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Rule2022-26418

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

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Published

December 16, 2022

Effective

January 17, 2023

Issuing agencies

Energy Department

Abstract

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

Full Text

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[Federal Register Volume 87, Number 241 (Friday, December 16, 2022)]
[Rules and Regulations]
[Pages 77298-77328]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2022-26418]

[[Page 77297]]

Vol. 87

Friday,

No. 241

December 16, 2022

Part III

Department of Energy

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10 CFR Parts 429 and 431

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

Federal Register / Vol. 87, No. 241 / Friday, December 16, 2022 /
Rules and Regulations

[[Page 77298]]

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DEPARTMENT OF ENERGY

10 CFR Parts 429 and 431

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

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

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

ACTION: Final rule.

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

DATES: The effective date of this rule is January 17, 2023. The final
rule changes will be mandatory for product testing starting December
11, 2023. The incorporation by reference of certain material listed in
the rule is approved by the Director of the Federal Register on January
17, 2023. The incorporation by reference of certain other material
listed in the rule was approved by the Director of the Federal Register
on February 6, 2017.

ADDRESSES: The docket, which includes Federal Register notices, public
meeting webinar attendee lists and transcripts, comments, and other
supporting documents/materials, is available for review at
<a href="http://www.regulations.gov">www.regulations.gov</a>. All documents in the docket are listed in the
<a href="http://www.regulations.gov">www.regulations.gov</a> index. However, not all documents listed in the
index may be publicly available, such as those containing information
that is exempt from public disclosure.
A link to the docket web page can be found at <a href="http://www.regulations.gov/docket/EERE-2017-BT-TP-0031">www.regulations.gov/docket/EERE-2017-BT-TP-0031</a>. The docket web page contains instructions
on how to access all documents, including public comments, in the
docket.
For further information on how to review the docket, contact the
Appliance and Equipment Standards Program staff at (202) 287-1445 or by
email: <a href="/cdn-cgi/l/email-protection#7e3f0e0e12171f101d1b2d0a1f101a1f0c1a0d2f0b1b0d0a1711100d3e1b1b501a111b50191108">[email&#160;protected]</a>.

FOR FURTHER INFORMATION CONTACT: Ms. Catherine Rivest, U.S. Department
of Energy, Office of Energy Efficiency and Renewable Energy, Building
Technologies Office, EE-2J, 1000 Independence Avenue SW, Washington,
DC, 20585-0121. Telephone: (202) 586-7335. Email:
<a href="/cdn-cgi/l/email-protection#e1a091918d88808f8284b295808f8580938592b094849295888e8f92a18484cf858e84cf868e97">[email&#160;protected]</a>. Ms. Kristin Koernig, U.S.
Department of Energy, Office of the General Counsel, GC-33, 1000
Independence Avenue SW, Washington, DC, 20585-0121. Telephone: (202)
586-8145. Email: <a href="/cdn-cgi/l/email-protection#105b62796364797e3e5b7f75627e79775078613e747f753e777f66">[email&#160;protected]</a>.

SUPPLEMENTARY INFORMATION: DOE incorporates by reference the following
industry standards as follows:

ANSI/AHRI Standard 210/240-2008, ``2008 Standard for Performance Rating
of Unitary Air-Conditioning & Air-Source Heat Pump Equipment'',
approved 2011 and updated by addendum 1 in June 2011 and addendum 2 in
March 2012 (``ANSI/AHRI 210/240-2008'')--into part 431.
AHRI Standard 210/240-2023, ``2023 Performance Rating of Unitary Air-
conditioning & Air-source Heat Pump Equipment'', copyright 2020 (``AHRI
210/240-2023'')--into parts 429 and 431.
ANSI/AHRI Standard 1230-2010, ``2010 Standard for Performance Rating of
Variable Refrigerant Flow Multi-Split Air-Conditioning and Heat Pump
Equipment'', approved August 2, 2010 and updated by addendum 1 in March
2011 (``ANSI/AHRI 1230-2010'')--into part 431.

Copies of these standards can be obtained from the AHRI website by
going to <a href="http://www.ahrinet.org">www.ahrinet.org</a>.\1\
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\1\ AHRI 210/240-2008 is available at <a href="http://www.ahrinet.org/app_content/ahri/files/standards%20pdfs/ansi%20standards%20pdfs/ansi.ahri%20standard%20210.240%20with%20addenda%201%20and%202.pdf">www.ahrinet.org/app_content/ahri/files/standards%20pdfs/ansi%20standards%20pdfs/ansi.ahri%20standard%20210.240%20with%20addenda%201%20and%202.pdf</a>.

ANSI/ASHRAE Standard 37-2009, ``Methods of Testing for Rating
Electrically Driven Unitary Air-Conditioning and Heat Pump Equipment'',
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ASHRAE approved June 24, 2009 (``ANSI/ASHRAE 37-2009'')--into part 431.

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

Table of Contents

I. Authority and Background
A. Authority
B. Background
II. Synopsis of the Final Rule
III. Discussion
A. Scope of Applicability
B. Proposed Organization of the Test Procedure
C. Metrics
D. Updates to Industry Standards and Proposed Test Procedures
for Three-Phase Equipment With Cooling Capacity of Less than 65,000
Btu/h
1. Harmonization With Single-Phase Products
2. AHRI 210/240-2017 and AHRI 210/240-2017 With Addendum 1
3. AHRI 210/240-2023
a. Appendix G of AHRI 210/240-2023
4. AHRI 1230
5. ASHRAE 37
E. Certification, Compliance, and Enforcement Requirements
1. Representation Requirements
a. Use of Single-Phase AEDM for Rating Three-Phase Equipment
b. Use of AEDM for Certain Configurations of Three-Phase
Equipment
c. Coil-Only Ratings for Single-Split-System Air Conditioners
2. Basic Model Definition
3. Certification Reporting Requirements
4. Product-Specific Enforcement Provisions
F. Other Comments Received on the NOPR
G. Effective and Compliance Dates
H. Test Procedure Costs
IV. Procedural Issues and Regulatory Review
A. Review Under Executive Orders 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. Congressional Notification
N. Description of Materials Incorporated by Reference

[[Page 77299]]

V. Approval of the Office of the Secretary

I. Authority and Background

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

The Energy Policy and Conservation Act, as amended (``EPCA''),\4\
authorizes DOE to regulate the energy efficiency of a number of
consumer products and certain industrial equipment. (42 U.S.C. 6291-
6317, as codified) Title III, Part C \5\ of EPCA, added by Public Law
95-619, Title IV, section 441(a), established the Energy Conservation
Program for Certain Industrial Equipment, which sets forth a variety of
provisions designed to improve energy efficiency. This equipment
includes 3-phase ACUACs and ACUHPs with cooling capacity of less than
65,000 Btu/h and 3-phase VRF with cooling capacity of less than 65,000
Btu/h, the subjects of this final rule. (42 U.S.C. 6311(1)(B))
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\4\ 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.
\5\ For editorial reasons, upon codification in the U.S. Code,
Part C was redesignated Part A-1.
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The energy conservation program under EPCA consists essentially of
four parts: (1) testing, (2) labeling, (3) the establishment of Federal
energy conservation standards, and (4) certification and enforcement
procedures. Relevant provisions of EPCA include definitions (42 U.S.C.
6311), test procedures (42 U.S.C. 6314), labeling provisions (42 U.S.C.
6315), energy conservation standards (42 U.S.C. 6313), and the
authority to require information and reports from manufacturers (42
U.S.C. 6316; 42 U.S.C. 6296).
The Federal testing requirements consist of test procedures that
manufacturers of covered equipment must use as the basis for (1)
certifying to DOE that their equipment complies with the applicable
energy conservation standards adopted pursuant to EPCA (42 U.S.C.
6316(b); 42 U.S.C. 6296), and (2) making other representations about
the efficiency of that equipment (42 U.S.C. 6314(d)). Similarly, DOE
uses these test procedures to determine whether the equipment complies
with relevant standards promulgated under EPCA.
Federal energy efficiency requirements for covered equipment
established under EPCA generally supersede State laws and regulations
concerning energy conservation testing, labeling, and standards. (42
U.S.C. 6316(a)-(b); 42 U.S.C. 6297) 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.
6316(b)(2)(D))
Under 42 U.S.C. 6314, EPCA sets forth the criteria and procedures
DOE must follow when prescribing or amending test procedures for
covered equipment. EPCA requires that any test procedures prescribed or
amended under this section must be reasonably designed to produce test
results which reflect energy efficiency, energy use, or estimated
annual operating cost of a given type of covered equipment during a
representative average use cycle (as determined by the Secretary) and
requires that test procedures not be unduly burdensome to conduct. (42
U.S.C. 6314(a)(2))
As discussed, 3-phase ACUACs and ACUHPs with cooling capacity of
less than 65,000 Btu/h and 3-phase VRF with cooling capacity of less
than 65,000 Btu/h are both categories of small commercial package air
conditioning and heating equipment. EPCA requires that the test
procedures for small commercial package air conditioning and heating
equipment shall be those generally accepted industry testing procedures
or rating procedures developed or recognized by the Air-Conditioning,
Heating, and Refrigeration Institute (``AHRI'') or by the American
Society of Heating, Refrigerating and Air-Conditioning Engineers
(``ASHRAE''), as referenced in ASHRAE Standard 90.1, ``Energy Standard
for Buildings Except Low-Rise Residential Buildings'' (``ASHRAE
Standard 90.1''). (42 U.S.C. 6314(a)(4)(A)) Further, if that industry
test procedure is amended, DOE must amend its test procedure to be
consistent with the amended industry test procedure, unless DOE
determines, by rule published in the Federal Register and supported by
clear and convincing evidence, that such amended test procedure would
not meet the requirements in 42 U.S.C. 6314(a)(2) and (3) related to
representative use and test burden. (42 U.S.C. 6314(a)(4)(B))
EPCA also requires that, at least once every 7 years, DOE shall
evaluate test procedures for each type of covered equipment, including
those addressed in this final rule, to determine whether amended test
procedures would more accurately or fully comply with the requirements
for the test procedures to not be unduly burdensome to conduct and be
reasonably designed to produce test results that reflect energy
efficiency, energy use, and estimated operating costs during a
representative average use cycle. (42 U.S.C. 6314(a)(1))
In addition, if the Secretary determines that a test procedure
amendment is warranted, DOE must publish the proposed test procedure in
the Federal Register and afford interested persons an opportunity (of
not less than 45 days' duration) to present oral and written data,
views, and comments on the proposed test procedure. (42 U.S.C. 6314(b))
If DOE determines that test procedure revisions are not appropriate,
DOE must publish its determination not to amend the test procedure. (42
U.S.C. 6314(a)(1)(A)(ii)) DOE is publishing this final rule consistent
with its obligations under EPCA.

B. Background

DOE's current test procedures for 3-phase ACUACs and ACUHPs with
cooling capacity of less than 65,000 Btu/h and for 3-phase VRF with
cooling

[[Page 77300]]

capacity of less than 65,000 Btu/h are codified at 10 CFR 431.96.
The Federal test procedure for 3-phase ACUACs and ACUHPs with
cooling capacity of less than 65,000 Btu/h was last amended in a final
rule published in the Federal Register on May 16, 2012, to incorporate
by reference American National Standards Institute (``ANSI'')/AHRI
Standard 210/240-2008, ``Performance Rating of Unitary Air-Conditioning
& Air-Source Heat Pump Equipment'' (``ANSI/AHRI 210/240-2008''). 77 FR
28928 (``May 2012 final rule''). The May 2012 final rule also
established additional testing requirements at 10 CFR 431.96(c) and (e)
that provide an optional break-in period for testing and add
specifications regarding the use of manufacturer instructions in set-
up, respectively, applicable to measuring seasonal energy efficiency
ratio (``SEER'') and heating seasonal performance factor (``HSPF'') for
this equipment. Id. at 77 FR 28991.
The Federal test procedure for 3-phase VRF with cooling capacity of
less than 65,000 Btu/h was also last amended in the May 2012 final rule
and incorporated by reference ANSI/AHRI Standard 1230-2010, ``2010
Standard for Performance Rating of Variable Refrigerant Flow Multi-
Split Air-Conditioning and Heat Pump Equipment'' (``ANSI/AHRI 1230-
2010''). The testing requirements at 10 CFR 431.96(c) and (e) also
apply to VRF multi-split systems. Additionally, the May 2012 final rule
established additional testing requirements at 10 CFR 431.96(d) and (f)
that provide for refrigerant line length corrections for tests
conducted using ANSI/AHRI 1230-2010 and for manufacturer involvement in
assessment or enforcement testing for VRF multi-split systems,
respectively. Id.
In 2017, AHRI published an updated version of its standard
``Performance Rating of Unitary Air-conditioning & Air-source Heat Pump
Equipment'' (``AHRI 210/240-2017''). AHRI 210/240-2017 includes a
number of changes as compared to ANSI/AHRI 210/240-2008 that are
relevant to DOE's current test procedure, and many of these changes
were based on DOE's test procedure for single-phase, central air
conditioners and central air conditioning heat pumps (collectively,
``CAC/HPs'') with a cooling capacity of less than 65,000 Btu/h.\6\
DOE's current test procedures for single-phase CAC/HPs with a cooling
capacity of less than 65,000 Btu/h are codified at 10 CFR part 430,
subpart B, appendices M and M1 (``appendix M'' and ``appendix M1'',
respectively). Prior to January 1, 2023, any representations, including
compliance certifications, made with respect to the energy use, power,
or efficiency of CAC/HPs must be based on the results of testing
pursuant to appendix M. On or after January 1, 2023, any
representations, including compliance certifications, made with respect
to the energy use, power, or efficiency of CAC/HPs must be based on the
results of testing pursuant to appendix M1.
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\6\ Three-phase equipment models generally are identical
physically to their single-phase, residential counterparts except
for the electrical systems and components designed for three-phase
power input.
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Following the publication of AHRI 210/240-2017, on October 2, 2018,
DOE published in the Federal Register a request for information
(``RFI'') seeking comments on whether DOE should align its test
procedure (and certification and enforcement requirements) for 3-phase
ACUACs and ACUHPs with cooling capacity of less than 65,000 Btu/h with
that of air-cooled, single-phase CAC/HPs with a cooling capacity of
less than 65,000 Btu/h, consistent with the update to AHRI 210/240-
2017. 83 FR 49501 (``October 2018 RFI'').
In April 2019, AHRI published ``Performance Rating of Unitary Air-
Conditioning & Air-Source Heat Pump Equipment (with Addendum 1)''
(``AHRI 210/240-2017 with Addendum 1''), which incorporated minor
revisions to definitions, testing requirements, and efficiency
calculations.
On October 23, 2019, ASHRAE released ASHRAE Standard 90.1-2019,
which maintained the reference to AHRI Standard 210/240 as the industry
testing standard for 3-phase ACUACs and ACUHPs with cooling capacity of
less than 65,000 Btu/h but updated the editions referenced. For the
period prior to January 1, 2023, ASHRAE Standard 90.1-2019 references
AHRI 210/240-2017. For the period beginning January 1, 2023, ASHRAE
Standard 90.1-2019 references AHRI Standard 210/240-2023, ``Performance
Rating of Unitary Air-conditioning & Air-source Heat Pump Equipment''
(``AHRI 210/240-2023'') AHRI 210/240-2023 harmonizes with DOE's
appendix M1 test procedure and provides for measuring energy efficiency
using the SEER2 and HSPF2 metrics for CAC/HPs. ASHRAE Standard 90.1-
2019 maintained the reference to AHRI Standard 1230 as the industry
testing standard for all VRF multi-split systems, including air-cooled,
three-phase units with a cooling capacity of less than 65,000 Btu/h,
with an update to reference the most recently published version at the
time, AHRI 1230-2014 with Addendum 1.\7\
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\7\ 3-phase VRF with cooling capacity of less than 65,000 Btu/h
are not excluded from the scope of either AHRI 210/240 (2017 and
2023) or AHRI 1230-2014 with Addendum 1.
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In May 2020 and May 2021, AHRI published AHRI 210/240-2023 and AHRI
1230-2021, respectively. AHRI 1230-2021 excludes from its scope air-
cooled, VRF multi-split systems with a cooling capacity of less than
65,000 Btu/h. Both AHRI 210/240-2017 with Addendum 1 and AHRI 210/240-
2023 exclude from their scope only VRF multi-split systems that have
capacities greater than or equal to 65,000 Btu/h. Because AHRI 1230-
2021 explicitly excludes VRF multi-split systems with a cooling
capacity of less than 65,000 Btu/h from scope, and the scope exclusion
in AHRI 210/240-2023 applies only to VRF multi-split systems with a
cooling capacity of 65,000 Btu/h or greater, 3-phase VRF with cooling
capacity of less than 65,000 Btu/h are included within the scope of
AHRI 210/240-2023.
As such, DOE has determined that AHRI 210/240-2023 is now the
appropriate industry test standard for 3-phase VRF with cooling
capacity of less than 65,000 Btu/h. 3-phase VRF with cooling capacity
of less than 65,000 Btu/h do not currently exist on the market, but DOE
expects that any such equipment introduced to the market in the future
would likely be identical to air-cooled, single-phase, VRF multi-split
systems (except for the components designed for three-phase power
input). Therefore, DOE has determined that it is appropriate to align
the test procedure for 3-phase VRF with cooling capacity of less than
65,000 Btu/h (AHRI 210/240-2023) with the test procedure for their
single-phase counterparts (i.e., appendix M1).
On December 8, 2021, DOE published a notice of proposed rulemaking
(``NOPR'') (``December 2021 NOPR'') proposing, in relevant part, to
update the references in the Federal test procedures to the most recent
versions of the relevant industry test procedures as they relate to 3-
phase ACUACs and ACUHPs with cooling capacity of less than 65,000 Btu/h
and 3-phase VRF with cooling capacity of less than 65,000 Btu/h. 86 FR
70316, 70319. In addition, DOE proposed to update most of its
representation and enforcement requirements for 3-phase ACUACs and
ACUHPs with cooling capacity of less than 65,000 Btu/h and for 3-phase
VRF with cooling capacity of less than 65,000 Btu/h to be consistent
with those of their consumer product counterparts (i.e., air-cooled,
single-phase CAC/HPs

[[Page 77301]]

with a cooling capacity of less than 65,000 Btu/h (which include
single-phase VRF multi-split systems)). Id. DOE held a public meeting
on January 10, 2022, via a webinar, to present the proposed amendments
and provide stakeholders with further opportunity to comment.\8\
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\8\ The transcript of the public meeting is available at <a href="https://www.regulations.gov/document/EERE-2017-BT-TP-0031-0012">https://www.regulations.gov/document/EERE-2017-BT-TP-0031-0012</a>.
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DOE received comments in response to the December 2021 NOPR from
the interested parties listed in Table I.1.

