more representative approach would be to apply the
cycling losses to a single-speed portable AC's performance directly,
and to make no such modifications to the measured variable-speed
portable AC efficiency. Such an approach would require no calculation
of a comparable theoretical single-speed portable AC and would no
longer require a PAF. DOE notes that this general approach has been
adopted in AHAM PAC-1-2022 Draft and, in the interest of adopting a
simpler and most representative test procedure, DOE proposes to adopt
such an approach in the proposed new appendix CC1.
Section 5.4 of appendix CC currently specifies the equations for
calculating CEER for both single-duct and dual-duct portable ACs. In
each equation, the final CEER value is calculated as a weighted average
of performance at each test condition (as applicable for the
configuration):
[GRAPHIC] [TIFF OMITTED] TP08JN22.000

DOE received comments on the CEER equations in response to the
April 2021 RFI. Rice suggested that the equation for CEER should be
revised with the weighting factors as he recommended. Rice also urged
DOE to use his recommended CEER equation for both variable-speed and
single-speed portable ACs, which he asserted best represents the
cooling season performance difference between variable-speed and
single-speed portable AC units, as follows:
[GRAPHIC] [TIFF OMITTED] TP08JN22.001

The equation suggested by Rice aims to produce an efficiency metric
that that is simply total cooling provided divided by total power
consumption, utilizing the CEER values for each test condition as
determined in accordance with appendix CC. Although DOE agrees that the
approach of representing efficiency as total cooling provided divided
by total power consumption is appropriate for portable ACs, DOE has
tentatively determined that Rice's specific approach is not. At low and
negative CEER<INF>95</INF> values, the overall CEER is
unrepresentatively driven to extreme high or low values due to the
asymptotic behavior of the equation. In past testing, DOE has observed
very small or negative CEER<INF>95</INF> values in single-speed
portable ACs, particularly in single-duct configurations. DOE has
observed values as low as -3.76 Btu/Wh and has tested at least 11 units
with values that fall between -2 and +2 Btu/Wh, within the range of
concern for Rice's approach. Although other residential AC products
typically provide net cooling to the conditioned space, two factors can
lead to such low CEER<INF>95</INF> values for portable ACs. Portable
ACs lose cooling capacity to infiltration air and duct heat transfer,
both of which appendix CC includes provisions to measure As shown in
Figure 1, under the Rice suggested equation, the overall CEER can
change drastically when CEER<INF>95</INF> becomes small or negative,
producing unrealistic values, which is not the case for the weighted-
average approach currently implemented in appendix CC. Figure 1
provides an example of the impact on overall CEER when
CEER<INF>95</INF> ranges from -5 to 5 Btu/Wh for both Rice's suggested
approach and the current weighted-average appendix CC approach.

[[Page 34952]]

[GRAPHIC] [TIFF OMITTED] TP08JN22.002

For appendix CC1, based on comments from Rice and re-examination of
the current CEER metric, DOE developed a new portable AC efficiency
metric based on a ratio of annual cooling provided to annual energy
consumed. This approach reflects EPCA requirements. First, DOE design
the test procedure to produce test results which measure energy
efficiency during a representative period of use. (42 U.S.C.
6293(b)(2)) Second, EPCA defines energy efficiency as ``the ratio of
the useful output of services from a consumer product to the energy use
of such product . . .'' (42 U.S.C. 6291(5)) The ratio of annual cooling
provided to annual energy consumed would best reflect the efficiency of
portable ACs during a full year of use by directly accounting for the
efficiency of each mode in accordance with the number of operating
hours spent in that mode. The two values would be calculated as
follows.
The total cooling provided by a portable AC over the course of the
year, in Btu, is equivalent to the average rate of cooling provided at
each temperature condition, in Btu/h, multiplied by the number of hours
operating at that test condition.
The total annual energy consumption of a portable AC, in kilowatt-
hours (``kWh''), is equal to the sum of the average power consumed in
each mode multiplied by the amount of time spent in that mode.
DOE tentatively concludes it is appropriate to deviate from AHAM
PAC-1-2022 Draft because at an 83 [deg]F outdoor temperature condition,
part-load, rather than full-load operation, reflects an average period
of use. AHAM PAC-1-2022 Draft includes a term in the CEER calculation
representing the portable AC performance at full load with an 83 [deg]F
outdoor temperature condition. The proposed CEER calculations in
appendix CC and appendix CC1 do not. Although this is a test condition
in the proposed new appendix CC1, part-load operation is most
representative of portable AC operation at the 83 [deg]F outdoor
temperature condition, based on the building load calculation found in
AHRI 210/240. Therefore, DOE is proposing to include only low-speed
variable-speed compressor efficiency or cycling-adjusted single-speed
compressor efficiency at the 83 [deg]F outdoor temperature condition
when calculating overall CEER in the proposed new appendix CC1.
Appendix CC
In this NOPR, DOE is not proposing to amend the CEER equation for
single-speed portable ACs in appendix CC. DOE is proposing to determine
variable-speed portable AC efficiency by comparing the measured
efficiency of the variable-speed unit to the efficiency of a
theoretical single-speed unit of the same capacity, taking into account
efficiency losses due to cycling, consistent with the general approach
from the LG Waiver and Midea Interim Waiver, with changes to the CF as
previously described.
Appendix CC1
DOE proposes to create a new efficiency metric for portable ACs in
appendix CC1, AEER, which is equal to the total annual cooling
delivered divided by the total annual energy consumption as previously
described.
The proposed equation is as follows:
[GRAPHIC] [TIFF OMITTED] TP08JN22.003

Where:

AEER = annualized energy efficiency ratio of the sample unit in Btu/
Wh.
ACC<INF>95</INF> and ACC<INF>83</INF> = adjusted cooling capacity at
the 95 [deg]F and 83 [deg]F outdoor temperature conditions,
respectively, as discussed in section III.5.c of this document.
AEC<INF>95</INF>, AEC<INF>83</INF>, AEC<INF>oc</INF>, and
AEC<INF>ia/om</INF> = total annual energy consumption attributed to
all modes representative of the 95 [deg]F operating condition, the
83 [deg]F operating condition, off-cycle mode, and inactive or off
mode, respectively, in kWh/year.
164 = number of annual hours spent in cooling mode at the 95 [deg]F
operating condition, as shown in Table III.2 of this document.
t<INF>cm_83</INF> = number of annual hours spent in cooling mode at
the 83 [deg]F operating condition, t<INF>DD_83</INF> for dual-duct
single-speed units, t<INF>DD_83_Low</INF> for dual-duct variable-
speed units, t<INF>SD_83</INF> for single-duct single-speed units,
or t<INF>SD_Low</INF> for single-duct variable-speed units, as shown
in Table III.2 of this document.
0.001 = kWh/Wh conversion factor for watt-hours to kilowatt-hours.