Table I.1--List of Commenters With Written Submissions in Response to the December 2021 NOPR
----------------------------------------------------------------------------------------------------------------
Reference in this Comment No. in
Commenter(s) final rule the docket Commenter type
----------------------------------------------------------------------------------------------------------------
Air-Conditioning, Heating, and AHRI.............. 16 Trade Association.
Refrigeration Institute.
Appliance Standards Awareness Joint Advocates... 17 Energy Efficiency Advocates.
Project (``ASAP''), American
Council for an Energy-
Efficient Economy (``ACEEE''),
and Natural Resources Defense
Council (``NRDC'').
Pacific Gas and Electric CA IOUs........... 18 Utilities.
Company, San Diego Gas and
Electric, and Southern
California Edison;
collectively, the California
Investor-Owned Utilities.
Carrier Corporation............ Carrier........... 15 Manufacturer.
Lennox International........... Lennox............ 14 Manufacturer.
Northwest Energy Efficiency NEEA.............. 20 Efficiency Advocate.
Alliance.
New York State Energy Research NYSERDA........... 13 State Government.
and Development Authority.
Trane Technologies............. Trane............. 19 Manufacturer.
----------------------------------------------------------------------------------------------------------------

A parenthetical reference at the end of a comment quotation or
paraphrase provides the location of the item in the public record.\9\
To the extent that interested parties have provided written comments
that are substantively consistent with any oral comments provided
during the January 10, 2022, public meeting, DOE cites the written
comments throughout this final rule. DOE did not identify any oral
comments provided during the webinar that are not substantively
addressed by written comments.
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\9\ The parenthetical reference provides a reference for
information located in the docket of DOE's rulemaking to develop
test procedures for 3-phase ACUACs and ACUHPs with cooling capacity
of less than 65,000 Btu/h and 3-phase VRF with cooling capacity of
less than 65,000 Btu/h. (Docket No. EERE-2017-BT-TP-0031, which is
maintained at <a href="http://www.regulations.gov">www.regulations.gov</a>.) The references are arranged as
follows: (commenter name, comment docket ID number, page of that
document).
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On March 30, 2022, DOE published in the Federal Register an energy
conservation standards (``ECS'') NOPR (``March 2022 ECS NOPR'') that
proposed amended energy conservation standards for 3-phase ACUACs and
ACUHPs with cooling capacity of less than 65,000 Btu/h and 3-phase VRF
with cooling capacity of less than 65,000 Btu/h in terms of the new
cooling and heating metrics, SEER2 and HSPF2, respectively. 87 FR
18290.

II. Synopsis of the Final Rule

In this final rule, DOE is updating the references in the Federal
test procedures to the most recent versions of the relevant industry
test procedures as they relate to 3-phase ACUACs and ACUHPs with
cooling capacity of less than 65,000 Btu/h and 3-phase VRF with cooling
capacity of less than 65,000 Btu/h. Specifically, DOE is updating its
regulations at 10 CFR 431.96, ``Uniform test method for the measurement
of energy efficiency of commercial air conditioners and heat pumps,''
as follows: (1) to incorporate by reference AHRI 210/240-2023 and ANSI/
ASHRAE 37-2009; and (2) to establish provisions for determining SEER2
and HSPF2. The current DOE test procedures for all equipment addressed
in this final rule are relocated to a new appendix F of subpart F to 10
CFR part 431 (``appendix F'') without change, and the new test
procedure adopting AHRI 210/240-2023 is established in a new appendix
F1 of subpart F to 10 CFR part 431 (``appendix F1'') for determining
SEER2 and HSPF2. Use of appendix F1 is not required until such time as
compliance is required with amended energy conservation standards that
rely on SEER2 and HSPF2, should DOE adopt such standards.
In addition, DOE is updating most of its representation and
enforcement requirements for 3-phase ACUACs and ACUHPs with cooling
capacity of less than 65,000 Btu/h and for 3-phase VRF with cooling
capacity of less than 65,000 Btu/h to be consistent with those of their
single-phase, consumer product counterparts (i.e., air-cooled, single-
phase CAC/HPs with a cooling capacity of less than 65,000 Btu/h (which
include single-phase VRF multi-split systems).
As noted, the current DOE test procedures for all equipment
addressed in this final rule are being relocated to appendix F without
change. The adopted amendments for the revised test procedures at
appendix F1 are summarized in Table II.1 and are compared to the test
procedure provisions in place prior to these amendments, as well as the
reason for each adopted change.

Table II.1--Summary of Changes in the Amended Test Procedures
------------------------------------------------------------------------
DOE test procedures prior to Amended test
amendment procedures Attribution
------------------------------------------------------------------------
Incorporate by reference ANSI/ Incorporate by EPCA requirement
AHRI 210/240-2008 (for reference AHRI to harmonize with
equipment other than VRF multi- 210/240-2023 and industry test
split systems) and ANSI/AHRI ANSI/ASHRAE 37- procedure.
1230-2010 (for VRF multi-split 2009 in a new
systems). appendix F1 for
all three-phase
equipment subject
to this
rulemaking.

[[Page 77302]]

Applicable representation Amend Harmonization with
requirements are those representation single-phase
specified at 10 CFR 429.43 and requirements at consumer product
10 CFR 429.70 for commercial new 10 CFR 429.67 counterparts and
heating, ventilating, and air and 10 CFR reduction of
conditioning (``HVAC'') 429.70--including testing burden on
equipment. basic model manufacturers.
definition,
tested
combination,
determination of
represented
value, and
alternative
energy
determination
method (``AEDM'')
requirements--lar
gely consistent
with requirements
for single-phase
consumer product
counterparts.
Amended
representation
requirements
allow the use of
an AEDM that is
validated with
testing of
otherwise
identical single-
phase central air
conditioners and
heat pumps for
rating three-
phase, less than
65,000 Btu/h
single package
units and split
systems.
------------------------------------------------------------------------

DOE has determined that the amendments described in section III of
this document regarding the establishment of appendix F will not alter
the measured efficiency of equipment addressed in this document or
require retesting or recertification solely as a result of DOE's
adoption of the amendments to the test procedures. However, DOE has
determined that the test procedures' amendments in appendix F1 will
alter the measured efficiency of the affected equipment but that such
amendments are consistent with the updated industry test procedures.
Further, use of the test procedures in appendix F1 and the amendments
to the representation requirements in 10 CFR 429.43 and 429.70 are not
required until the compliance date of amended standards in terms of
SEER2 and HSPF2, should DOE adopt such standards. Additionally, DOE has
determined that the amendments will not increase the cost of testing
relative to the updated industry test procedures.
The effective date for the amended test procedures adopted in this
final rule is 30 days after publication of this document in the Federal
Register. Section III of this document discusses DOE's actions in
detail.

III. Discussion

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

A. Scope of Applicability

Three-phase ACUACs and ACUHPs with cooling capacity of less than
65,000 Btu/h and 3-phase VRF with cooling capacity of less than 65,000
Btu/h are both categories of small commercial package air conditioning
and heating equipment. Commercial package air-conditioning and heating
equipment may be air cooled, water cooled, evaporatively cooled, or
water source based (not including ground water source). This equipment
is electrically operated and designed as unitary central air
conditioners or central air conditioning heat pumps for use in
commercial applications. 10 CFR 431.92.
As discussed in the December 2021 NOPR, 3-phase ACUACs and ACUHPs
with cooling capacity of less than 65,000 Btu/h are typically nearly
identical (and therefore typically have comparable efficiency) to
single-phase CAC/HPs with rated cooling capacities of less than 65,000
Btu/h, which are consumer products also subject to EPCA and for which
DOE has already established energy conservation standards (10 CFR
430.32(c)) and test procedures (appendices M and M1). 86 FR 70316,
70320. Based on this ``nearly identical'' relationship, while 3-phase
VRF with cooling capacity of less than 65,000 Btu/h do not currently
exist on the market, DOE stated in the December 2021 NOPR that it
expects that any such equipment introduced to the market in the future
is likely to be identical (except for the components designed for
three-phase power input) to their single-phase counterparts, which are
a subset of single-phase CAC/HPs, and, as such, are also rated using
appendices M and M1. Id.
3-phase ACUACs and ACUHPs with cooling capacity of less than 65,000
Btu/h are further disaggregated into four equipment classes: single-
package air conditioners, single-package heat pumps, split-system air
conditioners, and split-system heat pumps.\10\ 10 CFR 431.97(b). This
final rule amends the test procedure applicable to all four equipment
classes but without amending its current scope. 3-phase VRF with
cooling capacity of less than 65,000 Btu/h are further disaggregated
into two equipment classes: air conditioners and heat pumps. 10 CFR
431.97(f). This final rule amends the test procedure applicable to both
equipment categories but without amending its current scope.
---------------------------------------------------------------------------

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

B. Proposed Organization of the Test Procedure

In the December 2021 NOPR, DOE proposed to relocate and centralize
the current test procedures for 3-phase ACUACs and ACUHPs with cooling
capacity of less than 65,000 Btu/h and 3-phase VRF with cooling
capacity of less than 65,000 Btu/h to a new appendix B to subpart F of
part 431, such that the proposed appendix B would be consistent with
the current test procedures at 10 CFR 431.96 (as applicable to the
three-phase equipment addressed in this rulemaking) and would continue
to reference ANSI/AHRI 210/240-2008 and ANSI/AHRI 1230-2010 and provide
instructions for determining SEER and HSPF. 86 FR 70316, 70320-70321.
DOE correspondingly proposed to update the existing incorporation by
reference of ANSI/AHRI 210/240-2008 and ANSI/AHRI 1230-2010 at 10 CFR
431.95 to apply it to appendix B. The proposed appendix B would also
centralize the additional test provisions currently applicable under 10
CFR 431.96, i.e., 10 CFR 431.96(c) through (f). Id. As proposed, the
three-phase equipment addressed in this rulemaking would be required to
be tested according to

[[Page 77303]]

appendix B until such time as compliance is required with amended
energy conservation standards that rely on the SEER2 and HSPF2 metrics,
should DOE adopt such standards. Id.
Similarly, DOE proposed to amend the test procedures for 3-phase
ACUACs and ACUHPs with cooling capacity of less than 65,000 Btu/h and
3-phase VRF with cooling capacity of less than 65,000 Btu/h by adopting
AHRI 210/240-2023 in a new appendix B1 to subpart F of part 431. Id.
DOE proposed to adopt the updated version of AHRI Standard 210/240,
i.e., AHRI 210/240-2023, including the SEER2 and HSPF2 metrics. As
proposed, the three-phase equipment addressed in this rulemaking would
not be required to be tested using the test procedure in proposed
appendix B1 until such time as compliance is required with amended
energy conservation standards that rely on the SEER2 and HSPF2 metrics,
should DOE adopt such standards. Id.
DOE did not receive any comments in response to the proposed
organization of the test procedures. As discussed in the following
sections of this final rule, DOE is adopting AHRI 210/240-2023,
including the SEER2 and HSPF2 metrics. Accordingly, for the reasons
discussed in the December 2021 NOPR and as discussed in the preceding
paragraphs, DOE is finalizing the proposed organization of the test
procedures by establishing appendices F and F1 \11\ for testing 3-phase
ACUACs and ACUHPs with cooling capacity of less than 65,000 Btu/h and
3-phase VRF with cooling capacity of less than 65,000 Btu/h.
---------------------------------------------------------------------------

\11\ Although DOE proposed in the December 2021 NOPR to
establish test procedures at appendices B and B1 for the three-phase
equipment subject to this rulemaking, appendix B has since been
established for direct-expansion dedicated outdoor air systems.
Further, appendices C, D, and E have been designated for other
categories of commercial air conditioning and heating equipment. As
a result, in this final rule, DOE establishes appendices F and F1
for the equipment that is the subject of this final rule.
---------------------------------------------------------------------------

C. Metrics

As noted, for 3-phase ACUACs and ACUHPs with cooling capacity of
less than 65,000 Btu/h and for 3-phase VRF with cooling capacity of
less than 65,000 Btu/h, the cooling metric and heating metric currently
specified by DOE are the SEER and HSPF metrics, respectively. 10 CFR
431.96. As noted in the December 2021 NOPR, SEER is a seasonal
efficiency metric that accounts for electricity consumption in active
and standby cooling modes during the cooling season, while HSPF is a
seasonal efficiency metric that accounts for electricity consumption in
active and standby heating modes for heat pumps during the heating
season. 86 FR 70316, 70320. These same metrics currently apply to
single-phase CAC/HPs, including single-phase, air-cooled VRF multi-
split systems with a cooling capacity of less than 65,000 Btu/h (see
appendix M). Id.
As discussed in the December 2021 NOPR, SEER2 and HSPF2 are metrics
established in the amended test procedure for single-phase CAC/HPs
(appendix M1) and have the same definitions as their counterpart
metrics in appendix M (i.e., SEER and HSPF) but reflect the amendments
made to the test procedure in appendix M1, which change the measured
efficiency values compared to appendix M. (See 82 FR 1426, 1437 (Jan.
5, 2017) explaining DOE's decision to adopt the new metrics SEER2 and
HSPF2.) Id. at 86 FR 70321.

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

As noted, the current DOE test procedure at 10 CFR 431.96 for 3-
phase ACUACs and ACUHPs with cooling capacity of less than 65,000 Btu/h
incorporates by reference ANSI/AHRI 210/240-2008 with Addenda 1 and 2
(i.e., ANSI/AHRI 210/240-2008, but omitting section 6.5). ANSI/AHRI
210/240-2008 includes as appendix C (which is designated as normative
in the industry test standard \12\) the entirety of the text of
appendix M as amended by a final rule published on October 22, 2007 (72
FR 59906). Appendix M provides the Federal test procedure for
determining the efficiency of single-phase CAC/HPs with rated cooling
capacities of less than 65,000 Btu/h, which are consumer products
covered under 10 CFR part 430.
---------------------------------------------------------------------------

\12\ The inclusion of appendix M in the normative appendix C of
AHRI 210/240-2008 means that appendix M was required to be followed
when testing in accordance with ANSI/AHRI 210/240-2008.
---------------------------------------------------------------------------

The current DOE test procedure at 10 CFR 431.96 for 3-phase VRF
with cooling capacity of less than 65,000 Btu/h incorporates by
reference ANSI/AHRI 1230-2010 with Addendum 1 (i.e., ANSI/AHRI 1230-
2010, but omitting sections 5.1.2 and 6.6).
As noted previously in this document, AHRI has published several
updated industry standards: AHRI 210/240-2017 (published in December
2017); AHRI 210/240-2017 with Addendum 1 (published in April 2019);
AHRI 210/240-2023 (published in May 2020); and AHRI 1230-2021
(published in May 2021).
As discussed in the following sections, DOE is incorporating by
reference AHRI 210/240-2023 as the test procedure for the three-phase
equipment addressed in this final rule. DOE is also incorporating by
reference ANSI/ASHRAE 37-2009, which is referenced by AHRI 210/240-
2023. Use of the amended test procedures incorporating AHRI 210/240-
2023 will not be required until such time as compliance is required
with amended standards in terms of the new metrics, SEER2 and HSPF2,
should DOE adopt such energy conservation standards. These amended test
procedures align with the test procedure and metrics for CAC/HPs
specified at appendix M1.
1. Harmonization With Single-Phase Products
As discussed in the December 2021 NOPR, the three-phase equipment
that is the subject of this final rule is often nearly identical to
their single-phase counterparts. 86 FR 70316, 70322. Specifically,
three-phase models generally are manufactured on the same production
lines and are physically identical to their corresponding single-phase
central air conditioner and central air conditioning heat pump models,
except that the former have three-phase electrical systems and use
components--primarily motors and compressors--that are designed for
three-phase power input. Id. Other key operational components, such as
heat exchangers and fans (excluding fan motors), are typically
identical for three-phase and single-phase designs of a given model
family. Id. In addition, most manufacturers' model numbers for single-
phase products and three-phase equipment are interchangeable, and
three-phase and single-phase versions of the same model typically have
the same energy efficiency ratings. See, e.g., 80 FR 42614, 42622 (July
17, 2015) and 83 FR 49501, 49504.
As discussed in the December 2021 NOPR, in response to the October
2018 RFI, stakeholders supported harmonizing the test procedures for 3-
phase ACUACs and ACUHPs with cooling capacity of less than 65,000 Btu/h
with the test procedures for single-phase CAC/HPs with a cooling
capacity of less than 65,000 Btu/h.\13\ (CA IOUs, No. 2 at pp. 1-2;
Ingersoll Rand, No. 3 at p. 2; AHRI, No. 4 at pp. 1-2; NRDC and ASAP,
No. 5 at pp. 1-2; Lennox, No. 6 at pp. 1-2; Carrier, No. 7 at p. 1;
Goodman, No. 8 at pp. 1-3). 86 FR 70316, 70322. In addition, several

[[Page 77304]]

stakeholders supported harmonizing with both appendix M and appendix M1
or at a minimum, with appendix M1 (Carrier, No. 7 at p. 2; Goodman, No.
8 at pp. 1-2; AHRI, No. 4 at p. 2; CA IOUs, No. 2 at p. 2; NRDC and
ASAP, No. 5 at pp. 1-2; Lennox, No. 6 at p. 2). Id.
---------------------------------------------------------------------------

\13\ All comments are available at <a href="http://www.regulations.gov">www.regulations.gov</a>, in
Docket No. EERE-2017-BT-TP-0031.
---------------------------------------------------------------------------