[[Page 34953]]

DOE requests comment on its proposal to adopt in appendix CC the
PAF-based approach from the LG Waiver and Midea Interim Waiver to
determine variable-speed portable AC efficiency, the weighted-average
approach for the CEER equation, and not to change the CEER equation for
single-speed portable ACs. DOE also requests comment on its proposal to
adopt a new efficiency metric, AEER, to represent efficiency as the
total annual cooling divided by the total annual energy consumption in
the proposed new appendix CC1.
g. Load-Based Testing
The current test procedure prescribed by ANSI/AHAM PAC-1-2015 does
not use a load-based test. It measures cooling capacity and energy
efficiency ratio when the portable AC operates continuously at fixed
indoor and outdoor temperature and humidity conditions (i.e., a
constant-temperature test), using an air enthalpy approach.\15\ In
contrast, a load-based test either fixes or varies the amount of heat
added to the indoor test room by the reconditioning equipment, while
the indoor test room temperature is permitted to change and is
controlled by the test unit according to its thermostat setting. In the
April 2021 RFI, DOE sought further comment and information on the
feasibility and applicability of load-based testing for portable ACs.
86 FR 20044, 20051.
---------------------------------------------------------------------------

\15\ The air enthalpy approach entails measuring the air flow
rate, dry-bulb temperature, and water vapor content of air at the
inlet and outlet of the portable AC.
---------------------------------------------------------------------------

NEEA, the Joint Commenters, and Rice encouraged the use of load-
based testing for the portable AC test procedure. (NEEA, No. 12 at pp.
2-3; Joint Commenters, No. 9 at p. 2; Rice, No. 11 at p. 3) NEEA stated
a load-based test would measure equipment performance under conditions
that better mimic what a unit is likely to experience in the field.
According to NEEA, a load-based test is the best way to fully account
for the effectiveness of controls, cycling effects, and variable-speed
performance, which would better reflect field performance. (NEEA, No.
12 at pp. 2-3) The Joint Commenters stated a load-based test would
further improve representativeness for both single-speed and variable-
speed portable ACs. Specifically, they stated that a load-based test
would capture cycling losses for single-speed units (as well as for
variable-speed units to the extent that they exhibit cycling behavior)
and, for variable-speed units, a load-based test would eliminate the
need to use confidential, manufacturer-specified compressor speeds for
the ``low speed'' test. (Joint Commenters, No. 9 at p. 2)
DOE continues to recognize the challenges associated with
implementing load-based testing in the portable AC test procedure. As
discussed in the recent final rule for room AC test procedures and in
the April 2021 RFI, DOE expects that a load-based test would reduce
repeatability and reproducibility due to current limitations in current
test chamber capabilities--namely, the lack of specificity in industry
standards regarding chamber dimensions and reconditioning equipment
characteristics, which would negatively impact the representativeness
of the results and potentially be unduly burdensome. 86 FR 16446, 16466
(March 29, 2021); 86 FR 20044, 20051. The psychrometer chambers used to
test portable ACs using the air enthalpy approach present additional
challenges for potential load-based testing, because they are not well
equipped to conduct load-based testing. Air enthalpy testing equipment
and controls systems are not designed to impose a cooling load;
instead, they are designed to maintain specified temperature and
humidity conditions.
Appendix CC and Appendix CC1
DOE has not identified approaches to mitigate the previously
identified challenges that are associated with load-based testing, and
commenters provided none. DOE does not propose load-based testing in
either appendix CC or the proposed new appendix CC1.
DOE requests comment on its proposal not to prescribe load-based
testing in appendix CC or the proposed new appendix CC1.
6. Heating Mode
DOE tentatively maintains its previous decision not to require
measuring energy efficiency in heating mode. In the June 2016 Final
Rule, DOE did not establish an efficiency metric for heating mode. 81
FR 35241, 35257. In the test procedure NOPR for portable ACs published
by DOE on February 25, 2015 (February 2015 NOPR), DOE proposed to
define heating mode as an active mode in which a portable AC has
activated the main heating function in response to the thermostat or
temperature sensor signal, including activating a resistance heater,
the refrigeration system with a reverse refrigerant flow valve, or the
fan or blower without activation of the resistance heater or
refrigeration system. 80 FR 10211, 10217. In the June 2016 Final Rule,
DOE did not establish a heating mode test or efficiency metric, noting
that although some portable ACs offer an ``auto mode'' that allows for
both cooling and heating mode operation depending upon the ambient
temperature, available data suggested that portable ACs are not used
for heating purposes for a substantial amount of time. 81 FR 35241,
35257. In the April 2021 RFI, DOE sought usage data on portable AC
heating mode and what portion of portable AC annual energy use is in
heating mode. 86 FR 20044, 20049.
In response to the April 2021 RFI, AHAM agreed with DOE's
conclusion in the June 2016 Final Rule that portable ACs are not used
for heating purposes for a substantial amount of time and urged DOE to
not include heating mode in the test procedure. AHAM stated that there
is no need to capture the energy usage of heating mode since the energy
use in heating mode is not significant compared to the cooling
function. AHAM further commented that DOE does not have data on the
usage of these modes and asserted that without such data, DOE cannot
add heating mode to the test procedure. AHAM noted that the AHAM PAC-1
test procedure does not address heating mode, in alignment with the
current DOE test procedure. (AHAM, No. 8 at p. 3)
DOE has not identified nor have commenters provided any data that
would allow DOE to draw a different conclusion to the use of portable
ACs to provide heating. Thus, DOE requests comment on the tentative
determination not to establish a heating mode efficiency metric in
appendix CC and proposed new appendix CC1.
7. Air Circulation Mode
In air circulation mode, a portable AC has activated only the fan
or blower and the compressor is off. Unlike off-cycle mode, air
circulation mode is consumer-initiated. In the June 2016 Final Rule,
due to a lack of usage information for this mode, DOE adopted the
proposal not to measure or allocate annual operating hours to air
circulation mode. 81 FR 35241, 35257.
In the April 2021 RFI, DOE discussed comments encouraging the
incorporation of a ``fan-only mode,'' in which the fan is operating but
the compressor is off, without distinguishing whether the fan operation
is consumer initiated. DOE stated that it expects that the annual usage
hours and energy consumption of fan operation referenced in comments
could include operation in both off-cycle mode, which is currently
addressed in appendix CC, and a user-initiated air circulation mode.
DOE