The following sections discuss DOE's consideration of harmonization
with the relevant industry standards, including consideration of
harmonization with appendices M and appendix M1.
2. AHRI 210/240-2017 and AHRI 210/240-2017 With Addendum 1
In the December 2021 NOPR, DOE considered whether to harmonize the
current test procedures for the three-phase equipment addressed in this
document with appendix M by adopting AHRI 210/240-2017 and AHRI 210/
240-2017 with Addendum 1 for compliance prior to January 1, 2023. 86 FR
70316, 70321-70324. However, DOE noted that the required 360-day
compliance lead-time period for test procedure final rules for ASHRAE
equipment specified in EPCA (42 U.S.C. 6314(d)(1)) would result in
little to no time between the compliance date of the final rule for
this test procedure rulemaking and January 1, 2023-when appendix M1 is
required for testing CAC/HPs (and when appendix M will no longer be
used). Id. at 86 FR 70322. Therefore, DOE tentatively concluded that
there would be little practical benefit to harmonizing the test
procedures for the three-phase equipment addressed in this final rule
with the current test procedures for CAC/HPs at appendix M. Id.
Furthermore, DOE identified errors in AHRI 210/240-2017 with Addendum 1
that DOE tentatively determined would need to be corrected in
regulatory text if DOE were to adopt AHRI 210/240-2017 with Addendum 1.
Id. at 86 FR 70323. For these reasons, DOE tentatively concluded that
adopting a revised test procedure (i.e., referencing AHRI 210/240-2017
or AHRI 210/240-2017 with Addendum 1, along with the substantive
corrections and deviations that would be required) for 3-phase ACUACs
and ACUHPs with cooling capacity of less than 65,000 Btu/h would be
unduly burdensome to manufacturers. Id. at 86 FR 70324. DOE considered
these reasons to constitute clear and convincing evidence that adopting
AHRI 210/240-2017 or AHRI 210/240-2017 with Addendum 1 would not meet
the requirements specified in 42 U.S.C. 6314(a)(2). Id.
As such, DOE proposed to maintain the current test procedure for 3-
phase ACUACs and ACUHPs with cooling capacity of less than 65,000 Btu/
h, which incorporates by reference ANSI/AHRI 210/240-2008, until such
time as use of the amended test procedure referencing AHRI 210/240-2023
would be required. Id. Several commenters supported the proposal to
maintain reference to ANSI/AHRI 210/240-2008 with Addenda 1 and 2 as
the Federal test procedure for 3-phase ACUACs and ACUHPs with cooling
capacity of less than 65,000 Btu/h, until such time as use of the
amended test procedure referencing AHRI 210/240-2023 would be required.
(AHRI, No. 16 at p. 2; CA IOUs, No. 18 at pp. 1-2; Carrier, No. 15 at
p. 2; Lennox, No.14 at p. 2; NYSERDA, No. 13 at pp. 1-2; Trane, No. 19
at p. 1)
However, CA IOUs commented that because ANSI/AHRI 210/240-2008 with
Addenda 1 and 2 references ANSI/ASHRAE 37-2005 (while appendix M and
ANSI/AHRI Standard 1230-2010 reference ANSI/ASHRAE 37-2009), there is a
discrepancy in the treatment of 3-phase ACUAC and ACUHP versus VRF
equipment under the proposed appendix B.\14\ (CA IOUs, No. 18 at p. 2)
CA IOUs recommended that DOE consider adding an exception in section 1
of appendix B, such that ANSI/AHRI Standard 210/240-2008 is required in
conjunction with ANSI/ASHRAE 37-2009, thereby making the incorporation
by reference fully consistent with the approaches taken for single-
speed products under appendix M and VRF equipment in ANSI/AHRI Standard
1230-2010. (Id.)
---------------------------------------------------------------------------

\14\ As noted, appendix B as proposed in the December 2021 NOPR
corresponds to appendix F as finalized in this final rule.
---------------------------------------------------------------------------

DOE acknowledges the concern raised by CA IOUs, but DOE notes that
ANSI/AHRI 1230-2010 does not reference ANSI/ASHRAE 37-2009 as commented
by CA IOUs (and erroneously mentioned by DOE in the December 2021 NOPR
\15\), but instead references ANSI/ASHRAE 37-2005. Therefore, there is
no discrepancy in the treatment of 3-phase ACUAC and ACUHP versus VRF
equipment as proposed in appendix B in the December 2021 NOPR (and as
adopted in appendix F in this final rule) because ANSI/AHRI 210/240-
2008 and ANSI/AHRI 1230-2010 both reference ANSI/ASHRAE 37-2005.
Additionally, DOE notes that appendix F is intended to reflect the test
procedure as it is prescribed in the Federal Register currently--and
the current test procedure for 3-phase ACUACs and ACUHPs with cooling
capacity of less than 65,000 Btu/h references ANSI/AHRI 210/240-2008,
which in turn references ANSI/ASHRAE 37-2005. As such, referencing
ANSI/ASHRAE 37-2009 in appendix F would lead to appendix F being
incongruous with the current test procedure.
---------------------------------------------------------------------------

\15\ In the December 2021 NOPR, DOE mistakenly stated that ANSI/
AHRI 1230-2010 references ANSI/ASHRAE 37-2009. 86 FR 70316, 70325-
70326. This oversight did not impact any of the DOE analysis
conducted in the December 2021 NOPR.
---------------------------------------------------------------------------

As a result, DOE is maintaining the reference to ANSI/AHRI 210/240-
2008 with Addenda 1 and 2 as the Federal test procedure for 3-phase
ACUACs and ACUHPs with cooling capacity of less than 65,000 Btu/h in
appendix F without an exception related to the version of ANSI/ASHRAE
37. DOE is also updating the existing incorporation by reference of
ANSI/AHRI 210/240-2008 at 10 CFR 431.95 to apply to appendix F. As
stated previously in this document, appendix F will serve as the
Federal test procedure until such time as use of the amended test
procedure referencing AHRI 210/240-2023, appendix F1, is required as
discussed in the following section.
3. AHRI 210/240-2023
In the December 2021 NOPR, DOE noted that AHRI 210/240-2023
generally corrects the errors in AHRI 210/240-2017 with Addendum 1 and
harmonizes with the updated Federal test method for single-phase CAC/
HPs with rated cooling capacities of less than 65,000 Btu/h (i.e.,
appendix M1, required for use beginning January 1, 2023), which
includes single-phase, air-cooled, VRF multi-split systems with a
cooling capacity of less than 65,000 Btu/h. 86 FR 70316, 70324.
Additionally, DOE noted that the updates contained in AHRI 210/240-2023
provide for measuring energy efficiency using the SEER2 and HSPF2
metrics, which are the metrics adopted by ASHRAE Standard 90.1-2019 for
the 3-phase ACUACs and ACUHPs with cooling capacity of less than 65,000
Btu/h standards beginning January 1, 2023.\16\ Id. In response to this
update to AHRI 210/240, DOE proposed to incorporate AHRI 210/240-2023
as the test procedure with which representations must be made beginning
with the compliance date of any amended DOE standards for three-phase
equipment relying on SEER2 and HSPF2 as the metrics.\17\ Id.
---------------------------------------------------------------------------

\16\ ASHRAE 90.1-2019 did not update the metrics for 3-phase VRF
with cooling capacity of less than 65,000 Btu/h. Those metrics
remain SEER and HSPF in ASHRAE Standard 90.1.
\17\ The timing and implementation of any amended standards may
be different for 3-phase ACUACs and ACUHPs with cooling capacity of
less than 65,000 Btu/h and for 3-phase VRF with cooling capacity of
less than 65,000 Btu/h, depending on DOE rulemakings related to
energy conservation standards for those separate categories of
equipment.

---------------------------------------------------------------------------

[[Page 77305]]

In the December 2021 NOPR, DOE sought comment on its proposal to
incorporate by reference AHRI 210/240-2023 in the DOE test procedures
for 3-phase ACUACs and ACUHPs with cooling capacity of less than 65,000
Btu/h and 3-phase VRF with cooling capacity of less than 65,000 Btu/h.
Id. at 86 FR 70325. DOE also sought comment on its proposal to require
compliance with these test procedures on the compliance date of any
amended energy conservation standards that DOE may adopt later as part
of a future rulemaking. Id.
Commenters generally supported the proposal to incorporate by
reference AHRI 210/240-2023 in the DOE test procedures for 3-phase
ACUACs and ACUHPs with cooling capacity of less than 65,000 Btu/h and
3-phase VRF with cooling capacity of less than 65,000 Btu/h, with a
compliance date aligning with the compliance date of any amended DOE
standards for three-phase equipment relying on SEER2 and HSPF2 as the
metrics. (AHRI, No. 16 at pp. 2-3; Carrier, No. 15 at pp. 2-3; Lennox,
No. 14 at p. 2; NEEA, No. 20 at p. 1; NYSERDA, No. 13 at pp. 1-2;
Trane, No. 19 at p. 1)
In summary, for the reasons discussed in the December 2021 NOPR and
in this document, DOE is incorporating by reference AHRI 210/240-2023
in the DOE test procedures for 3-phase ACUACs and ACUHPs with cooling
capacity of less than 65,000 Btu/h and 3-phase VRF with cooling
capacity of less than 65,000 Btu/h, with the amended test procedures
required for use beginning on the compliance date of any amended energy
conservation standards. Specifically, in appendix F1, DOE is
referencing AHRI 210/240-2023 except for the following sections:

Section 6--Rating Requirements (these provisions are not related to the
method of test, and DOE separately addresses these topics in 10 CFR
part 429);
Sections 6.1.8, 6.4.1, 6.4.2, 6.4.3, and 6.4.4 (minimum testing and
certification requirements);
Sections 6.2 and 6.4.6 (permits a given product to have multiple
ratings of different values);
Section 6.5 (uncertainty allowances for testing, which are not relevant
to the Federal test procedure);
Sections 7 through 10, Appendix C, and Appendix I (relevant only to
AHRI's certification program);
Appendix F: Sections F15.2 and F17 (pertains to electrical measurements
and cyclic tolerances, respectively; DOE proposed modifications as
discussed in the December 2021 NOPR. 86 FR 70316, 70324-70325);
Appendix G (pertains to the exclusion of certain optional features for
testing, as discussed in the subsequent subsection); and
Appendix H (pertains to off-mode testing, which is not required by DOE
for three-phase equipment).
a. Appendix G of AHRI 210/240-2023
In Appendix G of AHRI 210/240-2023, AHRI included a list of
components that must be present for testing (Section G1.2) and a list
of features that are optional for testing (Section G2), which provides
additional instruction to address certain of these features and
additional details that are beyond the scope of the current Commercial
HVAC Enforcement Policy.\18\ Also, there are five features \19\ that
are included in the Commercial HVAC Enforcement Policy for 3-phase
ACUACs and ACUHPs with cooling capacity of less than 65,000 Btu/h that
are not included in Section G2 of AHRI 210/240-2023. Currently,
enforcement testing of 3-phase ACUACs and ACUHPs with cooling capacity
of less than 65,000 Btu/h and 3-phase VRF with cooling capacity of less
than 65,000 Btu/h falls under DOE's Commercial HVAC Enforcement Policy,
which outlines how certain features of this equipment will be treated
for compliance testing.
---------------------------------------------------------------------------

\18\ The enforcement policy for commercial HVAC equipment can be
found at <a href="http://www.energy.gov/gc/downloads/commercial-equipment-testing-enforcement-policies">www.energy.gov/gc/downloads/commercial-equipment-testing-enforcement-policies</a>.
\19\ These five features are high-static indoor blower or
oversized motor; desuperheaters; outdoor fan with Variable Frequency
Drive (``VFD''); indoor fan with VFD; and compressor with VFD.
---------------------------------------------------------------------------

In the December 2021 NOPR, DOE found that certain optional features
listed in Section G2 (as well as certain features that are included in
DOE's current Commercial HVAC Enforcement Policy but not included in
Section G2 of AHRI 210/240-2023) are present in models of 3-phase
ACUACs and ACUHPs with cooling capacity of less than 65,000 Btu/h. 86
FR 70316, 70325. However, DOE found that these same features are also
present in models of single-phase CAC/HPs with cooling capacity of less
than 65,000 Btu/h. Id. DOE's Commercial HVAC Enforcement Policy does
not apply to single-phase products and appendices M and M1 do not
include any special treatment for these optional features within the
test procedure. In addition, DOE has not received any waivers related
to these features and DOE does not have technical justification to
support differential treatment of such features for three-phase
equipment as compared to single-phase products. As such, DOE
tentatively determined that any of these features present in 3-phase
ACUACs and ACUHPs with cooling capacity of less than 65,000 Btu/h can
also be tested in accordance with the proposed test procedure and that,
to maintain harmonization with single-phase products, it was not
necessary to adopt Appendix G of AHRI 210/240-2023 in the proposed test
procedure. Id. DOE further noted that if DOE adopted an amended test
procedure for three-phase equipment that does not reference Appendix G,
DOE would rescind the Commercial HVAC Enforcement Policy to the extent
that it is applicable to 3-phase ACUACs and ACUHPs with cooling
capacity of less than 65,000 Btu/h and 3-phase VRF with cooling
capacity of less than 65,000 Btu/h. Id.
AHRI, Carrier, and Trane disagreed with DOE's tentative proposal to
not adopt Appendix G of the AHRI 210/240-2023 standard, which outlines
how certain features of this 3-phase equipment will be treated for
compliance testing. (AHRI, No. 16 at p. 3; Carrier, No. 15 at pp. 2-3;
Trane, No. 19 at p. 1) AHRI stated that not all three-phase equipment
models are based on a single-phase platform and that even those that
are face different codes and standards requirements than residential
products. (AHRI, No. 16 at p. 3) AHRI and Carrier asserted that DOE's
tentative determination that single-phase products sold in the market
include some of the features included in Appendix G is insufficient
justification to not adopt Appendix G for three-phase equipment. (AHRI,
No. 16 at p. 3; Carrier, No. 15 at p. 2) AHRI and Carrier further
commented that DOE did not clarify which single-phase product features
DOE analyzed to conclude that there was no technical justification to
support differential treatment of such features for three-phase
equipment as compared to single-phase products. (AHRI, No. 16 at p. 3;
Carrier, No. 15 at p. 2) AHRI and Carrier added that there was
technical justification for testing exemptions outlined in Appendix G,
such as three-phase power, which is exclusive to commercial buildings.
Id. AHRI and Carrier further noted that building codes have exclusive
requirements for commercial buildings, which create technical
differences between three-phase models and their single-phase
counterparts, as evidenced by California's energy code, Title 24-2022,
which requires economizers on units down to 33,000 Btu/hr. (AHRI, No.
16 at p. 3; Carrier, No. 15 at pp. 2-3) AHRI and Carrier also commented
that an appendix for ASHRAE Standard 90.1 is considering similar
requirements for

[[Page 77306]]

economizers on units down to 33,000 Btu/h. Id. AHRI and Carrier further
commented that without the Commercial HVAC Enforcement Policy or
Appendix G, manufacturers would not be able to factory install
economizers. Id. In conclusion, AHRI, Carrier, and Trane recommended
that DOE adopt Appendix G from AHRI 210/240-2023 as part of the test
procedures to continue to permit the necessary flexibility for
components. (AHRI, No. 16 at p. 3; Carrier, No. 15 at p. 3; Trane, No.
19 at p. 1)
In this final rule, DOE is adopting AHRI 210/240-2023 without
Appendix G in its test procedures for the three-phase equipment subject
to this final rule to align the test procedures for single-phase
products and three-phase equipment. As discussed in the December 2021
NOPR, DOE has not identified any optional components specified in
Appendix G that are included in three-phase equipment but not single-
phase products. Therefore, while certain optional components (e.g.,
economizers, as suggested by AHRI and Carrier) are offered as part of
certain models of three-phase equipment, such components are also
offered as part of certain models of single-phase products. DOE's test
procedure for CAC/HPs does not include provisions excluding Appendix G
components, such as economizers, and, as discussed, DOE has not
received petitions for waivers with regard to testing CAC/HPs with such
components.
Further, the commenters did not provide any justification for a
testing exemption for the Appendix G components in three-phase
equipment but not single-phase products--i.e., commenters did not
provide any information to suggest that testing a three-phase unit with
a specific Appendix G component would present any complications that
would not exist when testing an otherwise identical single-phase unit
with the same Appendix G component.
While the vast majority of three-phase equipment on the market are
otherwise identical to single-phase models, DOE acknowledges that there
are a number of three-phase equipment model lines without a single-
phase counterpart. However, per AHRI 210/240-2023, there is no
difference in testing three-phase equipment with single-phase
counterparts as compared to testing three-phase equipment without
single-phase counterparts. Additionally, the commenters did not provide
any justification as to why three-phase equipment without single-phase
counterparts would warrant different treatment with regard to Appendix
G components.
With regard to AHRI and Carrier's assertions that certain Appendix
G components (such as economizers) may be installed more commonly in
three-phase equipment than single-phase products (particularly because
certain commercial building codes may require use of specific Appendix
G components, such as economizers), the prevalence of the component in
shipments of three-phase equipment is not a relevant consideration for
whether test procedure provisions are warranted to exclude the
component from testing. Regardless of whether Appendix G components are
included more commonly in three-phase equipment than single-phase
products, DOE has concluded that they are included in both three-phase
equipment and single-phase products. DOE notes that commenters did not
provide any information to suggest that any of the components specified
in Appendix G are included in three-phase equipment but not single-
phase products.
Additionally, DOE disagrees with the commenter's assertions that
the use of three-phase power in commercial buildings provides a
technical justification for exemption of Appendix G components. If
building codes require certain Appendix G components for three-phase
equipment, this requirement may increase the fraction of shipments of
three-phase equipment with those components relative to single-phase
products, but it does provide any technical justification for exempting
the component from testing, given that the components are also included
in single-phase products, albeit in a potentially lower fraction of
shipments.
DOE disagrees with AHRI and Carrier's assertion that Appendix G
would be necessary for manufacturers to be able to factory install
economizers. DOE notes that manufacturers are able to factory install
economizers in single-phase products even though there is no exemption
of Appendix G components for testing such products, and the same will
be true without any allowance for exempted components for three-phase
equipment. DOE reiterates that, in this final rule, DOE is harmonizing
the test procedures for three-phase equipment with that for single-
phase products, and that commenters have not provided justification
needed to support the assertion that three-phase equipment warrants
exemption of components when those components are also included in
single-phase products.
As such, DOE has determined that models of 3-phase ACUACs and
ACUHPs with cooling capacity of less than 65,000 Btu/h that include
components specified in Appendix G can be tested in accordance with the
test procedure adopted in this final rule. To harmonize with the test
procedure for single-phase products, DOE is not adopting Appendix G of
AHRI 210/240-2023 as part of the amended test procedure adopted in this
final rule. While no models of 3-phase VRF with cooling capacity of
less than 65,000 Btu/h are currently on the market, DOE expects that if
those models are on the market the same determination would apply for
the same reasons. In conjunction with this final rule, DOE is
rescinding the Commercial HVAC Enforcement Policy to the extent that it
is applicable to 3-phase ACUACs and ACUHPs with cooling capacity of
less than 65,000 Btu/h and 3-phase VRF with cooling capacity of less
than 65,000 Btu/h.
4. AHRI 1230
As discussed previously, AHRI 1230-2021 excludes from its scope 3-
phase VRF with cooling capacity of less than 65,000 Btu/h. Therefore,
in this final rule, DOE is not adopting AHRI 1230-2021 because by its
explicit terms AHRI 1230-2021 is not applicable to the equipment
considered in this final rule.
As discussed previously in section III.D.2.b of this final rule,
DOE is incorporating by reference AHRI 210/240-2023 for testing 3-phase
VRF with cooling capacity less than 65,000 Btu/h. The current Federal
test procedure for this equipment, now codified at appendix F, which
references ANSI/AHRI 1230-2010, remains the required test procedure
until such time as DOE adopts amended energy conservation standards for
this equipment.
5. ASHRAE 37
As discussed in the December 2021 NOPR, ANSI/ASHRAE Standard 37,
which provides a method of test for many categories of air conditioning
and heating equipment, is referenced for testing by all versions of
AHRI Standards 210/240 and 1230. 86 FR 70316, 70325. Appendix E of AHRI
210/240-2023 provides additional instruction and exceptions regarding
the application of the test methods specified in ANSI/ASHRAE 37-2009.
And ANSI/ASHRAE 37-2005 is referenced in ANSI/AHRI 1230-2010, which is
currently the referenced industry test standard in the DOE test
procedure for VRF multi-split systems. ANSI/ASHRAE 37-2005 is also
referenced by ANSI/AHRI 210/240-2008, which is currently the referenced
industry test standard in the DOE test procedure for

[[Page 77307]]

3-phase ACUACs and ACUHPs with cooling capacity of less than 65,000
Btu/h. Id.
As such, given the use of ANSI/ASHRAE 37-2009 when testing
according to AHRI 210/240-2023, DOE is directly referencing ANSI/ASHRAE
37-2009 in its test procedures for 3-phase ACUACs and ACUHPs with
cooling capacity of less than 65,000 Btu/h and 3-phase VRF with cooling
capacity of less than 65,000 Btu/h. Specifically, in appendix F1, DOE
is referencing the applicable sections of ANSI/ASHRAE 37-2009--i.e.,
all sections except Sections 1, 2, and 4.\20\
---------------------------------------------------------------------------

\20\ DOE is excluding references to Section 1 (``Purpose''),
Section 2 (``Scope''), and Section 4 (``Classifications'') in ANSI/
ASHRAE 37-2009 to avoid any potentially contradictory requirements
with DOE regulations.
---------------------------------------------------------------------------

As noted in section III.B of this final rule, appendix F references
AHRI 210/240-2008 (which in turn references ANSI/ASHRAE 37-2005) for 3-
phase ACUACs and ACUHPs with cooling capacity of less than 65,000 Btu/h
and references AHRI 1230-2010 (which in turn references ANSI/ASHRAE 37-
2005) for 3-phase VRF with cooling capacity of less than 65,000 Btu/h.
As discussed, appendix F is meant only as a new location for the
current test procedures and, as a result, DOE is not changing the
embedded references to ANSI/ASHRAE 37.