[[Page 34954]]

therefore sought further clarification and distinction from commenters
regarding operating hours and energy consumption for a user-initiated
air-circulation mode, which is not currently addressed in appendix CC.
86 FR 20044, 20050.
The portable AC field metering study conducted by Lawrence Berkeley
National Laboratory (``LBNL'') in 2014 \16\ reported the time only the
fan was operating. NEEA and the California IOUs commented that it did
not clearly specify whether those hours were spent in user-initiated
air-circulation mode or were off-cycle mode hours in which the unit is
waiting to respond to the thermostat. (NEEA, No. 12 at p. 1; California
IOUs, No. 10 at p. 5) NEEA stated that the LBNL study did indicate that
the number of hours spent in fan-only mode are significant and
recommended that DOE further evaluate the market distribution of
portable ACs with fan-only mode and the number of hours spent in this
mode. (NEEA, No. 12 at p. 1)
---------------------------------------------------------------------------

\16\ ``Using Field-Metered Data to Quantify Annual Energy Use of
Portable Air Conditioners,'' T. Burke et al., Environmental Energy
Technologies Division, LBNL, December 2014.
---------------------------------------------------------------------------

The California IOUs stated that the LBNL study did not determine
how much time is spent in either of these modes or whether there is any
difference in power consumption between fan-only and air-circulation
modes. They recommended that DOE further investigate the market
distribution of portable ACs and their operating hours in user-
initiated air circulation mode. (California IOUs, No. 10 at p. 5)
DOE continues to lack data on annual operating hours in air
circulation mode. DOE is not aware of publicly available data, nor has
DOE received data from commenters regarding consumer use of user-
initiated air circulation mode. As commenters pointed out, the field
metering study did not differentiate between time spent with fan
operation in air circulation mode versus off-cycle mode. When the field
study was conducted in 2014, DOE investigative testing found that all
portable ACs in its test sample operate the fan in off-cycle mode once
cooling mode operation reduces the ambient temperature below the set
point, as shown in Table III.9 of the portable AC test procedure NOPR
published on February 25, 2015. 80 FR 10211, 10232. The hours
attributed to ``fan-only mode'' likely include substantial time in off-
cycle mode, in addition to any time in the user-initiated air
circulation mode because fan operation in off-cycle mode was likely
common in portable ACs at the time of the field metering study, based
on samples analyzed during the previous portable AC test procedure
rulemaking. 80 FR 10212, 10231. Therefore, DOE cannot effectively
utilize the field metering study to identify a reliably representative
number of operating hours in air circulation mode and currently is
unable to justify the additional test burden that would be associated
with testing air circulation mode. Only with data for consumer use of
air circulation mode could DOE determine typical operating hours in air
circulation mode.
Appendix CC as proposed and proposed new appendix CC1 would require
testing in off-cycle mode, and the energy use in that mode would be
considered part of the efficiency metric. However, DOE is not proposing
a test for user-initiated air circulation mode.
DOE requests comment on the tentative determination not to dedicate
distinct operating hours or testing to user-initiated air circulation
mode in appendix CC and proposed new appendix CC1.
8. Dehumidification Mode
In the April 2021 RFI, DOE discussed a comment stating that most
portable ACs provide a dehumidification feature and recommending that
DOE further investigate its usage and consider including
dehumidification mode in an updated test procedure. DOE sought usage
data on dehumidification features available on portable ACs, including
prevalence in units on the market, annual operating hours, and energy
consumption associated with this mode. 86 FR 20044, 20051.
In response to the April 2021 RFI, AHAM stated that there is no
need for added testing for dehumidification mode because it is not a
significant energy user compared to the cooling function and it would
unnecessarily increase testing burden. Additionally, AHAM asserted that
absent data on the usage of dehumidification mode, DOE cannot
accurately add it to the test procedure. (AHAM, No. 8 at p. 3)
By contrast, NEEA commented that 212 out of the 218 products
available on a major retailer's website as of January 2021 had a
dehumidification feature. NEEA recommended, given the prevalence of
this feature, that DOE further investigate the number of hours spent in
dehumidification mode and include this energy usage in the test
procedure as warranted. (NEEA, No. 12 at p. 2)
DOE is unaware of available consumer use data regarding
dehumidification mode, and the presence of a function in and of itself
is insufficient to indicate the frequency of its use. Given the lack of
data, DOE is unable to address dehumidification mode in a
representative manner. DOE therefore is not proposing test procedure
provisions regarding dehumidification mode in either appendix CC or
proposed new appendix CC1.
DOE requests comment on the tentative determination not to include
dehumidification mode in appendix CC and proposed new appendix CC1.
9. Network Connectivity
Network connectivity implemented in portable ACs can enable
functions such as providing real-time room temperature conditions or
receiving commands via a remote user interface such as a smartphone.
DOE has observed that network connectivity typically operates
continuously in the background while the portable AC performs other
functions. DOE recognizes that portable ACs with network functions are
now readily available on the market in the United States and, in the
April 2021 RFI, requested (1) further comment and data on the
prevalence of network connectivity in portable ACs available on the
market currently or in the near future, (2) available data quantifying
the power consumption and usage time associated with network
functionality in portable ACs, and (3) information regarding the
capabilities and attributes enabled by network functions (e.g., energy
savings, demand response, convenience functions). 86 FR 20044, 20049-
20050.
The Joint Commenters and California IOUs encouraged DOE to
investigate network connectivity in the portable AC test procedure.
(Joint Commenters, No. 9 at pp. 1-2; California IOUs, No. 10 at p. 5)
To improve the representativeness of the test procedure, the Joint
Commenters encouraged DOE to investigate the power consumed by portable
ACs in network mode and consider incorporating a measurement of the
standby power consumed when a portable AC with network functions is
connected to a network. (Joint Commenters, No. 9 at pp. 1-2) The
California IOUs stated that network connectivity is an important
operational characteristic. They commented that appliance capability to
participate in demand response events is growing in relevance and
stated that California and other states are looking to demand response
as an option in their flexible demand standards. They further commented
that, by assessing the effects of network connectivity and further
encouraging manufacturers to produce appliances capable of responding
to