E. Certification, Compliance, and Enforcement Requirements

In the December 2021 NOPR, DOE proposed amendments to the basic
model definition and product-specific enforcement provisions for the
three-phase equipment specified at 10 CFR 431.92 and 10 CFR 429.134,
respectively, to align with the provisions for single-phase products.
86 FR 70316, 70326. Comments received on DOE's proposals are discussed
in the following subsections.
1. Representation Requirements
In the December 2021 NOPR, DOE proposed that the representation and
certification requirements for the three-phase equipment subject to
this rulemaking would be included in a new section at 10 CFR 429.64
\21\ and excluded from the scope of 10 CFR 429.43. Id. DOE also
proposed to establish a new section 10 CFR 429.70(i) \22\ for
alternative energy determination method (``AEDM'') requirements that
would apply to the three-phase equipment addressed in this rulemaking.
Id.
---------------------------------------------------------------------------

\21\ The provisions proposed in the December 2021 NOPR at 10 CFR
429.64 are being finalized at 10 CFR 429.67 in this final rule as 10
CFR 429.64 has since been established for electric motors.
\22\ The provisions proposed in the December 2021 NOPR at 10 CFR
429.70(i) are being finalized at 10 CFR 429.70(l) in this final rule
as 10 CFR 429.70(i) has since been established for consumer furnaces
and consumer boilers.
---------------------------------------------------------------------------

a. Use of Single-Phase AEDM for Rating Three-Phase Equipment
Through its newly proposed provisions in 10 CFR 429.64 and
420.70(i), DOE intended to mirror the representation requirements
applicable to CAC/HPs in 10 CFR 429.16 and 429.70(e), except for the
minimum testing requirements and certain AEDM validation requirements
for each basic model of single-package units and single-split systems.
Id. DOE tentatively determined that an AEDM validated pursuant to 10
CFR 429.70(e) would also be appropriate for rating basic models of
three-phase, less than 65,000 Btu/h single-package units and single
split-systems that have otherwise identical single-phase counterparts.
Id. at 86 FR 70327. As such, for three-phase, less than 65,000 Btu/h
single-package units and single-split systems, DOE proposed in 10 CFR
429.70(i)(2) to permit a manufacturer to rely on an AEDM for CAC/HPs
that is validated in accordance with 10 CFR 429.70(e)(2) with testing
of otherwise identical single-phase counterparts, without additional
validation testing.\23\ Id. DOE noted that if a manufacturer offers
three-phase models that do not have otherwise identical single-phase
counterparts, or the manufacturer has not validated an AEDM in
accordance with 10 CFR 429.70(e)(2) with testing of the otherwise
identical single-phase counterparts, the manufacturer would be required
to test a single unit sample for each of two basic models to validate
an AEDM, consistent with the existing requirements for all capacities
of three-phase equipment. Id.
---------------------------------------------------------------------------

\23\ DOE proposed that while the AEDM would not need additional
validation testing, it would need to reflect the slight difference
in performance between single-phase and three-phase components. 86
FR 7016, 70327.
---------------------------------------------------------------------------

In conjunction with this proposal, DOE proposed also to specify in
the newly proposed 10 CFR 429.70(i)(3) that ``otherwise identical''
means differing only in the phase of the electrical system and the
phase of power input for which the motors and compressors are designed.
Id.
DOE requested comment on the proposal to permit, for three-phase,
less than 65,000 Btu/h single-package and single-split system basic
models with otherwise identical single-phase counterparts, the use of
ratings based on an AEDM validated using the test results from an
otherwise identical CAC/HPs, rather than requiring validation using the
test results with testing of three-phase models. Id. DOE further
requested comment on its proposed specification of the term ``otherwise
identical'' and whether the proposed AEDM requirements should include a
provision to validate the correlation between single-phase and three-
phase performance as determined using an AEDM. Id.
AHRI, Carrier, and Lennox expressed general support for DOE's
proposals related to the representation requirements. (AHRI, No. 16 at
p. 4; Carrier, No. 15 at p. 4; Lennox, No. 14 at p. 3) However, AHRI,
Carrier, and Lennox recommended a modification regarding the term
``otherwise identical''--specifically recommending that, in addition to
allowing AEDM use between similar single and three-phase equipment, DOE
should also allow similar three-phase designs of different voltages to
use AEDM data from an otherwise identical single-phase product,
asserting that the performance differences between different voltages
are similarly well known. Id. Lennox elaborated that while residential
central air conditioners and heat pumps typically use 230V single-phase
power sources, commercial three-phase equipment can use 230V, 460V, and
575V three-phase power sources. (Lennox, No. 14 at p. 3)
DOE acknowledges that three-phase equipment is often installed with
voltages that are higher than the voltage typically used for their
single-phase counterparts. Further, DOE has determined that, comparable
to the differences between single- and three-phase power, the slight
performance differences between models designed for use with multiple
voltages (e.g., minor differences in compressor performance depending
on the supply voltage of the compressor motor; or minor differences
from transformer losses if a transformer is used in the unit to change
the voltage) are well understood and can be accounted for within an
AEDM. Therefore, DOE considers the clarification suggested by AHRI,
Carrier, and Lennox to be appropriate and is updating ``otherwise
identical'' to mean differing only in the phase or voltage [emphasis
added] of the electrical system and the phase or voltage [emphasis
added] of power input for which the motors and compressors are
designed.
Regarding the provision to validate the correlation between single-
phase and three-phase performance, Carrier and Lennox agreed that this
validation was not necessary. (Carrier, No. 15 at p. 4; Lennox, No. 14
at p. 3) Carrier commented that system validation

[[Page 77308]]

would increase test burden without providing a benefit and that an
otherwise identical three-phase model generally outperforms the single-
phase counterpart. (Carrier, No. 15 at p. 4) Lennox commented that the
performance characteristics of single-phase and three-phase components
are well known and already incorporated into manufacturer AEDMs and
that further validation of the correlation between single-phase and
three-phase performance is not needed. (Lennox, No. 14 at p. 3)
Conversely, CA IOUs and Joint Advocates expressed support for
requiring some form of validation to correlate the performance between
single-phase and three-phase performance as determined using an AEDM.
(CA IOUs, No. 18 at p. 2; Joint Advocates, No. 17 at p. 2) CA IOUs
recommended that DOE optionally allow manufacturers to submit
supplemental information to DOE with the intent of demonstrating the
efficiency increase via correlation data for three-phase basic models
relative to their single-phase counterpart basic models. (CA IOUs, No.
18 at p. 2) Joint Advocates supported validating an AEDM based on the
tested performance of a three-phase basic model and commented that it
was their understanding that this validation would not be equivalent to
developing and validating a new AEDM. Alternatively, Joint Advocates
suggested that DOE could perform a crosswalk to develop ratings for
three-phase equipment based on the output of a validated AEDM for
otherwise identical single-phase equipment. (Joint Advocates, No. 17 at
p. 2)
As noted in the December 2021 NOPR and as indicated by Lennox's
comment, slight differences in performance between single-phase and
three-phase models (e.g., minor differences in compressor performance
depending on the electrical phase of the compressor motor) are well
understood and can be accounted for within an AEDM (e.g., slightly
different compressor coefficients used to model performance for single-
phase vs. three-phase compressors), rather than requiring testing of
three-phase models. 86 FR 70316, 70327; (Lennox, No. 14 at p. 3)
Further, for other categories of commercial package air conditioning
and heating equipment, DOE allows an AEDM to be used to develop ratings
for all equipment within a validation class, which encompasses all
models in an equipment category with a given heat rejection medium
(e.g., a single AEDM can be used to develop ratings for all basic
models of air-cooled CUACs with cooling capacity greater than 65,000
Btu/h offered by a manufacturer). 10 CFR 429.70(c)(2)(iv) Therefore,
for other equipment categories, current DOE regulations allow use of an
AEDM to cover both single and three-phase equipment without a need for
additional validation of the performance differences between single and
three-phase equipment. DOE has concluded that such a validation
requirement for the three-phase equipment subject to this rulemaking
would not be needed to develop representative ratings and would impose
unnecessary certification burden on manufacturers. Therefore, DOE is
not requiring that manufacturers validate the correlation between
single-phase and three-phase performance as determined using an AEDM.
DOE is adopting the AEDM provisions as proposed in the December
2021 NOPR. Specifically, at 10 CFR 429.70(l)(2) \24\, DOE is permitting
a manufacturer to rely on an AEDM for CAC/HPs that is validated in
accordance with 10 CFR 429.70(e)(2) with testing of otherwise identical
single-phase counterparts, without additional validation testing.
---------------------------------------------------------------------------

\24\ As noted, 10 CFR 429.70(i) as proposed in the December 2021
NOPR corresponds to 10 CFR 429.70(l) as finalized in this final
rule.
---------------------------------------------------------------------------

b. Use of AEDM for Certain Configurations of Three-Phase Equipment
As part of the harmonization with single-phase requirements, the
proposal in 10 CFR 429.64, as presented in the December 2021 NOPR,
required that all representations for outdoor units with no match and
for multi-split systems, multi-circuit systems, and multi-head mini-
split systems must be determined through testing or other specified
means, rather than through an AEDM. 86 FR 70316, 70327. As currently
specified, the requirements at 10 CFR 429.16(c)(2)-(3) do not permit
AEDMs for single-phase products with these configurations; as such,
there would not be any extensively validated AEDMs available for
products and equipment with these configurations. DOE noted that it is
not aware of any three-phase models on the market with these
configurations (i.e., outdoor units with no match or multi-split,
multi-circuit, and multi-head mini-split systems), and, therefore, DOE
tentatively concluded that this proposal would not result in increased
testing burden or costs for any manufacturer. Id. In the December 2021
NOPR, DOE requested comment on the existence of three-phase, less than
65,000 Btu/h models of outdoor units with no match or multi-split,
multi-circuit, and multi-head mini-split systems on the market. Id.
Carrier commented that it was not aware if the referenced models
exist in the market today. (Carrier, No. 15 at p. 4) Joint Advocates
expressed support for prohibiting the use of AEDMs for three-phase
outdoor units with no match, multi-split, multi-circuit, and multi-head
mini-split systems to align with the single-phase requirements. (Joint
Advocates, No. 17, at p. 1) Lennox recommended that DOE implement the
same requirements for the three-phase outdoor units with no match
considered under DOE's proposal as apply for single-phase products per
10 CFR 429.16, including the provisions at 10 CFR 429.16(c)(2)-(3),
which do not permit AEDM use. Lennox added that to ensure consistency
and a level playing field between comparable products, the specific
provisions for an outdoor unit with no match as outlined at 10 CFR
429.16(a)(1) and further test requirements at 10 CFR 429.16(b)(2)(i)
should apply to the three-phase equipment. (Lennox, No. 14 at p. 4)
AHRI recommended permitting AEDMs to rate any three-phase, less than
65,000 Btu/h models of outdoor units with no match or multi-split,
multi-circuit, and multi-head mini-split systems on the market and
aligning requirements with single-phase products. (AHRI, No. 16 at p.
5)
DOE notes that it is uncertain as to whether or not AHRI supported
this proposal to not permit AEDM for the aforementioned configurations.
AHRI expressed support for aligning the requirements for three-phase
equipment with those for single-phase products--but contradictorily
recommended permitting the use of AEDM for such configurations, which,
if implemented, would lead to a misalignment between the treatment of
three-phase and single-phase products.
No commenters identified any models on the market of outdoor units
with no match and multi-split, multi-circuit, and multi-head mini-split
systems. Therefore, DOE concludes that the proposed AEDM provisions
that do not allow use of an AEDM for outdoor units with no match and
multi-split, multi-circuit, and multi-head mini-split systems would not
impose any burden on manufacturers. As such, DOE is adopting the
provisions related to outdoor units with no match and multi-split,
multi-circuit, and multi-head mini-split systems as proposed in the
December 2021 NOPR.

[[Page 77309]]

c. Coil-only Ratings for Single-Split-System Air Conditioners
As DOE noted in the December 2021 NOPR, the proposal in 10 CFR
429.64 also required every individual combination of single-split-
system air conditioner equipped with a single-stage or two-stage
compressor distributed in commerce to be rated as a coil-only
combination, with additional blower-coil representations allowed as
applicable. 86 FR 70316, 70327. And as discussed in the December 2021
NOPR, the three-phase equipment category may include models that are
part of a line of commercial three-phase equipment that includes
equipment below DOE's 65,000 Btu/h capacity boundary (rather than
models that are otherwise identical to single-phase central air
conditioners). Id. DOE noted that, based on the review of models
certified in DOE's Compliance Certification Database, DOE expected
almost all of these models to be packaged units, which are not impacted
by the proposal in the December 2021 NOPR. Id.
In the December 2021 NOPR, DOE requested comment on whether there
are models of three-phase, single-split-system air conditioners with
single-stage or two-stage compressors that are not distributed in
commerce as a coil-only combination (i.e., distributed in commerce only
as blower-coil combination(s)). Id.
Carrier commented that it is not aware if the referenced models
exist in the market today, while Lennox stated it was not aware of
three-phase split system air conditioners with single-stage or two-
stage compressors that are not distributed in commerce with coil-only
combinations (i.e., that are distributed in commerce only as blower-
coil combinations). (Carrier, No. 15 at p. 5; Lennox, No. 14 at p. 4)
Joint Advocates supported DOE's proposal requiring that every
individual combination distributed in commerce must be rated as a coil-
only combination. (Joint Advocates, No. 17, at p. 1) Lennox recommended
that DOE align the representation requirements of three-phase equipment
with similar single-phase products as outlined at 10 CFR 429.16(a)(1),
so that all single- and two-stage air conditioners must have a coil-
only match representative of the least efficient combination. (Lennox,
No. 14 at p. 4)
AHRI commented that it is not aware of any three-phase, two-stage
systems distributed in commerce as coil-only combinations, further
commenting that three-phase products are most often used in small
commercial applications and churches and are provided in matched
combinations, and in the event that there are systems not provided as
matched combinations, any three-phase requirements should be aligned
with single-phase requirements. (AHRI, No. 16 at p. 5)
Based on AHRI's comment, DOE is uncertain which representation
requirements AHRI recommends that DOE adopt for three-phase equipment.
AHRI's comment suggests that all three-phase, single-split-system air
conditioners with two-stage compressors are distributed in commerce
only as matched combinations (i.e., blower-coil systems). This
contradicts Lennox's comment that it was not aware of three-phase split
system air conditioners with single-stage or two-stage compressors that
are distributed in commerce only as blower-coil combinations.
DOE's representation requirements for single-phase products require
that every individual combination distributed in commerce of single-
split-system air conditioner equipped with a single-stage or two-stage
compressor has to be rated as a coil-only combination, with additional
blower-coil representations allowed as applicable. See 10 CFR
429.16(a)(1). Therefore, the SEER2 standards for single-phase single-
split-system air conditioners adopted in a direct final rule published
on January 6, 2017 (82 FR 1786) are based on coil-only representations.
Coil-only ratings are generally lower than blower-coil ratings because
the default fan power coefficient and default fan heat coefficient
specified in the test procedure for rating coil-only systems are
generally more power-consuming than integral fans in blower-coil
systems (see section III.D.3.a of this final rule for further
discussion of default fan power and fan heat coefficients for coil-only
systems). As such, if DOE were to allow blower-coil ratings for rating
three-phase single-split-system air conditioners and DOE were to adopt
the SEER2 standards for three-phase split system air conditioners
proposed in the ECS NOPR (which align with the SEER2 standards
specified for single-phase products at 10 CFR 430.32(c)(5)), the SEER2
standards for three-phase split system air conditioners would
effectively be less stringent than the standards for the single-phase
counterparts, despite the standard values being equivalent.
Given Lennox's comment suggesting that there are no three-phase
split system air conditioners with single-stage or two-stage
compressors that are distributed in commerce only as blower-coil
combinations, the specific support for the proposals expressed by
Lennox and Joint Advocates, the absence of any specific alternate
approaches included in AHRI's comment, and the broad general support
for harmonization between three-phase equipment and single-phase
products as discussed in section III.D.1, in this final rule, DOE is
adopting the provisions related to three-phase single-split-system air
conditioners with single-stage or two-stage compressors as proposed in
the December 2021 NOPR.
Additionally, DOE is also clarifying the proposed language in the
table at 10 CFR 429.67(b)(1) \25\ to state that, for single-split
system air conditioners with single- or two-stage compressors, each
model of outdoor unit must include a represented value for at least one
coil-only individual combination that is distributed in commerce and
which is representative of the least efficient combination distributed
in commerce with that particular model of outdoor unit. For that
particular model of outdoor unit, additional represented values for
coil-only and blower-coil individual combinations are allowed, if
distributed in commerce. This clarification to the provisions proposed
in the December 2021 NOPR harmonizes with the provisions adopted in 10
CFR 429.16(a)(1) for CACP/HPs in a final rule published on October 26,
2022. 87 FR 64550.
---------------------------------------------------------------------------

\25\ As noted, 10 CFR 429.64 as proposed in the December 2021
NOPR corresponds to 10 CFR 429.67 as finalized in this final rule.
---------------------------------------------------------------------------

2. Basic Model Definition
The current definition of ``basic model'' for three-phase equipment
in 10 CFR 431.92 refers to all units manufactured by one manufacturer
within a single equipment class, having the same or comparably
performing compressor(s), heat exchangers, and air moving system(s)
that have a common `nominal' cooling capacity. See 10 CFR
431.92(2).\26\ The definition of ``basic model'' for single-phase
products in 10 CFR 430.2 provides additional specifications on this
same concept. See 10 CFR 430.2 (defining the term ``basic model'' and
detailing the application of this term to different configurations of
central air conditioners and central air conditioner heat pumps). For
example, for split systems manufactured by outdoor unit manufacturers,
a basic model includes all individual combinations having the same
model of outdoor unit but with percentage variation limits on
compressor, outdoor coil, and outdoor fan characteristics. Id.
---------------------------------------------------------------------------

\26\ The definition applicable to variable refrigerant flow
systems is different in wording but similar in content. See 10 CFR
431.92(5).

---------------------------------------------------------------------------

[[Page 77310]]

In the December 2021 NOPR, DOE proposed to amend its ``basic
model'' definition for 3-phase ACUACs and ACUHPs with cooling capacity
of less than 65,000 Btu/h and for 3-phase VRF with cooling capacity of
less than 65,000 Btu/h to align with that for single-phase CAC/HPs, as
this definition forms the basis for the requirements in 10 CFR 429.16.
86 FR 70316, 70327-70328. DOE requested comment on its proposal to
align the definition of ``basic model'' for three-phase equipment at 10
CFR 431.96 with that for single-phase products at 10 CFR 430.2. Id.
AHRI, Carrier, and Lennox supported aligning the definition of
``basic model'' for three-phase equipment at 10 CFR 431.96 with that
for single-phase products at 10 CFR 430.2. (AHRI, No. 16 at p. 5;
Carrier, No. 15 at p. 5; Lennox, No. 14 at p. 4) Lennox further
recommended that language in 10 CFR 430.2 that allows for ``essentially
identical'' electrical equipment should also be included in 10 CFR
431.92, with the added clarification that the various three-phase
equipment with varying voltages are to be considered essentially
identical. (Lennox, No. 14 at p. 4)
After consideration, DOE finds Lennox's recommendation to be
unnecessary because ``essentially identical'' at the proposed 10 CFR
431.92(7)(i)-(iii) includes requirements on the power input for the
compressor, outdoor fan, and indoor fan (as applicable). For example,
for split systems manufactured by outdoor unit manufacturers (proposed
10 CFR 431.92(7)(i)), one of the requirements to be considered
``essentially identical'' is that the power input for the compressor be
within 5 percent and the power input for the outdoor fan be within 20
percent. DOE considers that these requirements on power input ensure
that three-phase equipment employing differing three-phase voltages
would still be considered to have ``essentially identical''
characteristics, regardless of the differing voltages. Therefore, DOE
has concluded that the issue raised in Lennox's comment does not
warrant deviating from DOE's proposal to harmonize the basic model
definition for three-phase equipment with that for single-phase
products.
For the reasons discussed in this section and in the December 2021
NOPR, DOE is amending and aligning the definition of ``basic model''
for three-phase equipment subject to this rulemaking at 10 CFR 431.96
with that for single-phase products at 10 CFR 430.2.
3. Certification Reporting Requirements
The certification reporting requirements for CAC/HPs at 10 CFR
429.16 currently require more detail in filed certification reports
than the certification requirements for commercial HVAC equipment at 10
CFR 429.43. In the December 2021 NOPR, DOE proposed to retain the
requirements for certification reports currently at 10 CFR 429.43 for
the three-phase equipment subject to this rulemaking rather than
adopting the certification report requirements for single-phase
products at 10 CFR 429.16. 86 FR 70316, 70328.
AHRI, Carrier, Lennox, and Trane supported retaining the
requirements for certification reports currently at 10 CFR 429.43
rather than adopting the certification reporting requirements for
single-phase products at 10 CFR 429.16. (AHRI, No. 16 at pp. 5-6;
Carrier, No. 15 at p. 5; Lennox, No. 14 at pp. 4-5; Trane, No. 19 at p.
2) Carrier commented additionally that the confidence interval
specified in 10 CFR 429.16(b)(3) for CAC/HPs \27\ is different from
that specified in 10 CFR 429.43(a)(1)(ii)(B) for commercial HVAC
equipment,\28\ and that three-phase equipment should use the same
confidence interval of 90 percent, as they are based on the designs of
their single-phase counterparts. (Carrier, No. 15 at p. 5)
---------------------------------------------------------------------------

\27\ The sampling requirements at 10 CFR 429.16(b)(3) for
central air conditioners and heat pumps specify a confidence
interval of 90 percent.
\28\ The sampling requirements at 10 CFR 429.43(a)(1)(ii)(B) for
commercial HVAC equipment specify a confidence interval of 95
percent.
---------------------------------------------------------------------------

For the reasons discussed in the December 2021 NOPR and this
document, in this final rule, DOE is retaining the certification
reporting requirements for the three-phase equipment subject to this
rulemaking (i.e., DOE is not aligning with the single-phase
certification requirements at this time). Regarding the suggestion by
Carrier to align the sampling plan confidence interval for the three-
phase equipment subject to this rulemaking with those of their single-
phase counterparts, DOE notes that this alignment was already proposed
in the December 2021 NOPR and is resolved via the representation
requirements adopted in the newly established 10 CFR 429.67.
Specifically, DOE is adopting a 90 percent confidence interval for the
sampling plans specified at 10 CFR 429.67(c)(2), mirroring the existing
requirements for single-phase products in 10 CFR 429.16(b)(3).
4. Product-Specific Enforcement Provisions
In the December 2021 NOPR, DOE proposed to amend its product-
specific enforcement requirements by adding provisions to a new 10 CFR
429.134(s) \29\ for the three-phase equipment addressed in this
rulemaking that would align with those already required at 10 CFR
429.134(k) for single-phase products. 86 FR 70316, 70328. These
provisions would pertain only to DOE assessment and enforcement testing
and would not impact manufacturer testing. Id. Additionally, these
requirements would apply only to equipment subject to any potential
future standards that DOE may establish in terms of SEER2 and HSPF2.
Id.
---------------------------------------------------------------------------

\29\ The provisions proposed in the December 2021 NOPR at 10 CFR
429.134(s) are being finalized at 10 CFR 429.134(y) in this final
rule. 10 CFR 429.134(s) has since been established for direct-
expansion dedicated outdoor air systems (DX-DOASes).
---------------------------------------------------------------------------

Regarding cooling capacity, DOE proposed that the cooling capacity
of each tested unit be measured pursuant to the test procedure and that
the mean of the measurement(s) (either the measured cooling capacity
for a single unit sample or the average of the measured cooling
capacities for a multiple unit sample of the test sample) be used to
determine compliance with the applicable standards. Id.
Regarding cyclic degradation coefficients, which are a measure of
efficiency loss that would occur as a result of the compressor cycling
to meet a low load level in field applications, DOE proposed to measure
the cooling and/or heating cyclic degradation coefficient,
C<INF>D</INF>\c\/C<INF>D</INF>\h\, respectively, by conducting the
optional cyclic tests if the manufacturer certifies that it conducted
the optional cyclic tests. If the manufacturer certifies that it did
not conduct the optional cyclic tests, the proposal required that the
default C<INF>D</INF>\c\/C<INF>D</INF>\h\ values specified in the test
procedure be used as the basis for calculating SEER2 or HSPF2 for each
unit tested. Id.
DOE received no comments on these proposals. Regarding the cyclic
degradation coefficients, DOE is clarifying that the selection of the
default values of C<INF>D</INF>\c\ and/or C<INF>D</INF>\h\ be made
according to the criteria for the cyclic test in section 4 of appendix
F1, and not Sections 6.1.3.1 and 6.1.3.2 of AHRI 210/240-2023 as
mistakenly proposed in the December 2021 NOPR. 86 FR 70316, 70343.
Section 4 of appendix F1 aligns with section 3.5e of appendix M, which
is referenced in the existing cyclic degradation provisions

[[Page 77311]]

for at 10 CFR 429.134(k)(2) for single-phase products. As stated in the
December 2021 NOPR, the proposal intended to add product-specific
enforcement requirements for three-phase equipment that align with
those specified for single-phase products, which is better effectuated
by the criteria in section 4 of appendix F1 rather than Sections
6.1.3.1 and 6.1.3.2 of AHRI 210/240-2023. Id at 86 FR 70328.
For the reasons discussed in this section and in the December 2021
NOPR, DOE is adopting these provisions (including the minor revision
discussed) at 10 CFR 429.134(y).

F. Other Comments Received on the NOPR

In response to the December 2021 NOPR, DOE received several
additional comments not specific to any of the issues on which DOE
sought comment in the December 2021 NOPR and discussed previously in
this final rule. This section addresses those comments.
Joint Advocates, CA IOUs, NEEA, and NYSERDA recommended that DOE
consider ways to improve the representativeness of the test procedures
for ACUACs, ACUHPs, and VRFs with cooling capacity less than 65,000
Btu/h in future rulemakings. In particular, Joint Advocates, CA IOUs,
and NYSERDA encouraged DOE to investigate a load-based test procedure
\30\ for both single-phase and three-phase equipment. (Joint Advocates,
No. 17 at p. 2; CA IOUs, No. 18 at p. 3; NYSERDA, No. 13 at p. 2) Joint
Advocates commented that a load-based test procedure, as compared to
the current steady-state method, would be more representative of actual
energy use and, in turn, would provide more accurate information about
efficiency to purchasers. (Joint Advocates, No. 17 at p. 2) CA IOUs
added that a dynamic load-based test procedure could yield
representations that better reflect the average use cycle of a covered
product. (CA IOUs, No. 18 at p. 3). NYSERDA commented that evaluation
of a dynamic load-based testing would be especially important for
equipment installed in office buildings due to the potential for
overcooling. (NYSERDA, No. 13 at p. 2)
---------------------------------------------------------------------------

\30\ A dynamic load-based test method differs from the steady-
state test method currently used in DOE test procedures for air
conditioning and heat pump equipment. In a steady-state test method,
the indoor room is maintained at a constant temperature throughout
the test. In this type of test, any variable-speed or variable-
position components of air conditioners and heat pumps are set in a
fixed position, which is typically specified by the manufacturer. In
contrast, a dynamic load-based test has the conditioning load
applied to the indoor room using a load profile that approximates
how the load varies for units installed in the field. In this type
of test, an air conditioning system or heat pump is allowed to
automatically determine and vary its control settings in response to
the imposed conditioning loads, rather than relying on manufacturer-
specified settings.
---------------------------------------------------------------------------

CA IOUs and NYSERDA also suggested that DOE consider mandating the
H4<INF>2</INF> heating test (as specified in the test procedure for
central air conditioners and central air conditioning heat pumps at
appendix M1) \31\ in a future rulemaking for the three-phase equipment
subject to this rulemaking. (CA IOUs, No. 18 at p. 3; NYSERDA, No. 13
at p. 2) Both commenters also suggested that DOE consider a controls
verification procedure (``CVP'') for the H4<INF>2</INF> heating mode
test, suggesting that this may serve as a first step to validate cold
climate performance of variable-speed VRF heat pumps and ACUHPs while
providing significant utility to consumers in cold climate regions.
(Id.)
---------------------------------------------------------------------------

\31\ The H4<INF>2</INF> heating test is an optional full-load
test for central air conditioners and heat pumps conducted at an
outdoor entering temperature of 5 [deg]F.
---------------------------------------------------------------------------

NEEA recommended that DOE also consider including a CVP for the
three-phase equipment subject to this rulemaking, similar to DOE's
proposal to adopt the CVP specified in AHRI 1230-2021 for VRF multi-
split systems in a test procedure NOPR for VRF multi-split systems.
(See 86 FR 706440 (Dec. 10, 2021)). (NEEA, No. 20 at p. 2) NEEA
commented that while it understands that there is currently not a CVP
associated with AHRI 210/240-2023, DOE could adopt a CVP in the test
procedure for the three-phase equipment subject to this rulemaking
similar to that defined for VRF multi-split systems in AHRI 1230-2021
in order to ensure controls performance. (Id.)
DOE is aware that there is ongoing work addressing questions about
whether the current DOE and industry test procedures for variable-speed
air conditioners and heat pumps are fully representative. However, in
this final rule, DOE is aligning the test procedures for three-phase
equipment with the current test procedure for single-phase products,
consistent with the referenced industry test procedures in ASHRAE 90.1-
2019. EPCA requires that the test procedures for small commercial
package air conditioning and heating equipment (including the three-
phase equipment subject to this rulemaking) shall be those generally
accepted industry testing procedures or rating procedures developed or
recognized by the AHRI or by ASHRAE, as referenced in ASHRAE Standard
90.1. (42 U.S.C. 6314(a)(4)(A)) Further, EPCA requires that if an
industry test procedure is amended, DOE must amend its test procedure
to be consistent with the amended industry test procedure, unless DOE
determines, by rule published in the Federal Register and supported by
clear and convincing evidence, that such amended test procedure would
not meet the requirements in 42 U.S.C. 6314(a)(2) and (3) related to
representative use and test burden. (42 U.S.C. 6314(a)(4)(B)) AHRI 210/
240-2023, referenced in ASHRAE Standard 90.1, does not include a
dynamic load based testing method, does not mandate the H4<INF>2</INF>
test, and does not include a CVP. Further, commenters did not provide
evidence to support deviating from AHRI 210/240-2023 to adopt such
provisions. Therefore, DOE has concluded that it lacks clear or
convincing evidence to adopt the test methods and provisions suggested
by Joint Advocates, CA IOUs, NEEA, and NYSERDA in this rulemaking.
Additionally, CA IOUs and NYSERDA raised the issue of DOE coverage
of air moving systems paired with coil-only three-phase ACUACs and
ACUHPs. (CA IOUs, No. 18 at p. 2; NYSERDA, No. 13 at p. 2) CA IOUs and
NYSERDA commented that DOE's test procedure set forth in appendix AA to
subpart B of 10 CFR part 430 (``appendix AA'') addresses the
measurement of energy consumption of furnace fans in single-phase
products, but that no such test procedure exists in 10 CFR part 431 for
indoor blowers or designated air movers paired with coil-only three-
phase ACUACs and ACUHPs. (Id.) NYSERDA further commented that thousands
of coil-only three-phase ACUAC and ACUHP combinations are currently
available and that the test procedure for the three-phase equipment
subject to this rulemaking does not account for all energy being used
for such systems. NYSERDA recommended that DOE investigate avenues to
address this challenge. (NYSERDA, No. 13 at p. 2)
As recognized by CA IOUs and NYSERDA, while the test method set
forth in appendix AA addresses the measurement of energy consumption of
furnace fans in single-phase products, it does not currently apply to
three-phase furnace fans. While indoor fans present in blower-coil
combinations of three-phase ACUAC and ACUHP are included in the three-
phase equipment subject to the test procedures being established as
part of this rulemaking, any three-phase furnace fans paired with coil-
only combinations of three-phase ACUAC and ACUHP are not currently
subject to

[[Page 77312]]

a test procedure that accounts for their energy consumption. Three-
phase furnace fans are outside the scope of this rulemaking as they are
not covered within the definition of small commercial package air
conditioning and heating equipment, but DOE may address this equipment
as part of a separate rulemaking, as applicable.

G. Effective and Compliance Dates

The effective date for the adopted test procedure amendments will
be 30 days after publication of this final rule in the Federal
Register. EPCA prescribes that all representations of energy efficiency
and energy use, including those made on marketing materials and product
labels, must be made in accordance with an amended test procedure
beginning 360 days after publication of the final rule in the Federal
Register. (42 U.S.C. 6314(d)(1)) To the extent the modified test
procedures adopted in this final rule are required only for the
evaluation and issuance of updated efficiency standards (e.g.,
standards using the SEER2 and HSPF2 metrics), compliance with the
amended test procedure does not require use of such modified test
procedure provisions until the compliance date of those updated
standards.
Any voluntary representations of SEER2 and HSPF2 made prior to the
compliance date of amended standards for three-phase equipment that
rely on SEER2 and HSPF2 would need to be based on appendix F1 starting
360 days after publication of this final rule in the Federal Register.
Manufacturers may use appendix F1 to certify compliance with any
amended standards based on SEER2 and HSPF2, if adopted, prior to the
applicable compliance date for those energy conservation standards.

H. Test Procedure Costs

EPCA requires that the test procedures for small commercial package
air conditioning and heating equipment, which includes 3-phase ACUACs
and ACUHPs with cooling capacity of less than 65,000 Btu/h and 3-phase
VRF with cooling capacity of less than 65,000 Btu/h, be generally
accepted industry testing procedures or rating procedures developed or
recognized by either AHRI or ASHRAE, as referenced in ASHRAE Standard
90.1. (42 U.S.C. 6314(a)(4)(A)) Further, if such an industry test
procedure is amended, DOE must amend its test procedure to be
consistent with the amended industry test procedure unless DOE
determines, by rule published in the Federal Register and supported by
clear and convincing evidence, that such an amended test procedure
would not meet the requirements in 42 U.S.C. 6314(a)(2)-(3) related to
representative use and test burden. (42 U.S.C. 6314(a)(4)(B))
In this final rule, DOE is amending the existing test procedures
for three-phase, less than 65,000 Btu/h equipment by incorporating by
reference, with some modification, the updated version of the
applicable industry test method, AHRI 210/240-2023, including the
energy efficiency metrics SEER2 and HSPF2. DOE is also amending certain
representation requirements to align more closely with the
representation requirements for single-phase CAC/HPs. Amendments to
both the test procedures and representation requirements in this final
rule are consistent with comments from interested parties who supported
aligning the Federal regulations for the three-phase equipment
addressed in this document with the regulations of their single-phase
consumer product counterparts.
DOE has determined that these test procedures would be
representative of an average use cycle and would not be unduly
burdensome for manufacturers to conduct. Appendix F, measuring both
SEER and HSPF per ANSI/AHRI 210/240-2008, does not contain any changes
from the current Federal test procedures, and therefore would not
require retesting solely as a result of DOE's adoption of this
amendment. Similarly, appendix F1, measuring both SEER2 and HSPF2 per
AHRI 210/240-2023, would not lead to an increase in cost as compared
with testing to the test procedures in appendix F. Specifically, DOE
estimates that the cost for third-party lab testing in accordance with
appendix F1 would be $5,500 for air conditioners and $8,500 for heat
pumps, which is consistent with the costs for testing in accordance
with the current test procedures.
As discussed in section III.E.1 of this final rule, DOE is amending
the representation requirements for certifying basic models of three-
phase, less than 65,000 Btu/h equipment to harmonize with the
requirements for single-phase products. For models of outdoor units
with no match and multi-split, multi-circuit, and multi-head mini-split
systems, this amendment of the representation requirements may increase
testing requirements for three-phase equipment compared to the existing
requirements. However, DOE is not aware of any such models on the
market in these categories, and, accordingly, DOE has concluded that
the representation requirements will not lead to an increase in testing
cost for any manufacturer.
As discussed in section III.E.1 of this final rule, DOE is amending
the AEDM \32\ requirements for certifying basic models of three-phase,
less than 65,000 Btu/h single-package units and single-split systems.
Because most manufacturers' models of three-phase, less than 65,000
Btu/h equipment are nearly identical to their corresponding single-
phase consumer products, DOE is allowing the use of an AEDM validated
using testing of otherwise identical single-phase counterparts for
certifying basic models of three-phase, less than 65,000 Btu/h single
package units and split systems. For manufacturers that produce both
single-phase consumer products and three-phase, less than 65,000 Btu/h
equipment, this adoption would reduce any burden that might result from
the proposed test procedures in appendix F1 of this final rule because,
for such manufacturers, all certification of three-phase, less than
65,000 Btu/h equipment could be conducted using AEDMs without testing
the three-phase, less than 65,000 Btu/h equipment.
---------------------------------------------------------------------------