[[Page 34955]]

demand response signals, DOE may contribute to greater grid
reliability. (California IOUs, No. 10 at p. 5)
By contrast, AHAM urged DOE to follow the approach it adopted for
room ACs regarding network connectivity and require all network
functions to be disabled during testing. AHAM revised its room AC test
procedure to maintain consistency with DOE's position. It noted that
Section 4.1 of AHAM RAC-1-2020, ``Energy Measurement Test Procedure for
Room Air Conditioners'' now specifies that units shipped with
communication devices shall be tested with the communication device
off, and not connected to any communication network. AHAM asserted that
there is not yet adequate consumer use data to justify including
provisions within the room AC or portable AC test procedures to measure
the energy performance of network-connected products. AHAM further
stated it is aware that some consumers do not connect their network-
enabled appliances to use the available features. AHAM stated that DOE
should be mindful that it will take time before many new features,
designs, and technologies lend themselves to a ``representative
average'' consumer use, and urged DOE to ensure that the portable AC
test procedure does not prematurely address new designs which may not
yet have an average use or be in common use, as doing so could stifle
innovation. (AHAM, No. 8 at p. 4)
Based on testing and information from industry, the total power use
attributable to network connectivity is less than 1 watt and would
occur only during active hours of operation. DOE estimates that
including the power consumption of network connectivity would decrease
CEER by 0.1 percent. While there are several network-connected portable
ACs on the market with varying implementations of network functions,
DOE is not aware of any data available, nor did interested parties
provide any data, regarding the consumer use of network functions.
Without these data, DOE is unable to establish a representative test
configuration for assessing the energy consumption of network
functionality for portable ACs. Therefore, DOE proposes to test
portable ACs with network functions disabled, if possible, unless they
cannot be disabled, in which case the portable AC would be tested with
network functions in the factory default configuration.
In this NOPR, DOE proposes to specify in both appendix CC and
proposed new appendix CC1 that, if a portable AC has network functions
disable all network functions throughout testing if such settings can
be disabled by the end-user and the product's user manual provides
instructions on how to do so. If an end-user cannot disable the network
functions, or the product's user manual does not provide instruction
for disabling network settings, test the unit with the network settings
in the factory default configuration for the duration of the test. DOE
requests comment on this proposal.
10. Infiltration Air, Duct Heat Transfer, and Case Heat Transfer
The portable AC test procedure accounts for the effects of heat
transfer from two sources: (1) infiltration of outdoor air into the
conditioned space (i.e., ``infiltration air'') and (2) heat leakage
through the duct surface to the conditioned space (i.e., ``duct heat
transfer''). In the June 2016 Final Rule, DOE considered the effects of
heat transfer through the outer chassis of the portable AC to the
conditioned space (i.e., ``case heat transfer'') but did not adopt
provisions accounting for case heat transfer. The reasons for DOE's
choice were that case heat transfer has a minimal impact on cooling
capacity and that including measurement of it would substantively
increase the test burden. 81 FR 35241, 35254-35255.
In the April 2021 RFI, DOE requested: (1) any available information
or data on portable AC infiltration air, duct heat transfer, or case
heat transfer that may improve the representativeness, repeatability,
or reproducibility of the test procedure; (2) input on any industry
test procedures that measure case heat transfer, estimates of test
burden required to measure it, and data quantifying its impact on
cooling capacity and efficiency; (3) input on any less burdensome
approaches to address case heat transfer than previously considered in
the June 2016 Final Rule; (4) feedback on the impacts of case material
and case design on case heat transfer, and whether certain materials or
designs soon to be implemented in units on the market would result in
significantly different case heat transfer than current designs; and
(5) data and feedback on any additional available data regarding a duct
convection heat transfer coefficient, and whether the current
convection heat transfer coefficient of 3 British thermal units per
hour-square foot-degree Fahrenheit (``Btu/h-ft\2\-[deg]F'') remains
representative for portable ACs in their typical installation and use
environments. 86 FR 20044, 20049.
NEEA recommended that DOE maintain key features in the existing
test procedure in any revision, specifically recommending that DOE
continue to account for the energy impacts of infiltration air and duct
heat transfer in the portable AC test procedure, which NEEA asserted
can have significant effects on capacity and efficiency and therefore
are appropriately accounted for in the test procedure. (NEEA, No. 12 at
p. 3)
The Joint Commenters stated that, while DOE found the average
impact of case heat transfer on SACC was about 2 percent, the impact
for individual units tested by DOE ranged from 0 to 9.1 percent. They
stated that for some units, the current test procedure may be
significantly overestimating cooling capacity and failing to capture
design differences that may improve efficiency by reducing case heat
transfer. The Joint Commenters encouraged DOE to continue to
investigate the impact of case heat transfer and methods to measure
case heat transfer to improve the representativeness of the test
procedure. (Joint Commenters, No. 9 at p. 1)
DOE has not received data from commenters or otherwise that
indicates the impacts of case heat transfer have become more
significant since the publication of the June 2016 Final Rule and when
the supporting analysis was conducted. Thus, DOE has tentatively
determined to continue to exclude case heat transfer from the portable
AC test procedure both in appendix CC and appendix CC1 as concluded in
the June 2016 Final Rule. DOE also proposes to maintain the
incorporation of the energy impacts of infiltration air and duct heat
transfer in the portable AC test procedure.
DOE requests comment on the tentative determinations to continue to
include the energy impacts of infiltration air and duct heat transfer
and exclude case heat transfer in appendix CC and proposed new appendix
CC1.

C. Representations of Energy Efficiency

Manufacturers, including importers, must use product-specific test
procedures in 10 CFR part 430 and sampling and rounding requirements in
10 CFR part 429 to determine the represented values of energy
consumption or energy efficiency of a basic model. The proposed
appendix CC1 would require use of AEER for representing the energy
efficiency of a basic model of portable AC, which is different from the
current metric for models tested using appendix CC. DOE proposes to add
rounding instructions consistent with those in Table 1 of AHAM PAC-1-
2022 Draft in 10 CFR 429.62 when representing the energy efficiency of
a basic model tested using

[[Page 34956]]

appendix CC1. DOE also proposes to incorporate the AHAM PAC-1-2022
Draft standard by reference in 10 CFR 429.4.
DOE requests comment on the proposals to add rounding requirements
consistent with AHAM PAC-1-2022 Draft when certifying using appendix
CC1 in 10 CFR 429.62. DOE also requests comment on its proposal to
incorporate AHAM PAC-1-2022 Draft by reference in 10 CFR 429.4.

D. Test Procedure Costs and Harmonization

1. Test Procedure Costs and Impact
In this NOPR, DOE proposes to amend the existing test procedure for
portable ACs by amending appendix CC and adopting a new appendix CC1.
DOE has tentatively determined that these proposed amendments would not
impact testing costs as discussed in the following paragraphs.
a. Appendix CC
DOE proposes to amend appendix CC to account for variable-speed
portable ACs per the LG Waiver and Midea Interim Waivers with
modifications. As discussed, the LG Waiver uses manufacturer
instructions to achieve a fixed full compressor speed, but DOE's
proposal uses consumer settings and a setpoint of 75 [deg]F to do so.
However, the modification would not require testing at additional
conditions or increase the test time, as compared to the LG Waiver. As
such, DOE has tentatively determined that the cost per test under
appendix CC as proposed would be the same as the alternate test
procedure specified in the LG Waiver. Due to the modification, the
compressor speed required by the LG Waiver may differ from the
compressor speed that would be required under the proposed amendments
to appendix CC. LG would need to retest the variable-speed portable ACs
subject to the LG Waiver if DOE amends the test procedure in a way that
requires testing at a different compressor speed. At a minimum, LG
would need to recertify any such units that are already certified,
given the different full compressor speed and cycling factor proposed
in appendix CC. Furthermore, if DOE adopts the amendments proposed in
this NOPR, LG would be required to update representations of its
variable-speed portable ACs subject to the LG Waiver to rely on
SACC<INF>Full</INF> using the full compressor speed at the 83 [deg]F
test condition and to use the proposed new CF. These updates would not
require retesting, only additional calculations using data already
collected. The Midea variable-speed portable ACs subject to the
existing interim waiver would not need to be retested, as there is no
substantive difference in testing between the Midea Interim Waiver and
the proposed amended appendix CC. However, like LG, Midea would be
required to update representations of their variable-speed portable ACs
to rely on SACC<INF>Full</INF> using the full compressor speed at the
83 [deg]F test condition and to use the proposed new CF, if DOE adopts
the proposed amendments. This update would not require retesting, only
additional calculations using data already collected.
DOE requests comment on its characterization of test procedure
costs and impacts of the proposed amendments to appendix CC.
b. Appendix CC1
DOE proposes to adopt a new appendix CC1 consistent with AHAM PAC-
1-2022 Draft with modifications. For single-speed units, AHAM PAC-1-
2022 Draft uses the same test conditions as the current appendix CC.
For variable-speed portable ACs, AHAM PAC-1-2022 Draft uses the
existing temperature conditions but has two additions. First, for a
dual-duct variable-speed portable AC it adds a third test condition for
full compressor speed at the low test condition. Second, it adds a
specification to set the compressor speed to a low speed using
manufacturer instructions at the lower temperature test condition. This
proposal is consistent with the amendments to appendix CC above with
three exceptions. First, appendix CC1 also updates the SACC and CEER
calculations for all units to improve the representativeness of the
test procedure with updated operating hours. Second, it adds a single-
speed CF. Third, it includes adjustments to reflect the cooling
provided at the 83 [deg]F test condition. Under the proposed appendix
CC1, cycling behavior would be factored into the measured values for
all single-speed units, not just for variable-speed units as in
appendix CC. DOE proposes that testing under proposed new appendix CC1
would not be required unless and until DOE adopts amended energy
conservation standards that are based on the proposed new appendix CC1,
and compliance with those standards is required. At that time,
manufacturers would have to, in accordance with appendix CC1, re-test
and re-certify all currently certified basic models.
DOE requests comment on its characterization of test procedure
costs and impacts of the proposed new test procedure at appendix CC1.
2. Harmonization With Industry Standards
DOE's established practice is to adopt relevant industry standards
as DOE test procedures unless such methodology would be unduly
burdensome to conduct or would not produce test results that reflect
the energy efficiency, energy use, water use (as specified in EPCA) or
estimated operating costs of that product during a representative
average use cycle or period of use. Section 8(c) of appendix A of 10
CFR part 430 subpart C. When the industry standard does not meet EPCA
statutory criteria for test procedures, through the rulemaking process
DOE will establish a test procedure reflecting modifications to these
standards.
As discussed, appendices CC and CC1 incorporate by reference ANSI/
AHAM PAC-1-2015, ANSI/ASHRAE Standard 37-2009, IEC Standard 62301,
ANSI/ASHRAE Standard 41.1-1986, ANSI/ASRHAE Standard 41.6-1994 (RA
2006), and ANSI/ASHRAE Standard 51-1999 with modifications. The
industry standards DOE proposes to incorporate by reference are
discussed in further detail in section IV.N of this document. DOE
requests comments on the benefits and burdens of the proposed updates
and additions to industry standards referenced in the test procedure
for portable ACs.

E. Compliance Date and Waivers

EPCA prescribes that, if DOE amends a test procedure, all
representations of energy efficiency and energy use, including those
made on marketing materials and product labels, must be made in
accordance with that amended test procedure, beginning 180 days after
publication of such a test procedure final rule in the Federal
Register. (42 U.S.C. 6293(c)(2)) To the extent the modified test
procedure proposed in this document is required only for the evaluation
and issuance of updated efficiency standards, use of the modified test
procedure, if finalized, would not be required until the compliance
date of updated standards. Section 8(e) of appendix A 10 CFR part 430
subpart C.
If DOE publishes an amended test procedure, EPCA provides an
allowance for individual manufacturers to petition DOE for an extension
of the 180-day period if the manufacturer would experience undue
hardship in meeting the deadline. (42 U.S.C. 6293(c)(3)) To receive
such an extension, petitions must be filed with DOE no later than 60
days before the end of the 180-day period and must detail how the
manufacturer will experience undue hardship. (Id.)