\32\ Manufacturers are not required to perform laboratory
testing on all basic models. In accordance with 10 CFR 429.70,
three-phase, less than 65,000 Btu/h equipment manufacturers may
elect to use AEDMs. An AEDM is a computer modeling or mathematical
tool that predicts the performance of non-tested basic models. Such
tools, when properly developed, can provide a means to predict the
energy usage or efficiency characteristics of a basic model of a
given covered product or equipment and reduce the burden and cost
associated with testing.
---------------------------------------------------------------------------

As discussed previously throughout this final rule, the test
procedures in appendix F1 will not be mandatory until the compliance
date of any amended energy conservation standards based on SEER2 and
HSPF2. Given that most manufacturers of the three-phase equipment
subject to this final rule are AHRI members, and DOE is referencing the
prevailing industry test procedure that was established for use in
AHRI's certification program (which DOE presumes will be updated to
include SEER2 and HSPF2), DOE expects that manufacturers will already
be testing using the test methods in AHRI 210/240-2023 by January 1,
2023--the effective date for minimum SEER2 and HSPF2 levels in ASHRAE
90.1-2019 for three-phase equipment, and also the date on which testing
according to appendix M1 for single-phase central air conditioners is
required.
Based on this expectation, DOE tentatively determined in the
December 2021 NOPR that the test procedure amendments would not
increase the testing burden on three-phase, less than 65,000 Btu/h
equipment manufacturers. 86 FR 70316, 70329. Additionally, DOE

[[Page 77313]]

tentatively determined that the test procedure amendments would not
require manufacturers to redesign any of the covered equipment, would
not require changes to how the equipment is manufactured, and would not
impact the utility of the equipment. Id.
Lennox commented that the harmonized test procedures would reduce
manufacturer burden as compared to manufacturers having to follow two
separate test procedures. (Lennox, No. 14 at p. 5) AHRI indicated that
there would be no expected increase in test burden if their concerns
regarding the adoption of appendix G of AHRI 210/240-2023 were
addressed. (AHRI, No. 16 at p. 6)
In response to the comments by AHRI, DOE's reasoning behind its
decision not to adopt appendix G of AHRI 210/240-2023 is discussed in
section III.D.2.c of this final rule. And based on the reasons
discussed in the December 2021 NOPR and this document, DOE has
concluded that the test procedure amendments adopted in this final rule
will not increase testing burden on manufacturers, compared to current
industry practice.

IV. Procedural Issues and Regulatory Review

A. Review Under Executive Orders 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 final 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 final 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 a final regulatory flexibility analysis (``FRFA'') for
any final rule where the agency was first required by law to publish a
proposed rule for public comment, unless the agency certifies that the
rule, if promulgated, will not have a significant economic impact on a
substantial number of small entities. As required by Executive Order
13272, ``Proper Consideration of Small Entities in Agency Rulemaking,''
67 FR 53461 (August 16, 2002), DOE published procedures and policies on
February 19, 2003, to ensure that the potential impacts of its rules on
small entities are properly considered during the DOE rulemaking
process. 68 FR 7990. DOE has made its procedures and policies available
on the Office of the General Counsel's website: <a href="http://www.energy.gov/gc/office-general-counsel">www.energy.gov/gc/office-general-counsel</a>.
DOE reviewed this final rule under the provisions of the Regulatory
Flexibility Act and the policies and procedures published on February
19, 2003.
On December 8, 2021, DOE published in the Federal Register a notice
of proposed rulemaking proposing, in relevant part, to update the
references in the Federal test procedures to the most recent version of
the relevant industry test procedures as they relate to air-cooled,
three-phase, small commercial air conditioners and heat pumps with a
cooling capacity of less than 65,000 British thermal units per hour
(``3-phase ACUACs and ACUHPs with cooling capacity of less than 65,000
Btu/h'') and air-cooled, three-phase, variable refrigerant flow
(``VRF'' or ``VRF multi-split systems'') air conditioners and heat
pumps with a cooling capacity of less than 65,000 Btu/h (``3-phase VRF
with cooling capacity of less than 65,000 Btu/h''). In addition, DOE
proposed to update most of its compliance and enforcement requirements
for 3-phase ACUACs and ACUHPs with cooling capacity of less than 65,000
Btu/h and for 3-phase VRF with cooling capacity of less than 65,000
Btu/h to be consistent with those for the consumer product counterparts
(i.e., air-cooled, single-phase, central air conditioners and central
air conditioning heat pumps with a cooling capacity of less than 65,000
Btu/h (which include single-phase VRF multi-split systems)).
As part of the December 2021 NOPR, DOE conducted its initial
regulatory flexibility analysis (``IRFA''). The following sections
outline DOE's determination that this final rule does not have a
``significant economic impact on a substantial number of small
entities,'' and that the preparation of a FRFA is not warranted.
DOE did not receive any written comments that specifically
addressed the impacts on small businesses or that were provided
directly in response to the IRFA request for comment.
For manufacturers of 3-phase ACUACs and ACUHPs with cooling
capacity of less than 65,000 Btu/h and 3-phase VRF with cooling
capacity of less than 65,000 Btu/h, the Small Business Administration
(``SBA'') has set a size threshold, which defines those entities
classified as ``small businesses'' for the purposes of the statute. DOE
used the SBA's small business size standards to determine whether any
small entities would be subject to the requirements of the rule. See 13
CFR part 121. The equipment covered by this final rule is classified
under North American Industry Classification System (``NAICS'') code
333415,\33\ ``Air-Conditioning and Warm Air Heating Equipment and
Commercial and Industrial Refrigeration Equipment Manufacturing.'' In
13 CFR 121.201, the SBA sets a threshold of 1,250 employees or fewer
for an entity to be considered as a small business for this category.
---------------------------------------------------------------------------

\33\ The size standards are listed by NAICS code and industry
description and are available at : <a href="http://www.sba.gov/document/support-table-size-standards">www.sba.gov/document/support-table-size-standards</a> (last accessed July 18, 2022).
---------------------------------------------------------------------------

DOE identified manufacturers using DOE's Compliance Certification

[[Page 77314]]

Database \34\ and prior rulemaking information. For three-phase less
than 65,000 Btu/h ACUACs and ACUHPs, DOE identified seventeen original
equipment manufacturers (``OEM'') covered by this rulemaking. DOE did
not identify any manufacturers of three-phase, less than 65,000 But/h
VRF. DOE screened out companies that do not meet the definition of a
``small business'' or are foreign-owned and operated. DOE identified
four small, domestic OEMs for consideration. DOE used publicly
available information and subscription-based market research tools
(e.g., reports from Dun & Bradstreet \35\) to determine headcount,
revenue, and geographic presence of the small businesses. Of those four
small OEMs, one of them is an AHRI member and three are not AHRI
members.
---------------------------------------------------------------------------

\34\ DOE's Compliance Certification Database is available at
<a href="http://www.regulations.doe.gov/certification-data">www.regulations.doe.gov/certification-data</a> (last accessed July 18,
2022).
\35\ Dun & Bradstreet reports are available at
<a href="http://app.dnbhoovers.com">app.dnbhoovers.com</a> (last accessed July 18, 2022).
---------------------------------------------------------------------------

DOE understands all AHRI members and all manufacturers currently
certifying in the AHRI Directory (including small businesses) will be
testing their models in accordance with AHRI 210/240-2023, the industry
test procedure DOE is referencing, and using AHRI's certification
program, which DOE presumes will be updated to include the SEER2 and
HSPF2 metrics. The test procedures' amendments would not add any
additional testing burden to manufacturers that are or will be using
the AHRI 210/240-2023 test procedure for their models of 3-phase ACUACs
and ACUHPs with cooling capacity of less than 65,000 Btu/h and 3-phase
VRF with cooling capacity of less than 65,000 Btu/h.
DOE determined the range of additional potential testing costs for
the three small businesses that are not AHRI members and do not certify
their equipment that is the subject of this final rule in the AHRI
Directory. These small businesses would only incur additional testing
costs if the companies would not otherwise be using the AHRI 210/240-
2023 test procedure to test their models of 3-phase ACUACs and ACUHPs
with cooling capacity of less than 65,000 Btu/h and 3-phase VRF with
cooling capacity of less than 65,000 Btu/h. Of these three small
businesses, the first manufacturer certifies one basic model to the DOE
Compliance Certification Database, the second manufacturer certifies
three basic models to the DOE Compliance Certification Database, and
the third manufacturer certifies twelve basic models to the DOE
Compliance Certification Database.\36\
---------------------------------------------------------------------------

\36\ DOE's Compliance Certification Database is available at
<a href="http://www.regulations.doe.gov/certification-data">www.regulations.doe.gov/certification-data</a> (last accessed July 21,
2022).
---------------------------------------------------------------------------

In this final rule, DOE is relocating the current DOE test
procedures to a new appendix F to subpart F of part 431 (``appendix
F'') without change. Appendix F does not contain any changes from the
current Federal test procedures, and therefore would have no cost to
industry and would not require retesting as a result of DOE's adoption
of this amendment to the test procedures.
DOE is also amending the test procedures at appendix F1 to subpart
F of part 431 (``appendix F1''). Specifically, DOE is incorporating by
reference the updated industry test standard AHRI 210/240-2023 for 3-
phase ACUACs and ACUHPs with cooling capacity of less than 65,000 Btu/h
(for which the current Federal test procedure references AHRI 210-240-
2008) and for 3-phase VRF with cooling capacity of less than 65,000
Btu/h (for which the current Federal test procedure references AHRI
1230-2010). In addition, DOE is adopting the efficiency metrics SEER2
and HSPF2 from AHRI 210/240-2023 in the test procedure at appendix F1.
Finally, DOE is harmonizing representation and enforcement requirements
with those applicable to single-phase products.
Appendix F1 adopts the most recent industry test procedure, AHRI
210/240-2023. DOE determined the cost for third-party lab testing
according to the appendix F1 test procedure to be $8,500 for three-
phase, less than 65,000 Btu/h heating equipment and $5,500 for three-
phase, less than 65,000 Btu/h air conditioning equipment.
The first of the three small businesses that DOE analyzed
manufactures one basic model of three-phase equipment with a cooling
capacity less than 65,000 Btu/h, which is an air conditioner. If a
manufacturer conducts physical testing to certify a basic model, two
units are required to be tested for the basic model. If this
manufacturer uses a third-party lab to test this basic model, DOE
estimates this small business would incur additional testing costs of
approximately $11,000. DOE estimates the annual revenue of this small
business is approximately $82.5 million; thus, DOE estimates testing
costs to be less than 0.01 percent of this manufacturer's annual
revenue.
The second of the three small businesses that DOE analyzed
manufactures three basic models of three-phase equipment with a cooling
capacity less than 65,000 Btu/h,--all of which are air conditioners. If
this manufacturer uses a third-party lab to test these basic models,
DOE estimates this small business would incur additional testing costs
of approximately $33,000. DOE estimates the annual revenue of this
small business to be approximately $16 million; thus, DOE estimates
testing costs to be less than one percent of this manufacturer's annual
revenue.
The third of the three small businesses that DOE analyzed
manufactures twelve basic models of three-phase equipment with a
cooling capacity less than 65,000 Btu/h,--all of which are air
conditioners. If this manufacturer uses a third-party lab to test these
basic models, DOE estimates this small business would incur additional
testing costs of approximately $132,000. DOE estimates the annual
revenue of this small business to be approximately $120 million; thus,
DOE estimates testing costs to be less than one percent of this
manufacturer's annual revenue.
As a result of this analysis, DOE determined that the cost impacts
on the three small businesses represent less than 1 percent of annual
revenue. Therefore, on the basis of the de minimis compliance burden,
DOE certifies that this final rule does not have a ``significant
economic impact on a substantial number of small entities,'' and that
the preparation of a FRFA is not warranted. DOE will transmit a
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).

C. Review Under the Paperwork Reduction Act of 1995

Manufacturers of 3-phase ACUACs and ACUHPs with cooling capacity of
less than 65,000 Btu/h and 3-phase VRF with cooling capacity of less
than 65,000 Btu/h must certify to DOE that their products comply with
any applicable energy conservation standards. To certify compliance,
manufacturers must first obtain test data for their products according
to the DOE test procedures, including any amendments adopted for those
test procedures. DOE has established regulations for the certification
and recordkeeping requirements for all covered consumer products and
commercial equipment, including 3-phase ACUACs and ACUHPs with cooling
capacity of less than 65,000 Btu/h and 3-phase VRF with cooling
capacity of less than 65,000 Btu/h. (See generally 10 CFR part 429.)
The

[[Page 77315]]

collection-of-information requirement for the certification and
recordkeeping is subject to review and approval by OMB under the
Paperwork Reduction Act (``PRA''). This requirement has been approved
by OMB under OMB control number 1910-1400. Public reporting burden for
the certification is estimated to average 35 hours per response,
including the time for reviewing instructions, searching existing data
sources, gathering and maintaining the data needed, and completing and
reviewing the collection of information.
DOE is not amending the certification or reporting requirements for
3-phase ACUACs and ACUHPs with cooling capacity of less than 65,000
Btu/h and 3-phase VRF with cooling capacity of less than 65,000 Btu/h
in this final rule. Instead, DOE may consider proposals to amend the
certification requirements and reporting for 3-phase ACUACs and ACUHPs
with cooling capacity of less than 65,000 Btu/h and 3-phase VRF with
cooling capacity of less than 65,000 Btu/h under a separate rulemaking
regarding appliance and equipment certification. DOE will address
changes to OMB Control Number 1910-1400 at that time, as necessary.
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 final rule, DOE establishes test procedure amendments that
it expects will be used to develop and implement future energy
conservation standards for 3-phase ACUACs and ACUHPs with cooling
capacity of less than 65,000 Btu/h and 3-phase VRF with cooling
capacity of less than 65,000 Btu/h. DOE has determined that this 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 amending 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

Executive Order 13132, ``Federalism,'' 64 FR 43255 (August 4,
1999), imposes certain requirements on agencies formulating and
implementing policies or regulations that preempt State law or that
have federalism implications. The Executive order requires agencies to
examine the constitutional and statutory authority supporting any
action that would limit the policymaking discretion of the States and
to carefully assess the necessity for such actions. The Executive order
also requires agencies to have an accountable process to ensure
meaningful and timely input by State and local officials in the
development of regulatory policies that have federalism implications.
On March 14, 2000, DOE published a statement of policy describing the
intergovernmental consultation process it will follow in the
development of such regulations. 65 FR 13735. DOE examined this final
rule and determined that it will 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 final rule. States can petition
DOE for exemption from such preemption to the extent, and based on
criteria, set forth in EPCA. (42 U.S.C. 6297(d)) No further action is
required by Executive Order 13132.

F. Review Under Executive Order 12988

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

G. Review Under the Unfunded Mandates Reform Act of 1995

Title II of the Unfunded Mandates Reform Act of 1995 (``UMRA'')
requires each Federal agency to assess the effects of Federal
regulatory actions on State, local, and Tribal governments and the
private sector. Pub. L. 104-4, sec. 201 (codified at 2 U.S.C. 1531).
For a regulatory action resulting in a rule that may cause the
expenditure by State, local, and Tribal governments, in the aggregate,
or by the private sector of $100 million or more in any one year
(adjusted annually for inflation), section 202 of UMRA requires a
Federal agency to publish a written statement that estimates the
resulting costs, benefits, and other effects on the national economy.
(2 U.S.C. 1532(a), (b)) The UMRA also requires a Federal agency to
develop an effective process to permit timely input by elected officers
of State, local, and Tribal governments on a proposed ``significant
intergovernmental mandate,'' and requires an agency plan for giving
notice and opportunity for timely input to potentially affected small
governments before establishing any requirements that might
significantly or uniquely affect small governments. On March 18, 1997,
DOE published a statement of policy on its process for
intergovernmental consultation under UMRA. 62 FR 12820; also available
at <a href="http://www.energy.gov/gc/office-general-counsel">www.energy.gov/gc/office-general-counsel</a>. DOE examined this final
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

[[Page 77316]]

that may affect family well-being. This final rule will not have any
impact on the autonomy or integrity of the family as an institution.
Accordingly, DOE has concluded that it is not necessary to prepare a
Family Policymaking Assessment.

I. Review Under Executive Order 12630

DOE has determined, under Executive Order 12630, ``Governmental
Actions and Interference with Constitutionally Protected Property
Rights'' 53 FR 8859 (March 18, 1988), that this regulation will 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 final rule under the OMB and DOE guidelines and has
concluded that it is consistent with applicable policies in those
guidelines.

K. Review Under Executive Order 13211

Executive Order 13211, ``Actions Concerning Regulations That
Significantly Affect Energy Supply, Distribution, or Use,'' 66 FR 28355
(May 22, 2001), requires Federal agencies to prepare and submit to OMB,
a Statement of Energy Effects for any significant energy action. A
``significant energy action'' is defined as any action by an agency
that promulgated or is expected to lead to promulgation of a final
rule, and that (1) is a significant regulatory action under Executive
Order 12866, or any successor order; and (2) is likely to have a
significant adverse effect on the supply, distribution, or use of
energy; or (3) is designated by the Administrator of OIRA as a
significant energy action. For any significant energy action, the
agency must give a detailed statement of any adverse effects on energy
supply, distribution, or use if the regulation is implemented, and of
reasonable alternatives to the action and their expected benefits on
energy supply, distribution, and use.
This regulatory action is not a significant regulatory action under
Executive Order 12866. Moreover, it would not have a significant
adverse effect on the supply, distribution, or use of energy, nor has
it been designated as a significant energy action by the Administrator
of OIRA. Therefore, it is not a significant energy action, and,
accordingly, DOE has not prepared a Statement of Energy Effects.