[[Page 34957]]

If DOE amends the test procedure, upon the compliance date of test
procedure provisions of the amended test procedure, any waivers that
had been previously issued and are in effect that pertain to issues
addressed by such provisions are terminated. 10 CFR 430.27(h)(3). As of
the compliance date of the amended test procedure, recipients of any
such waivers would be required to test the products subject to the
waiver according to the amended test procedure. This includes LG and
Midea because the amendments proposed in this document pertain to
issues addressed by waiver and interim waiver DOE granted to them.\17\
---------------------------------------------------------------------------

\17\ The LG Waiver was in Case No. 2018-004; the Midea Interim
Waiver was in Case No. 2020-006.
---------------------------------------------------------------------------

IV. Procedural Issues and Regulatory Review

A. Review Under Executive Order 12866 and 13563

Executive Order (``E.O.'') 12866, ``Regulatory Planning and
Review,'' as supplemented and reaffirmed by E.O. 13563, ``Improving
Regulation and Regulatory Review, 76 FR 3821 (Jan. 21, 2011), requires
agencies, to the extent permitted by law, to (1) propose or adopt a
regulation only upon a reasoned determination that its benefits justify
its costs (recognizing that some benefits and costs are difficult to
quantify); (2) tailor regulations to impose the least burden on
society, consistent with obtaining regulatory objectives, taking into
account, among other things, and to the extent practicable, the costs
of cumulative regulations; (3) select, in choosing among alternative
regulatory approaches, those approaches that maximize net benefits
(including potential economic, environmental, public health and safety,
and other advantages; distributive impacts; and equity); (4) to the
extent feasible, specify performance objectives, rather than specifying
the behavior or manner of compliance that regulated entities must
adopt; and (5) identify and assess available alternatives to direct
regulation, including providing economic incentives to encourage the
desired behavior, such as user fees or marketable permits, or providing
information upon which choices can be made by the public. DOE
emphasizes as well that E.O. 13563 requires agencies to use the best
available techniques to quantify anticipated present and future
benefits and costs as accurately as possible. In its guidance, the
Office of Information and Regulatory Affairs (``OIRA'') in the Office
of Management and Budget (``OMB'') has emphasized that such techniques
may include identifying changing future compliance costs that might
result from technological innovation or anticipated behavioral changes.
For the reasons stated in the preamble, this proposed regulatory action
is consistent with these principles.
Section 6(a) of E.O. 12866 also requires agencies to submit
``significant regulatory actions'' to OIRA for review. OIRA has
determined that this proposed regulatory action does not constitute a
``significant regulatory action'' under section 3(f) of E.O. 12866.
Accordingly, this action was not submitted to OIRA for review under
E.O. 12866.

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 E.O. 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="<a href="http://energy.gov/gc/office-general-counsel">http://energy.gov/gc/office-general-counsel</a>">energy.gov/gc/office-general-counsel</a>.
DOE reviewed this proposed rule under the provisions of the
Regulatory Flexibility Act and the procedures and policies published on
February 19, 2003. DOE certifies that the proposed rule, if adopted,
would not have significant economic impact on a substantial number of
small entities. The factual basis of this certification is set forth in
the following paragraphs.
Under 42 U.S.C. 6293, EPCA sets forth the criteria and procedures
DOE must follow when prescribing or amending test procedures for
covered products. EPCA requires that any test procedures prescribed or
amended under this section be reasonably designed to produce test
results which measure energy efficiency, energy use or estimated annual
operating cost of a covered product during a representative average use
cycle or period of use and not be unduly burdensome to conduct. (42
U.S.C. 6293(b)(3))
EPCA also requires that, at least once every 7 years, DOE evaluate
test procedures for each type of covered product, including portable
ACs, 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 or period of
use. (42 U.S.C. 6293(b)(1)(A))
In addition, EPCA requires that DOE amend its test procedures for
all covered products to integrate measures of standby mode and off mode
energy consumption. (42 U.S.C. 6295(gg)(2)(A)) Standby mode and off
mode energy consumption must be integrated into the overall energy
efficiency, energy consumption, or other energy descriptor for each
covered product unless the current test procedures already account for
standby and off mode energy consumption or such integration is
technically infeasible. If an integrated test procedure is technically
infeasible, DOE must prescribe a separate standby mode and off mode
energy use test procedure for the covered product, if technically
feasible. (42 U.S.C. 6295(gg)(2)(A)(ii)) Any such amendment must
consider the most current versions of the IEC Standard 62301 and IEC
Standard 62087 as applicable. (42 U.S.C. 6295(gg)(2)(A))
DOE is proposing amendments to the test procedure for portable ACs
in satisfaction of its statutory obligations under EPCA. Specifically,
DOE proposes to amend 10 CFR 429.4 ``Materials incorporated by
reference'' and 10 CFR 429.62, ``Portable air conditioners'' as
follows:
(7) Incorporate by reference AHAM PAC-1-2022 Draft, ``Portable Air
Conditioners'' (``AHAM PAC-1-2022 Draft'') which includes an industry-
accepted method for testing variable-speed portable ACs, in 10 CFR
429.4;
(8) Add rounding instructions for the SACC, CEER, and AEER in 10
CFR 429.62;
In addition, DOE proposes to update 10 CFR 430.2, ``Definitions''
and 10 CFR 430.23, ``Test procedures for the measurement of energy and
water consumption'' as follows:
(1) Add a definition for the term ``combined-duct'' to 10 CFR
430.2; and
(2) Add requirements to determine estimated annual operating cost
for single-duct and dual-duct variable-speed portable ACs in 10 CFR
430.23.
DOE also proposes to amend appendix CC to subpart B of part 430--
Uniform Test Method for Measuring the Energy Consumption of Portable
Air Conditioners'' as follows:

[[Page 34958]]

(3) Add definitions in section 2 for ``combined-duct,'' ``single-
speed,'' ``variable-speed,'' ``full compressor speed (full),'' ``low
compressor speed (low),'' and ``theoretical comparable single-speed;''
(4) Divide section 4.1 into two sections, 4.1.1 and 4.1.2, for
single-speed and variable-speed portable ACs, respectively, and detail
configuration-specific cooling mode testing requirements for variable-
speed portable ACs;
(5) Add a requirement in section 4.1.2 that, for variable-speed
portable ACs, the full compressor speed at the 95 [deg]F test condition
be achieved with user controls, and the low compressor speed at the 83
[deg]F test condition be achieved with manufacturer-provided settings
or controls;
(6) Add a cycling factor, CF, in section 5.5.1;
(7) Add a requirement to calculate SACC with full compressor speed
at the 95 [deg]F test condition and low compressor speed at the 83
[deg]F test condition in sections 5.1 and 5.2, consistent with the LG
waiver and Midea interim waiver, with an additional requirement for
variable-speed portable ACs to represent SACC with full compressor
speed for both test conditions, and;
(8) Add a requirement in section 3.1.2 that, if a portable AC has
network functions, all network functions must be disabled throughout
testing if such settings can be disabled by the end-user and the
product's user manual provides instructions on how to do so. If the
network functions cannot be disabled by the end-user, or the product's
user manual does not provide instruction for disabling network
settings, test the unit with the network settings in the factory
default configuration for the duration of the test.
DOE additionally proposes to adopt a new ``appendix CC1 to subpart
B of Part 430--Uniform Test Method for Measuring the Energy Consumption
of Portable Air Conditioners'' which would incorporate by reference
AHAM PAC-1-2022 Draft and include the following changes:
(9) Incorporate by reference parts of AHAM PAC-1-2022 Draft, which
includes an industry-accepted method for testing variable-speed
portable ACs;
(10) Adopt a new efficiency metric, AEER, to more representatively
calculate the efficiency of both variable-speed and single-speed
portable ACs;
(11) Amend the annual operating hours;
(12) Update the SACC and CEER equations for both single-speed and
variable-speed portable ACs;
(13) Apply a CF to single-speed portable AC efficiency; and
(14) Add a requirement that, if a portable AC has network
functions, disable all network functions throughout testing. If the
network functions cannot be disabled by the end-user, or the product's
user manual does not provide instruction for disabling network
settings, then test the unit with the network function settings in the
factory default configuration for the duration of the test.
Testing according to the proposed new appendix CC1, if made final,
would not be required until compliance is required with amended energy
conservation standards that are based on the proposed new appendix CC1,
should such standards be established.
The Small Business Administration (``SBA'') considers a business
entity to be small business, if, together with its affiliates, it
employs less than a threshold number of workers specified in 13 CFR
part 121. DOE used SBA's small business size standards to determine
whether any small entities would be subject to the requirements of the
rule. These size standards and codes are established by the North
American Industry Classification System (``NAICS'') and are available
at <a href="http://www.sba.gov/document/support--table-size-standards">www.sba.gov/document/support--table-size-standards</a>. Portable ACs are
classified under NAICS 333415, ``Air-Conditioning and Warm Air Heating
Equipment and Commercial and Industrial Refrigeration Equipment
Manufacturing.'' 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 used the California Energy Commission's Modernized Appliance
Efficiency Database System (``MAEDbS'') \18\ to create a list of
companies that sell portable ACs covered by this rulemaking in the
United States. DOE consulted publicly available data, such as
manufacturer websites, manufacturer specifications and product
literature, import and export logs, and basic model numbers, to
identify original equipment manufacturers (``OEMs'') of the products
covered by this proposed rulemaking. DOE relied on public data and
subscription-based market research tools (e.g., Dun & Bradstreet
reports) \19\ to determine company location, headcount, and annual
revenue. DOE screened out companies that do not offer products covered
by this proposed rulemaking, do not meet the SBA's definition of a
``small business,'' or are foreign-owned and operated.
---------------------------------------------------------------------------

\18\ <a href="http://cacertappliances.energy.ca.gov/Pages/Search/AdvancedSearch.aspx">cacertappliances.energy.ca.gov/Pages/Search/AdvancedSearch.aspx</a>. Last accessed November 22, 2021.
\19\ The Dun & Bradstreet Hoovers subscription login is
available online at <a href="http://app.dnbhoovers.com/">app.dnbhoovers.com/</a>.
---------------------------------------------------------------------------

DOE identified 17 companies that are OEMs of portable ACs. In
reviewing the 17 OEMs, DOE did not identify any domestic OEMs that met
the SBA criteria for a small entity. Given the lack of small entities
with a direct compliance burden, DOE concludes that the impacts of the
proposed test procedure amendments outlined in this NOPR would not have
a ``significant economic impact on a substantial number of small
entities.'' DOE will transmit the certification and supporting
statement of factual basis to the Chief Counsel for Advocacy of the
Small Business Administration for review under 5 U.S.C. 605(b).
DOE seeks comment on its findings that there are no small
businesses that are OEMs of portable ACs based in the United States.
DOE also seeks comment on its conclusion that the proposed test
procedure amendments would not have a significant impact on a
substantial number of small manufacturers.

C. Review Under the Paperwork Reduction Act of 1995

OMB Control Number 1910-1400, Compliance Statement Energy/Water
Conservation Standards for Appliances, is currently valid and assigned
to the certification reporting requirements applicable to covered
equipment, including portable ACs.
DOE's certification and compliance activities ensure accurate and
comprehensive information about the energy and water use
characteristics of covered products and covered equipment sold in the
United States. Manufacturers of all covered products and covered
equipment must submit a certification report before a basic model is
distributed in commerce, annually thereafter, and if the basic model is
redesigned in such a manner to increase the consumption or decrease the
efficiency of the basic model such that the certified rating is no
longer supported by the test data. Additionally, manufacturers must
report when production of a basic model has ceased and is no longer
offered for sale as part of the next annual certification report
following such cessation. DOE requires the manufacturer of any covered
product or covered equipment to establish, maintain, and retain the
records of certification reports, of the underlying test data for all
certification testing, and of any other testing conducted to satisfy
the requirements of 10 CFR part 429, 10 CFR part 430, and/or 10 CFR
part 431. Certification reports

[[Page 34959]]

provide DOE and consumers with comprehensive, up-to date efficiency
information and support effective enforcement.
The proposal in this NOPR would amend the representations of
capacity for variable-speed portable ACs currently subject to test
procedure waivers. If made final, the proposed amendments to appendix
CC in this NOPR would require use of a new metric, i.e.,
SACC<INF>Full</INF>. DOE is not proposing certification or reporting
requirements for portable ACs subject to appendix CC in this NOPR.
Instead, DOE may consider proposals to address amendments to the
certification requirements and reporting for portable ACs under a
separate rulemaking regarding appliance and equipment certification.
DOE will address changes to OMB Control Number 1910-1400 at that time,
as necessary.
To the extent that the proposed new appendix CC1 would necessitate
the reporting of different or additional information, DOE may consider
proposals to amend the certification requirements and reporting for
portable ACs under a separate rulemaking regarding appliance and
equipment certification.
Notwithstanding any other provision of the law, no person is
required to respond to, nor shall any person be subject to a penalty
for failure to comply with, a collection of information subject to the
requirements of the PRA, unless that collection of information displays
a currently valid OMB Control Number.