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

Under section 301 of the Department of Energy Organization Act
(Pub. L. 95-91; 42 U.S.C. 7101), DOE must comply with section 32 of the
Federal Energy Administration Act of 1974, as amended by the Federal
Energy Administration Authorization Act of 1977. (15 U.S.C. 788;
``FEAA'') Section 32 essentially provides in relevant part that, where
a proposed rule authorizes or requires use of commercial standards, the
notice of proposed rulemaking must inform the public of the use and
background of such standards. In addition, section 32(c) requires DOE
to consult with the Attorney General and the Chairman of the Federal
Trade Commission (``FTC'') concerning the impact of the commercial or
industry standards on competition.
The modifications to the test procedure for 3-phase ACUACs and
ACUHPs with cooling capacity of less than 65,000 Btu/h and 3-phase VRF
with cooling capacity of less than 65,000 Btu/h adopted in this final
rule incorporates testing methods contained in certain sections of the
following commercial standards: AHRI 210/240-2023 and ANSI/ASHRAE 37-
2009. DOE has evaluated these standards and is unable to conclude
whether they fully comply with the requirements of section 32(b) of the
FEAA (i.e., whether they were developed in a manner that fully provides
for public participation, comment, and review.) DOE has consulted with
both the Attorney General and the Chairman of the FTC about the impact
on competition of using the methods contained in these standards and
has received no comments objecting to their use.

M. Congressional Notification

As required by 5 U.S.C. 801, DOE will report to Congress on the
promulgation of this final rule before its effective date. The report
will state that it has been determined that the rule is not a ``major
rule'' as defined by 5 U.S.C. 804(2).

N. Description of Materials Incorporated by Reference

ANSI/AHRI 210/240-2008 is an industry-accepted test procedure for
measuring the performance of air conditioning and heating equipment.
ANSI/AHRI 210/240-2008 is available on AHRI's website at:
<a href="http://www.ahrinet.org/app_content/ahri/files/standards%20pdfs/ansi%20standards%20pdfs/ansi.ahri%20standard%20210.240%20with%20addenda%201%20and%202.pdf">www.ahrinet.org/app_content/ahri/files/standards%20pdfs/ansi%20standards%20pdfs/ansi.ahri%20standard%20210.240%20with%20addenda%201%20and%202.pdf</a>.
AHRI 210/240-2023 is an updated version of the industry-accepted
test procedure for measuring the performance of air conditioning and
heating equipment. AHRI 210/240-2023 is available on AHRI's website at
<a href="http://www.ahrinet.org/search-standards.aspx">www.ahrinet.org/search-standards.aspx</a>.
ANSI/AHRI 1230-2010 is an industry-accepted test procedure for
measuring the performance of VRF multi-split air conditioning and
heating equipment. ANSI/AHRI 1230-2010 is available on AHRI's website
at <a href="http://www.ahrinet.org/search-standards.aspx">www.ahrinet.org/search-standards.aspx</a>.
ANSI/ASHRAE 37-2009 is an industry-accepted test procedure that
provides a method of test for many categories of air conditioning and
heating equipment. ANSI/ASHRAE 37-2009 is available on ANSI's website
at <a href="http://webstore.ansi.org">webstore.ansi.org</a>.
The following standards were previously approved for incorporation
by reference in the section where they appear and no change is made:
AHRI 210/240-2008, AHRI 340/360-2007, ASHRAE 127-2007, and ISO Standard
13256-1.

V. Approval of the Office of the Secretary

The Secretary of Energy has approved publication of this final
rule.

List of Subjects

10 CFR Part 429

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

10 CFR Part 431

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

Signing Authority

This document of the Department of Energy was signed on November
22,

[[Page 77317]]

2022, by Francisco Alejandro Moreno, Acting Assistant Secretary for
Energy Efficiency and Renewable Energy, pursuant to delegated authority
from the Secretary of Energy. That document with the original signature
and date is maintained by DOE. For administrative purposes only, and in
compliance with requirements of the Office of the Federal Register, the
undersigned DOE Federal Register Liaison Officer has been authorized to
sign and submit the document in electronic format for publication, as
an official document of the Department of Energy. This administrative
process in no way alters the legal effect of this document upon
publication in the Federal Register.

Signed in Washington, DC, on November 30, 2022.
Treena V. Garrett,
Federal Register Liaison Officer, U.S. Department of Energy.

For the reasons stated in the preamble, DOE amends parts 429 and
431 of Chapter II of Title 10, Code of Federal Regulations as set forth
below:

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

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

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

0
2. Amend Sec. 429.4 by:
0
a. Redesignating paragraphs (c)(1) through (c)(4) as paragraphs (c)(2)
through (c)(5); and
0
b. Adding new paragraph (c)(1) .
The addition reads as follows:

Sec. 429.4 Materials incorporated by reference.

* * * * *
(c) * * *
(1) AHRI Standard 210/240-2023, (``AHRI 210/240-2023''), 2023
Standard for Performance Rating of Unitary Air-conditioning & Air-
source Heat Pump Equipment, copyright 2020; IBR approved for Sec.
429.67.
* * * * *

0
3. Amend Sec. 429.12 by revising paragraph (b)(8) to read as follows:

Sec. 429.12 General requirements applicable to certification reports.

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

0
4. Amend Sec. 429.43 by:
0
a. Revising the section heading;
0
b. Removing paragraphs (b)(2)(iii), (iv,) (ix) and (x);
0
c. Redesignating paragraphs (b)(2)(v) through (viii) as paragraphs
(b)(2)(iii) through (vi);
0
d. Redesignating paragraphs (b)(2)(xi) through (xiv) as paragraphs
(b)(2)(vii) through (x).
0
e. Removing paragraphs (b)(4)(iii) through (vi); and
0
f. Redesignating paragraphs (b)(4)(vii) through (xiii) as paragraphs
(b)(4)(iii) through (ix).
The revision reads as follows:

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

* * * * *

0
5. Add Sec. 429.67 to read as follows:

Sec. 429.67 Air-cooled, three-phase, small commercial package air
conditioning and heating equipment with a cooling capacity of less than
65,000 British thermal units per hour and air-cooled, three-phase,
variable refrigerant flow multi-split air conditioners and heat pumps
with a cooling capacity of less than 65,000 British thermal units per
hour.

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

Table 1 to Paragraph (b)(1)
------------------------------------------------------------------------
Equipment Required
Category subcategory represented values
------------------------------------------------------------------------
Single-Package unit............. Single-Package AC Every individual
(including Space- model distributed
Constrained). in commerce.
Single-Package HP ..................
(including Space-
Constrained).

[[Page 77318]]

Outdoor Unit and Indoor Unit Single-Split- Every individual
(Distributed in Commerce by OUM System AC with combination
(Outdoor Unit Manufacturer)). Single-Stage or distributed in
Two-Stage commerce. Each
Compressor model of outdoor
(including Space- unit must include
Constrained and a represented
Small-Duct, High value for at
Velocity Systems least one coil-
(SDHV)). only individual
combination that
is distributed in
commerce and
which is
representative of
the least
efficient
combination
distributed in
commerce with
that particular
model of outdoor
unit. For that
particular model
of outdoor unit,
additional
represented
values for coil-
only and blower-
coil individual
combinations are
allowed, if
distributed in
commerce.
Single-Split- Every individual
System AC with combination
Other Than Single- distributed in
Stage or Two- commerce,
Stage Compressor including all
(including Space- coil-only and
Constrained and blower coil
SDHV). combinations.
Single-Split- Every individual
System HP combination
(including Space- distributed in
Constrained and commerce.
SDHV).
Multi-Split, Multi- For each model of
Circuit, or Multi- outdoor unit, at
Head Mini-Split a minimum, a non-
Split System--non- ducted ``tested
SDHV (including combination.''
Space- For any model of
Constrained). outdoor unit also
sold with models
of ducted indoor
units, a ducted
``tested
combination.''
When determining
represented
values on or
after the
compliance date
of any amended
energy
conservation
standards, the
ducted ``tested
combination''
must comprise the
highest static
variety of ducted
indoor unit
distributed in
commerce (i.e.,
conventional, mid-
static, or low-
static).
Additional
representations
are allowed, as
described in
paragraph (d)(3)
of this section.
Multi-Split, Multi- For each model of
Circuit, or Multi- outdoor unit, an
Head Mini-Split SDHV ``tested
Split System-- combination.''
SDHV. Additional
representations
are allowed, as
described in
paragraph (d)(3)
of this section.
Indoor Unit Only Distributed in Single-Split- Every individual
Commerce by ICM (Independent System Air combination
Coil Manufacturer). Conditioner distributed in
(including Space- commerce.
Constrained and
SDHV).
Single-Split- ..................
System Heat Pump
(including Space-
Constrained and
SDHV).
Multi-Split, Multi- For a model of
Circuit, or Multi- indoor unit
Head Mini-Split within each basic
Split System-- model, a SDHV
SDHV. ``tested
combination.''
Additional
representations
are allowed, as
described in
section
(d)(3)(ii) of
this section.
-----------------------------------------------------
Outdoor Unit with no Match.......................... Every model of
outdoor unit
distributed in
commerce (tested
with a model of
coil-only indoor
unit as specified
in paragraph
(c)(2) of this
section).
------------------------------------------------------------------------

(2) Refrigerants. (i) If a model of outdoor unit (used in a single-
split, multi-split, multi-circuit, multi-head mini-split, and/or
outdoor unit with no match system) is distributed in commerce and
approved for use with multiple refrigerants, a manufacturer must
determine all represented values for that model using each refrigerant
that can be used in an individual combination of the basic model
(including outdoor units with no match or ``tested combinations'').
This requirement may apply across the listed categories in table 1 to
paragraph (b)(1) of this section. A refrigerant is considered approved
for use if it is listed on the nameplate of the outdoor unit. If any of
the refrigerants approved for use is HCFC-22 or has a 95 [deg]F
midpoint saturation absolute pressure that is <plus-minus>18 percent of
the 95 [deg]F saturation absolute pressure for HCFC-22, or if there are
no refrigerants designated as approved for use, a manufacturer must
determine represented values (including SEER2, HSPF2, cooling capacity,
and heating capacity, as applicable) for, at a minimum, an outdoor unit
with no match. If a model of outdoor unit is not charged with a
specified refrigerant from the point of manufacture or if the unit is
shipped requiring the addition of more than two pounds of refrigerant
to meet the charge required for testing per Section 5.1.8 of AHRI 210/
240-2023 (incorporated by reference, see Sec. 429.4) (unless either
{a{time} the factory charge is equal to or greater than 70 percent of
the outdoor unit internal volume multiplied by the liquid density of
refrigerant at 95 [deg]F or {b{time} an A2L refrigerant is approved
for use and listed in the certification report), a manufacturer must
determine represented values (including SEER2, HSPF2, cooling capacity,
and heating capacity, as applicable) for, at a minimum, an outdoor unit
with no match.
(ii) If a model is approved for use with multiple refrigerants, a
manufacturer may make multiple separate representations for the
performance of that model (all within the same individual combination
or outdoor unit with no match) using the multiple

[[Page 77319]]

approved refrigerants. In the alternative, manufacturers may certify
the model (all within the same individual combination or outdoor unit
with no match) with a single representation, provided that the
represented value is no more efficient than its performance using the
least-efficient refrigerant. A single representation made for multiple
refrigerants may not include equipment in multiple categories or
equipment subcategories listed in table 1 to paragraph (b)(1) of this
section.
(3) Limitations for represented values of individual combinations.
Paragraph (b)(3)(i) of this section explains the limitations for
represented values of individual combinations (or ``tested
combinations'').
(i) Multiple product classes. Models of outdoor units that are
rated and distributed in individual combinations that span multiple
product classes must be tested, rated, and certified pursuant to
paragraph (b) of this section as compliant with the applicable standard
for each product class.
(ii) Reserved.
(4) Requirements. All represented values under paragraph (b) of
this section must be based on testing in accordance with the
requirements in paragraph (c) of this section or the application of an
AEDM or other methodology as allowed in paragraph (d) of this section.
(c) Units tested--(1) General. The general requirements of Sec.
429.11 apply to air-cooled, three-phase, small commercial package air
conditioning and heating equipment with a cooling capacity of less than
65,000 Btu/h, and air-cooled, three-phase, variable refrigerant flow
multi-split air conditioners and heat pumps with a cooling capacity of
less than 65,000 Btu/h; and
(2) Sampling plans and represented values. For individual models
(for single-package systems) or individual combinations (for split-
systems, including ``tested combinations'' for multi-split, multi-
circuit, and multi-head mini-split systems) with represented values
determined through testing, each individual model/combination (or
``tested combination'') must have a sample of sufficient size tested in
accordance with the applicable provisions of this subpart. For heat
pumps (other than heating-only heat pumps), all units of the sample
population must be tested in both the cooling and heating modes and the
results used for determining all representations. The represented
values for any individual model/combination must be assigned such that:
(i) SEER2 and HSPF2. Any represented value of the energy efficiency
or other measure of energy consumption for which consumers would favor
higher values shall be less than or equal to the lower of:
(A) The mean of the sample, where:

[GRAPHIC] [TIFF OMITTED] TR16DE22.014

and, x is the sample mean; n is the number of samples; and xi is the
ith sample; or,

(B) The lower 90 percent confidence limit (LCL) of the true mean
divided by 0.95, where:

[GRAPHIC] [TIFF OMITTED] TR16DE22.015

And x is the sample mean; s is the sample standard deviation; n is
the number of samples; and t<INF>0.90</INF> is the t statistic for a
90 percent one-tailed confidence interval with n-1 degrees of
freedom (from appendix A of this subpart). Round represented values
of SEER2 and HSPF2 to the nearest 0.05.

(ii) Cooling Capacity and Heating Capacity. The represented values
of cooling capacity and heating capacity must each be a self-declared
value that is:
(A) Less than or equal to the lower of:
(1) The mean of the sample, where:

[GRAPHIC] [TIFF OMITTED] TR16DE22.016

and, x is the sample mean; n is the number of samples; and xi is the
i\th\ sample; or,

(2) The lower 90 percent confidence limit (LCL) of the true mean
divided by 0.95, where:

[GRAPHIC] [TIFF OMITTED] TR16DE22.017

(B) Rounded according to:
(1) The nearest 100 Btu/h if cooling capacity or heating capacity
is less than 20,000 Btu/h,
(2) The nearest 200 Btu/h if cooling capacity or heating capacity
is greater than or equal to 20,000 Btu/h but less than 38,000 Btu/h,
and
(3) The nearest 500 Btu/h if cooling capacity or heating capacity
is greater than or equal to 38,000 Btu/h and less than 65,000 Btu/h.
(d) Determination of represented values--(1) All basic models
except outdoor units with no match and multi-split systems, multi-
circuit systems, and multi-head mini-split systems. For every
individual model/combination within a basic model, either--
(i) A sample of sufficient size, comprised of production units or
representing production units, must be tested as complete systems with
the resulting represented values for the individual model/combination
obtained in accordance with paragraphs (c)(1) and (2) of this section;
or
(ii) The represented values of the measures of energy efficiency or
energy consumption through the application of an AEDM in accordance
with paragraph (e) of this section and Sec. 429.70.
(2) Outdoor units with no match. All models of outdoor units with
no match within a basic model must be tested with a model of coil-only
indoor unit meeting the requirements of Section 5.1.6.2 of AHRI 210/
240-2023. Models of outdoor units with no match may not be rated with
an AEDM, other than to determine the represented values for models
using approved refrigerants other than the one used in testing.
(3) For multi-split systems, multi-circuit systems, and multi-head
mini-split systems. The following applies:
(i) For each non-SDHV basic model, at a minimum, a manufacturer
must test the model of outdoor unit with a ``tested combination''
composed entirely of non-ducted indoor units. For any models of outdoor
units also sold with models of ducted indoor units, a manufacturer must
test a second ``tested combination'' composed entirely of ducted indoor
units (in addition to the non-ducted combination). The ducted ``tested
combination'' must comprise the highest static variety of ducted indoor
unit distributed in commerce (i.e., conventional, mid-static, or low-
static).
(ii) If a manufacturer chooses to make representations of a variety
of a basic model (i.e., conventional, low static, or mid-static) other
than a variety for which a representation is required under paragraph
(b)(1) of this section the manufacturer must conduct testing of a
tested combination according to the requirements in paragraphs (c)(1)
and (2) of this section.
(iii) For basic models that include mixed combinations of indoor
units (i.e., combinations that are comprised of any two of the
following varieties--non-ducted, low-static, mid-static, and
conventional ducted indoor units), the represented value for the mixed
combination is the mean of the represented values for the individual
component combinations as determined in accordance with paragraphs
(c)(1) and (2) and (d)(3)(i) and (ii) of this section.

[[Page 77320]]