D. Review Under the National Environmental Policy Act of 1969

In this NOPR, DOE proposes test procedure amendments that it
expects will be used to develop and implement future energy
conservation standards for portable ACs. DOE has determined that this
proposed rule falls into a class of actions that are categorically
excluded from review under the National Environmental Policy Act of
1969 (42 U.S.C. 4321 et seq.) and DOE's implementing regulations at 10
CFR part 1021. Specifically, DOE has determined that adopting test
procedures for measuring energy efficiency of consumer products and
industrial equipment is consistent with activities identified in 10 CFR
part 1021, appendix A to subpart D, A5 and A6. Accordingly, neither an
environmental assessment nor an environmental impact statement is
required.

E. Review Under Executive Order 13132

E.O. 13132, ``Federalism,'' 64 FR 43255 (Aug. 4, 1999) imposes
certain requirements on agencies formulating and implementing policies
or regulations that preempt State law or that have federalism
implications. The E.O. 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 E.O. 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 E.O. 13132.

F. Review Under Executive Order 12988

Regarding the review of existing regulations and the promulgation
of new regulations, section 3(a) of E.O. 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 E.O. 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
E.O. 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
E.O. 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">http://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.

[[Page 34960]]

I. Review Under Executive Order 12630

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

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

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

K. Review Under Executive Order 13211

E.O. 13211, ``Actions Concerning Regulations That Significantly
Affect Energy Supply, Distribution, or Use,'' 66 FR 28355 (May 22,
2001), requires Federal agencies to prepare and submit to OMB, a
Statement of Energy Effects for any proposed significant energy action.
A ``significant energy action'' is defined as any action by an agency
that promulgated or is expected to lead to promulgation of a final
rule, and that (1) is a significant regulatory action under E.O. 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 portable ACs is not a significant
regulatory action under E.O. 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
NOPR must inform the public of the use and background of such
standards. In addition, section 32(c) requires DOE to consult with the
Attorney General and the Chairman of the Federal Trade Commission
(``FTC'') concerning the impact of the commercial or industry standards
on competition.
The proposed modifications to the test procedure for portable ACs
would incorporate testing methods contained in certain sections of the
following commercial standards: ANSI/AHAM PAC-1-2015, AHAM PAC-1-2022
Draft, ANSI/ASHRAE Standard 37-2009, and IEC 62301. DOE has evaluated
these standards and is unable to conclude whether they fully comply
with the requirements of section 32(b) of the FEAA (i.e., whether it
was developed in a manner that fully provides for public participation,
comment, and review.) DOE will consult with both the Attorney General
and the Chairman of the FTC concerning the impact of these test
procedures on competition, prior to prescribing a final rule.

M. Description of Materials Incorporated by Reference

In this NOPR, DOE proposes to incorporate by reference in the
proposed appendix CC1 the draft test standard provided by AHAM, titled,
``Portable Air Conditioners AHAM PAC-1-2022 Draft.'' AHAM PAC-1-2022
Draft is a draft industry test procedure that measures portable AC
performance in cooling mode in a more representative manner than the
previous iteration, ANSI/AHAM PAC-1-2015, and is applicable to products
sold in North America. AHAM PAC-1-2022 Draft specifies testing
conducted in accordance with other industry-accepted test procedures
and determines energy efficiency metrics for various portable AC
configurations and compressor types (i.e., single-speed and variable-
speed). The appendix CC1 test procedure proposed in this NOPR
references various sections of AHAM PAC-1-2022 Draft that address test
setup, instrumentation, test conduct, calculations, and rounding.
Copies of AHAM PAC-1-2022 Draft may be purchased from the
Association of Home Appliance Manufacturers at 1111 19th Street NW,
Suite 402, Washington, DC 20036, or by going to <a href="http://www.aham.org/ht/d/Store/">www.aham.org/ht/d/Store/</a>.
In this NOPR, DOE also proposes to incorporate by reference the
test standard ASHRAE Standard 37-2009, titled ``Methods of Testing for
Rating Electrically Driven Unitary Air-Conditioning and Heat Pump
Equipment,'' (ANSI Approved). ANSI/ASHRAE Standard 37-2009 is an
industry-accepted test standard referenced by ANSI/AHAM PAC-1-2015 that
defines various uniform methods for measuring performance of air
conditioning and heat pump equipment. Although ANSI/AHAM PAC-1-2015
references a number of sections in ANSI/ASHRAE Standards 37-2009, the
test procedure established in this proposed rule additionally
references one section in ANSI/ASHRAE Standard 37-2009 that addresses
test duration.
Copies of ANSI/ASHRAE Standard 37-2009 can be obtained from the
American Society of Heating, Refrigerating and Air-Conditioning
Engineers, Inc., at Publication Sales, 1791 Tullie Circle NE, Atlanta,
GA 30329, or by going to <a href="http://www.ashrae.org">www.ashrae.org</a>.
In this NOPR, DOE also proposes to incorporate by reference the
test standard ANSI/ASHRAE 51-1999 (also called ANSI/AMCA 210), titled
``Laboratory Methods of Testing Fans for Certified Aerodynamic
Performance Rating.'' ANSI/ASHRAE 51-1999 is an industry-accepted test
standard referenced by ANSI/ASHRAE Standard 37-2009 that defines
methods for measuring the characteristics of air flow.
Copies of ANSI/ASHRAE 51-1999 can be obtained from the American
Society of Heating, Refrigerating and Air-Conditioning Engineers, Inc.,
at Publication Sales, 1791 Tullie Circle NE, Atlanta, GA 30329, or by
going to <a href="http://www.ashrae.org">www.ashrae.org</a>.
In this NOPR, DOE also proposes to incorporate by reference the
test standard ANSI/ASHRAE 41.1-1986, titled ``Standard Method for
Temperature Measurement,'' (ANSI

[[Page 34961]]

Approved). ANSI/ASHRAE 41.1-1986 is an industry-accepted test standard
referenced by ANSI/ASHRAE Standard 37-2009 that defines a standard
method for measuring temperature.
Copies of ANSI/ASHRAE 41.1-1986 can be obtained from the American
Society of Heating, Refrigerating and Air-Conditioning Engineers, Inc.,
at Publication Sales, 1791 Tullie Circle NE, Atlanta, GA 30329, or by
going to <a href="http://www.ashrae.org">www.ashrae.org</a>.
In this NOPR, DOE also proposes to incorporate by reference the
test standard ANSI/ASHRAE 41.6-1994 (RA 2006), titled ``Standard Method
for Measurement of Moist Air Prope

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