(iv) For each SDHV basic model distributed in commerce by an OUM,
the OUM must, at a minimum, test the model of outdoor unit with a
``tested combination'' composed entirely of SDHV indoor units. For each
SDHV basic model distributed in commerce by an ICM, the ICM must test
the model of indoor unit with a ``tested combination'' composed
entirely of SDHV indoor units, where the outdoor unit is the least
efficient model of outdoor unit with which the SDHV indoor unit will be
paired. The least efficient model of outdoor unit is the model of
outdoor unit in the lowest SEER2 combination as certified by the
outdoor unit manufacturer. If there are multiple outdoor unit models
with the same lowest SEER2 represented value, the indoor coil
manufacturer may select one for testing purposes.
(v) For basic models that include SDHV and an indoor unit of
another variety (i.e., non-ducted, low-static, mid-static, and
conventional ducted), the represented value for the mixed SDHV/other
combination is the mean of the represented values for the SDHV and
other tested combination as determined in accordance with paragraphs
(c)(1) and (2) and paragraphs (d)(3)(i) through (ii) of this section.
(vi) All other individual combinations of models of indoor units
for the same model of outdoor unit for which the manufacturer chooses
to make representations must be rated as separate basic models, and the
provisions of paragraphs (c)(1) and (2) and (d)(3)(i) through (v) of
this section apply.
(e) Alternative efficiency determination methods. In lieu of
testing, represented values of efficiency or consumption may be
determined through the application of an AEDM pursuant to the
requirements of Sec. 429.70(l) and the provisions of this section.
(1) Energy efficiency. Any represented value of the SEER2, HSPF2,
or other measure of energy efficiency of an individual model/
combination for which consumers would favor higher values must be less
than or equal to the output of the AEDM but no less than the standard.
(2) Cooling capacity. The represented value of cooling capacity of
an individual model/combination must be no greater than the cooling
capacity output simulated by the AEDM.
(3) Heating capacity. The represented value of heating capacity of
an individual model/combination must be no greater than the heating
capacity output simulated by the AEDM.
(f) Certification reports. This paragraph specifies the information
that must be included in a certification report.
(1) The requirements of Sec. 429.12; and
(2) Pursuant to Sec. 429.12(b)(13), for each individual model (for
single-package systems) or individual combination (for split-systems,
including outdoor units with no match and ``tested combinations'' for
multi-split, multi-circuit, and multi-head mini-split systems), a
certification report must include the following public equipment-
specific information:
(i) Commercial package air conditioning equipment that is air-
cooled with a cooling capacity of less than 65,000 Btu/h (3-Phase): The
seasonal energy efficiency ratio (SEER in British thermal units per
Watt-hour (Btu/Wh)), and the rated cooling capacity in British thermal
units per hour (Btu/h).
(ii) Commercial package heating equipment that is air-cooled with a
cooling capacity of less than 65,000 Btu/h (3-Phase): The seasonal
energy efficiency ratio (SEER in British thermal units per Watt-hour
(Btu/Wh)), the heating seasonal performance factor (HSPF in British
thermal units per Watt-hour (Btu/Wh)), and the rated cooling capacity
in British thermal units per hour (Btu/h).
(iii) Variable refrigerant flow multi-split air conditioners that
are air-cooled with rated cooling capacity of less than 65,000 Btu/h
(3-Phase): The seasonal energy efficiency ratio (SEER in British
thermal units per Watt-hour (Btu/Wh)) and rated cooling capacity in
British thermal units per hour (Btu/h).
(iv) Variable refrigerant flow multi-split heat pumps that are air-
cooled with rated cooling capacity of less than 65,000 Btu/h (3-Phase):
The seasonal energy efficiency ratio (SEER in British thermal units per
Watt-hour (Btu/Wh), the heating seasonal performance factor (HSPF in
British thermal units per Watt-hour (Btu/Wh), and rated cooling
capacity in British thermal units per hour (Btu/h).
(3) Pursuant to Sec. 429.12(b)(13), for each individual model/
combination (including outdoor units with no match and ``tested
combinations''), a certification report must include supplemental
information submitted in PDF format. The equipment-specific,
supplemental information must include any additional testing and
testing set up instructions (e.g., charging instructions) for the basic
model; identification of all special features that were included in
rating the basic model; and all other information (e.g., operational
codes or component settings) necessary to operate the basic model under
the required conditions specified by the relevant test procedure. A
manufacturer may also include with a certification report other
supplementary items in PDF format (e.g., manuals) for DOE consideration
in performing testing under subpart C of this part. The equipment-
specific, supplemental information must include at least the following:
(i) Air cooled commercial package air conditioning equipment with a
cooling capacity of less than 65,000 Btu/h (3-phase): The nominal
cooling capacity in British thermal units per hour (Btu/h); rated
airflow in standard cubic feet per minute (SCFM) for each fan coil;
rated static pressure in inches of water; refrigeration charging
instructions (e.g., refrigerant charge, superheat and/or subcooling
temperatures); frequency or control set points for variable speed
components (e.g., compressors, VFDs); required dip switch/control
settings for step or variable components; a statement whether the model
will operate at test conditions without manufacturer programming; any
additional testing instructions, if applicable; if a variety of motors/
drive kits are offered for sale as options in the basic model to
account for varying installation requirements, the model number and
specifications of the motor (to include efficiency, horsepower, open/
closed, and number of poles) and the drive kit, including settings,
associated with that specific motor that were used to determine the
certified rating; and which, if any, special features were included in
rating the basic model.
(ii) Commercial package heating equipment that is air-cooled with a
cooling capacity of less than 65,000 Btu/h (3-phase): The nominal
cooling capacity in British thermal units per hour (Btu/h); rated
heating capacity in British thermal units per hour (Btu/h); rated
airflow in standard cubic feet per minute (SCFM) for each fan coil;
rated static pressure in inches of water; refrigeration charging
instructions (e.g., refrigerant charge, superheat and/or subcooling
temperatures); frequency or control set points for variable speed
components (e.g., compressors, VFDs); required dip switch/control
settings for step or variable components; a statement whether the model
will operate at test conditions without manufacturer programming; any
additional testing instructions, if applicable; if a variety of motors/
drive kits are offered for sale as options in the basic model to
account for varying installation requirements, the model number and
specifications of the motor

[[Page 77321]]

(to include efficiency, horsepower, open/closed, and number of poles)
and the drive kit, including settings, associated with that specific
motor that were used to determine the certified rating; and which, if
any, special features were included in rating the basic model.
(iii) Variable refrigerant flow multi-split air conditioners that
are air-cooled with a cooling capacity of less than 65,000 Btu/h (3-
Phase): The nominal cooling capacity in British thermal units per hour
(Btu/h); outdoor unit(s) and indoor units identified in the tested
combination; components needed for heat recovery, if applicable; rated
airflow in standard cubic feet per minute (SCFM) for each indoor unit;
rated static pressure in inches of water; compressor frequency set
points; required dip switch/control settings for step or variable
components; a statement whether the model will operate at test
conditions without manufacturer programming; any additional testing
instructions, if applicable; if a variety of motors/drive kits are
offered for sale as options in the basic model to account for varying
installation requirements, the model number and specifications of the
motor (to include efficiency, horsepower, open/closed, and number of
poles) and the drive kit, including settings, associated with that
specific motor that were used to determine the certified rating; and
which, if any, special features were included in rating the basic
model. Additionally, upon DOE request, the manufacturer must provide a
layout of the system set-up for testing including charging instructions
consistent with the installation manual.
(iv) Variable refrigerant flow multi-split heat pumps that are air-
cooled with a rated cooling capacity of less than 65,000 Btu/h (3-
Phase): The nominal cooling capacity in British thermal units per hour
(Btu/h); rated heating capacity in British thermal units per hour (Btu/
h); outdoor unit(s) and indoor units identified in the tested
combination; components needed for heat recovery, if applicable; rated
airflow in standard cubic feet per minute (SCFM) for each indoor unit;
rated static pressure in inches of water; compressor frequency set
points; required dip switch/control settings for step or variable
components; a statement whether the model will operate at test
conditions without manufacturer programming; any additional testing
instructions, if applicable; if a variety of motors/drive kits are
offered for sale as options in the basic model to account for varying
installation requirements, the model number and specifications of the
motor (to include efficiency, horsepower, open/closed, and number of
poles) and the drive kit, including settings, associated with that
specific motor that were used to determine the certified rating; and
which, if any, special features were included in rating the basic
model. Additionally, upon DOE request, the manufacturer must provide a
layout of the system set-up for testing including charging instructions
consistent with the installation manual.

0
6. Amend Sec. 429.70 by:
0
a. Revising the paragraph (c) heading, and paragraph (c)(1)
introductory text;
0
b. Revising the tables in paragraphs (c)(2)(iv) and (c)(5)(vi)(B); and
0
c. Adding paragraph (l).
The revisions and addition read as follows:

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

* * * * *
(c) Alternative efficiency determination method (AEDM) for
commercial HVAC & WH products (excluding air-cooled, three-phase, small
commercial package air conditioning and heating equipment with a
cooling capacity of less than 65,000 Btu/h and air-cooled, three-phase,
variable refrigerant flow multi-split air conditioners and heat pumps
with less than 65,000 Btu/h cooling capacity), and commercial
refrigerators, freezers, and refrigerator-freezers--(1) Criteria an
AEDM must satisfy. A manufacturer may not apply an AEDM to a basic
model to determine its efficiency pursuant to this section unless:
* * * * *
(2) * * *
(iv) * * *

Table 1 to Paragraph (c)(2)(iv)
------------------------------------------------------------------------
Minimum number of distinct models
Validation class that must be tested per AEDM
------------------------------------------------------------------------
(A) Commercial HVAC validation classes
------------------------------------------------------------------------
Air-Cooled, Split and Packaged ACs 2 Basic Models.
and HPs Greater than or Equal to
65,000 Btu/h Cooling Capacity and
Less than 760,000 Btu/h Cooling
Capacity.
Water-Cooled, Split and Packaged ACs 2 Basic Models.
and HPs, All Cooling Capacities.
Evaporatively-Cooled, Split and 2 Basic Models.
Packaged ACs and HPs, All
Capacities.
Water-Source HPs, All Capacities.... 2 Basic Models.
Single Package Vertical ACs and HPs. 2 Basic Models.
Packaged Terminal ACs and HPs....... 2 Basic Models.
Air-Cooled, Variable Refrigerant 2 Basic Models.
Flow ACs and HPs Greater than or
Equal to 65,000 Btu/h Cooling
Capacity.
Water-Cooled, Variable Refrigerant 2 Basic Models.
Flow ACs and HPs.
Computer Room Air Conditioners, Air 2 Basic Models.
Cooled.
Computer Room Air Conditioners, 2 Basic Models.
Water-Cooled.
Direct Expansion-Dedicated Outdoor 2 Basic Models.
Air Systems, Air-cooled or Air-
source Heat Pump, Without
Ventilation Energy Recovery Systems.
Direct Expansion-Dedicated Outdoor 2 Basic Models.
Air Systems, Air-cooled or Air-
source Heat Pump, With Ventilation
Energy Recovery Systems.
Direct Expansion-Dedicated Outdoor 2 Basic Models.
Air Systems, Water-cooled, Water-
source Heat Pump, or Ground Source
Closed-loop Heat Pump, Without
Ventilation Energy Recovery Systems.
Direct Expansion-Dedicated Outdoor 2 Basic Models.
Air Systems, Water-cooled, Water-
source Heat Pump, or Ground Source
Closed-loop Heat Pump, With
Ventilation Energy Recovery Systems.
------------------------------------------------------------------------
(B) Commercial water heater validation classes
------------------------------------------------------------------------
Gas-fired Water Heaters and Hot 2 Basic Models.
Water Supply Boilers Less than 10
Gallons.

[[Page 77322]]

Gas-fired Water Heaters and Hot 2 Basic Models.
Water Supply Boilers Greater than
or Equal to 10 Gallons.
Oil-fired Water Heaters and Hot 2 Basic Models.
Water Supply Boilers Less than 10
Gallons.
Oil-fired Water Heaters and Hot 2 Basic Models.
Water Supply Boilers Greater than
or Equal to 10 Gallons.
Electric Water Heaters.............. 2 Basic Models.
Heat Pump Water Heaters............. 2 Basic Models.
Unfired Hot Water Storage Tanks..... 2 Basic Models.
------------------------------------------------------------------------
(C) Commercial packaged boilers validation classes
------------------------------------------------------------------------
Gas-fired, Hot Water Only Commercial 2 Basic Models.
Packaged Boilers.
Gas-fired, Steam Only Commercial 2 Basic Models.
Packaged Boilers.
Gas-fired Hot Water/Steam Commercial 2 Basic Models.
Packaged Boilers.
Oil-fired, Hot Water Only Commercial 2 Basic Models.
Packaged Boilers.
Oil-fired, Steam Only Commercial 2 Basic Models.
Packaged Boilers.
Oil-fired Hot Water/Steam Commercial 2 Basic Models.
Packaged Boilers.
------------------------------------------------------------------------
(D) Commercial furnace validation classes
------------------------------------------------------------------------
Gas-fired Furnaces.................. 2 Basic Models.
Oil-fired Furnaces.................. 2 Basic Models.
------------------------------------------------------------------------
(E) Commercial refrigeration equipment validation classes
------------------------------------------------------------------------
Self-Contained Open Refrigerators... 2 Basic Models.
Self-Contained Open Freezers........ 2 Basic Models.
Remote Condensing Open Refrigerators 2 Basic Models.
Remote Condensing Open Freezers..... 2 Basic Models.
Self-Contained Closed Refrigerators. 2 Basic Models.
Self-Contained Closed Freezers...... 2 Basic Models.
Remote Condensing Closed 2 Basic Models.
Refrigerators.
Remote Condensing Closed Freezers... 2 Basic Models.
------------------------------------------------------------------------
\1\ The minimum number of tests indicated above must be comprised of a
transparent model, a solid model, a vertical model, a semi-vertical
model, a horizontal model, and a service-over-the counter model, as
applicable based on the equipment offering. However, manufacturers do
not need to include all types of these models if it will increase the
minimum number of tests that need to be conducted.

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

Table 2 to Paragraph (c)(5)(vi)(B)
------------------------------------------------------------------------
Applicable
Equipment Metric tolerance
------------------------------------------------------------------------
Commercial Packaged Boilers....... Combustion 5% (0.05)
Efficiency. 5% (0.05)
Thermal Efficiency..
Commercial Water Heaters or Hot Thermal Efficiency.. 5% (0.05)
Water Supply Boilers. Standby Loss........ 10% (0.1)
Unfired Storage Tanks............. R-Value............. 10% (0.1)
Air-Cooled, Split and Packaged ACs Energy Efficiency 5% (0.05)
and HPs Greater than or Equal to Ratio. 5% (0.05)
65,000 Btu/h Cooling Capacity and Coefficient of 10% (0.1)
Less than 760,000 Btu/h Cooling Performance.
Capacity. Integrated Energy
Efficiency Ratio.
Water-Cooled, Split and Packaged Energy Efficiency 5% (0.05)
ACs and HPs, All Cooling Ratio. 5% (0.05)
Capacities. Coefficient of 10% (0.1)
Performance.
Integrated Energy
Efficiency Ratio.
Evaporatively-Cooled, Split and Energy Efficiency 5% (0.05)
Packaged ACs and HPs, All Ratio. 5% (0.05)
Capacities. Coefficient of 10% (0.1)
Performance.
Integrated Energy
Efficiency Ratio.
Water-Source HPs, All Capacities.. Energy Efficiency 5% (0.05)
Ratio. 5% (0.05)
Coefficient of 10% (0.1)
Performance.
Integrated Energy
Efficiency Ratio.
Single Package Vertical ACs and Energy Efficiency 5% (0.05)
HPs. Ratio. 5% (0.05)
Coefficient of
Performance.
Packaged Terminal ACs and HPs..... Energy Efficiency 5% (0.05)
Ratio. 5% (0.05)
Coefficient of
Performance.

[[Page 77323]]

Variable Refrigerant Flow ACs and Energy Efficiency 5% (0.05)
HPs (Excluding Air-Cooled, Three- Ratio. 5% (0.05)
phase with Less than 65,000 Btu/h Coefficient of 10% (0.1)
Cooling Capacity). Performance.
Integrated Energy
Efficiency Ratio.
Computer Room Air Conditioners.... Sensible Coefficient 5% (0.05)
of Performance.
Direct Expansion-Dedicated Outdoor Integrated Seasonal 10% (0.1)
Air Systems. Coefficient of 10% (0.1)
Performance 2.
Integrated Seasonal
Moisture Removal
Efficiency 2.
Commercial Warm-Air Furnaces...... Thermal Efficiency.. 5% (0.05)
Commercial Refrigeration Equipment Daily Energy 5% (0.05)
Consumption.
------------------------------------------------------------------------

* * * * *
(l) Alternate Efficiency Determination Method (AEDM) for air-
cooled, three-phase, small commercial package air conditioning and
heating equipment with a cooling capacity of less than 65,000 Btu/h and
air-cooled, three-phase, variable refrigerant flow multi-split air
conditioners and heat pumps with less than 65,000 Btu/h cooling
capacity.
(1) Applicability. (i) For air-cooled, three-phase, small
commercial package air conditioning and heating equipment with a
cooling capacity of less than 65,000 Btu/h and air-cooled, three-phase,
variable refrigerant flow multi-split air conditioners and heat pumps
with a cooling capacity of less than 65,000 Btu/h subject to standards
in terms of seasonal energy efficiency ratio (SEER) and heating
seasonal performance factor (HSPF), representations with respect to the
energy use or efficiency, including compliance certifications, are
subject to the requirements in Sec. 429.70(c) of this title as it
appeared in the 10 CFR parts 200-499 edition revised as of January 1,
2021.
(ii) For air-cooled, three-phase, small commercial package air
conditioning and heating equipment with a cooling capacity of less than
65,000 Btu/h and air-cooled, three-phase, variable refrigerant flow
multi-split air conditioners and heat pumps with a cooling capacity of
less than 65,000 Btu/h subject to standards in terms of seasonal energy
efficiency ratio 2 (SEER2) and heating seasonal performance factor 2
(HSPF2) metrics, representations with respect to the energy use or
efficiency, including compliance certifications, are subject to the
requirements in this section. If manufacturers choose to certify
compliance with any standards in terms of SEER2 and HSPF2 prior to the
applicable compliance date for those standards, the requirements of
this section must be followed.
(2) Criteria an AEDM must satisfy. A manufacturer may not apply an
AEDM to an individual model/combination to determine its represented
values (SEER2 and HSPF2, as applicable) pursuant to this section unless
authorized pursuant to Sec. 429.67(e) and:
(i) The AEDM is derived from a mathematical model that estimates
the energy efficiency or energy consumption characteristics of the
individual model or combination (SEER2 and HSPF2, as applicable) as
measured by the applicable DOE test procedure; and
(ii) The manufacturer has validated the AEDM in accordance with
paragraph (i)(3) of this section.
(3) Validation of an AEDM. For manufacturers whose models of air-
cooled, three-phase, small commercial package air conditioning and
heating equipment with a cooling capacity of less than 65,000 Btu/h or
air-cooled, three-phase, variable refrigerant flow multi-split air
conditioners and heat pumps with a cooling capacity of less than 65,000
Btu/h are otherwise identical to their central air conditioner and heat
pump models (meaning differing only in phase or voltage of the
electrical system and the phase or voltage of power input for which the
motors and compressors are designed) and who have validated an AEDM for
the otherwise identical central air conditioners and heat pumps under
Sec. 429.70(e)(2), no additional validation is required. For
manufacturers whose models of air-cooled, three-phase, small commercial
package air conditioning and heating equipment with a cooling capacity
of less than 65,000 Btu/h or air-cooled, three-phase, variable
refrigerant flow multi-split air conditioners and heat pumps with a
cooling capacity of less than 65,000 Btu/h who have not validated an
AEDM for otherwise identical central air conditioners and heat pumps
under Sec. 429.70(e)(2) must, before using an AEDM, validate the
AEDM's accuracy and reliability as follows:
(i) Minimum testing. The manufacturer must test a single unit each
of two basic models in accordance with paragraph (i)(3)(iii) of this
section. Using the AEDM, calculate the energy use or efficiency for
each of the tested individual models/combinations within each basic
model. Compare the represented value based on testing and the AEDM
energy use or efficiency output according to paragraph (i)(3)(ii) of
this section. The manufacturer is responsible for ensuring the accuracy
and reliability of the AEDM and that their representations are
appropriate and the models being distributed in commerce meet the
applicable standards, regardless of the amount of testing required in
this paragraph.
(ii) Individual model/combination tolerances. This paragraph
(i)(3)(ii) provides the tolerances applicable to individual models/
combinations rated using an AEDM.
(A) The predicted represented values for each individual model/
combination calculated by applying the AEDM may not be more than four
percent greater (for measures of efficiency) or less (for measures of
consumption) than the values determined from the corresponding test of
the individual model/combination.
(B) The predicted energy efficiency or consumption for each
individual model/combination calculated by applying the AEDM must meet
or exceed the applicable federal energy conservation standard.
(iii) Additional test unit requirements. (A) Each AEDM must be
supported by test data obtained from physical tests of current
individual models/combinations; and
(B) Test results used to validate the AEDM must meet or exceed
current, applicable Federal standards as specified in part 431 of this
chapter; and
(C) Each test must have been performed in accordance with the
applicable DOE test procedure with which compliance is required at the
time the individual models/combinations used for validation are
distributed in commerce.
(4) AEDM records retention requirements

[…truncated; see source link]

View on FederalRegister.gov →Plain-text source

Indexed from Federal Register on December 16, 2022.

This is legal information, not legal advice. Laws vary by jurisdiction and change frequently. Always verify current law with official sources and consult a licensed attorney in your jurisdiction for advice on your specific situation.