Energy Conservation Program: Test Procedure for Room Air Conditioners, 16446-16480 [2021-05415]

Download as PDF 16446 Federal Register / Vol. 86, No. 58 / Monday, March 29, 2021 / Rules and Regulations DEPARTMENT OF ENERGY 10 CFR Parts 429 and 430 [EERE–2017–BT–TP–0012] RIN 1904–AD47 Energy Conservation Program: Test Procedure for Room Air Conditioners Office of Energy Efficiency and Renewable Energy, Department of Energy. ACTION: Final rule. AGENCY: On June 11, 2020, the U.S. Department of Energy (‘‘DOE’’) issued a notice of proposed rulemaking (‘‘NOPR’’) to amend the test procedure for room air conditioners (‘‘room ACs’’). That proposed rulemaking serves as the basis for the final rule. Specifically, this final rule adopts the following updates to the test procedure for room ACs at appendix F: Incorporate by reference current versions of applicable industry standards; establish test provisions to measure energy use of variable-speed room ACs during a representative average use cycle; update definitions to define key terms and support provisions for testing variable-speed room ACs; and incorporate specifications and minor corrections to improve the test procedure repeatability, reproducibility, and overall readability. This final rule does not modify the test procedures for single-speed room ACs and does not affect the measured energy use for these models. The provisions established to measure energy use of variable-speed room ACs will improve the representativeness of the measured energy use of these models. DATES: Effective date: The effective date of this rule is April 28, 2021. Compliance date: The final rule changes will be mandatory for product testing starting September 27, 2021. Incorporation by reference: The incorporation by reference of certain publications listed in the rule is approved by the Director of the Federal Register on April 28, 2021. The incorporation by reference of certain other publications listed in this rulemaking were approved by the Director of the Federal Register on March 7, 2012, and July 31, 2015. ADDRESSES: The docket, which includes Federal Register notices, public meeting attendee lists and transcripts, comments, and other supporting documents/materials, is available for review at https://www.regulations.gov. All documents in the docket are listed in the https://www.regulations.gov index. However, some documents listed in the index, such as those containing SUMMARY: VerDate Sep<11>2014 17:42 Mar 26, 2021 Jkt 253001 information that is exempt from public disclosure, may not be publicly available. A link to the docket web page can be found at https://www.regulations.gov/ docket?D=EERE-2017-BT-TP-0012. 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: ApplianceStandardsQuestions@ ee.doe.gov. Mr. Bryan Berringer, U.S. Department of Energy, Office of Energy Efficiency and Renewable Energy, Building Technologies Office, EE–5B, 1000 Independence Avenue SW, Washington, DC 20585–0121. Telephone: (202) 586– 0371. Email: ApplianceStandardsQuestions@ ee.doe.gov. Ms. Sarah Butler, U.S. Department of Energy, Office of the General Counsel, GC–33, 1000 Independence Avenue SW, Washington, DC 20585–0121. Telephone: (202) 586–1777. Email: Sarah.Butler@hq.doe.gov. SUPPLEMENTARY INFORMATION: DOE maintains previously approved incorporation by references and incorporates by reference the following industry standards into title 10, Code of Federal Regulations (‘‘CFR’’), part 430: Association of Home Appliance Manufacturers (‘‘AHAM’’) RAC–1–2020, (‘‘AHAM RAC–1–2020’’), ‘‘Room Air Conditioners;’’ American National Standards Institute (‘‘ANSI’’)/American Society of Heating, Refrigerating, and AirConditioning Engineers (‘‘ASHRAE’’) Standard 16–2016, (‘‘ANSI/ASHRAE Standard 16–2016’’), ‘‘Method of Testing for Rating Room Air Conditioners, Packaged Terminal Air Conditioners, and Packaged Terminal Heat Pumps for Cooling and Heating Capacity;’’ ANSI approved October 31, 2016. ANSI/ASHRAE Standard 41.1–2013, (‘‘ANSI/ASHRAE Standard 41.1’’), ‘‘Standard Method for Temperature Measurement;’’ ANSI approved January 30, 2013. ANSI/ASHRAE Standard 41.2–1987 (RA 1992), (‘‘ANSI/ASHRAE Standard 41.2–1987 (RA 1992)’’), ‘‘Standard Methods for Laboratory Airflow Measurement;’’ ANSI reaffirmed April 20, 1992. ANSI/ASHRAE Standard 41.3–2014, (‘‘ANSI/ASHRAE Standard 41.3–2014’’), ‘‘Standard Methods for Pressure FOR FURTHER INFORMATION CONTACT: PO 00000 Frm 00002 Fmt 4701 Sfmt 4700 Measurement;’’ ANSI approved July 3, 2014. ANSI/ASHRAE Standard 41.6–2014, (‘‘ANSI/ASHRAE Standard 41.6–2014’’), ‘‘Standard Method for Humidity Measurement;’’ ANSI approved July 3, 2014. ANSI/ASHRAE Standard 41.11–2014, (‘‘ANSI/ASHRAE Standard 41.11– 2014’’), ‘‘Standard Methods for Power Measurement;’’ ANSI approved July 3, 2014. International Electrotechnical Commission (‘‘IEC’’) Standard 62301, (‘‘IEC Standard 62301 Second Edition’’), ‘‘Household electrical appliances— Measurement of standby power, (Edition 2.0, 2011–01)’’. Copies of AHAM RAC–1–2020 can be obtained from the Association of Home Appliance Manufacturers at https:// www.aham.org/ht/d/Store/. Copies of ANSI/ASHRAE Standard 16–2016, ANSI/ASHRAE Standard 41.1–2013, ANSI/ASHRAE Standard 41.2–1987, ANSI/ASHRAE Standard 41.3–2014, ANSI/ASHRAE Standard 41.6–2014, and ANSI/ASHRAE Standard 41.11– 2014 can be obtained from the American National Standards Institute at https:// webstore.ansi.org/. Copies of IEC Standard 62301 can be obtained from https://webstore.iec.ch. See section IV.N of this document for additional information on these standards. Table of Contents I. Authority and Background A. Authority B. Background II. Synopsis of the Final Rule III. Discussion A. Room Air Conditioner Definition B. Industry Test Standards 1. AHAM RAC–1 2. ANSI/ASHRAE Standard 16 3. ANSI/ASHRAE Standards 41.1, 41.2, 41.3, 41.6, and 41.11 C. Variable-Speed Room Air Conditioner Test Procedure 1. Methodology 2. Test Conditions 3. Variable-Speed Compressor Operation 4. Capacity and Electrical Power Adjustment Factors 5. Cycling Loss Factors 6. Test Condition Weighting Factors 7. Weighted CEER and Performance Adjustment Factor 8. Air-Enthalpy Test Alternative 9. Product Specific Reporting Provisions 10. Estimated Annual Operating Cost Calculation D. Definitions 1. Key Terms 2. Compressor Speeds E. Active Mode Testing 1. Cooling Mode 2. Heating Mode 3. Off-Cycle Mode F. Standby Modes and Off Mode E:\FR\FM\29MRR2.SGM 29MRR2 Federal Register / Vol. 86, No. 58 / Monday, March 29, 2021 / Rules and Regulations 1. Referenced Standby Mode and Off Mode Test Standard G. Network Functionality H. Demand Response I. Combined Energy Efficiency Ratio J. Certification and Verification Requirements K. Reorganization of Calculations in 10 CFR 430.23 L. Effective Date, Compliance Date and Waivers M. Test Procedure Costs and Impact 1. Appendix F 2. Additional Amendments IV. Procedural Issues and Regulatory Review A. Review Under Executive Order 12866 B. Review Under the Regulatory Flexibility Act C. Review Under the Paperwork Reduction Act of 1995 D. Review Under the National Environmental Policy Act of 1969 E. Review Under Executive Order 13132 F. Review Under Executive Order 12988 G. Review Under the Unfunded Mandates Reform Act of 1995 H. Review Under the Treasury and General Government Appropriations Act, 1999 I. Review Under Executive Order 12630 J. Review Under Treasury and General Government Appropriations Act, 2001 K. Review Under Executive Order 13211 L. Review Under Section 32 of the Federal Energy Administration Act of 1974 M. Congressional Notification N. Description of Materials Incorporated by Reference V. Approval of the Office of the Secretary I. Authority and Background Room ACs are included in the list of ‘‘covered products’’ for which DOE is authorized to establish and amend energy conservation standards and test procedures. (42 U.S.C. 6292(a)(2)) DOE’s energy conservation standards and test procedure for room ACs are currently prescribed at 10 CFR 430.32(b) and 10 CFR 430.23(f), respectively. The following sections discuss DOE’s authority to establish test procedures for room ACs and relevant background information regarding DOE’s consideration of test procedures for this product. A. Authority The Energy Policy and Conservation Act, as amended (‘‘EPCA’’),1 authorizes DOE to regulate the energy efficiency of a number of consumer products and certain industrial equipment. (42 U.S.C. 6291–6317) Title III, Part B 2 of EPCA established the Energy Conservation Program for Consumer Products Other Than Automobiles, which sets forth a variety of provisions designed to 1 All references to EPCA in this document refer to the statute as amended through Energy Act of 2020, Public Law 116–260 (Dec. 27, 2020). 2 For editorial reasons, upon codification in the U.S. Code, Part B was redesignated Part A. VerDate Sep<11>2014 17:42 Mar 26, 2021 Jkt 253001 improve energy efficiency. These products include room ACs, the subject of this document. (42 U.S.C. 6292(a)(2)) The energy conservation program under EPCA consists essentially of four parts: (1) Testing, (2) labeling, (3) Federal energy conservation standards, and (4) certification and enforcement procedures. Relevant provisions of EPCA specifically include definitions (42 U.S.C. 6291), test procedures (42 U.S.C. 6293), labeling provisions (42 U.S.C. 6294), energy conservation standards (42 U.S.C. 6295), and the authority to require information and reports from manufacturers (42 U.S.C. 6296). The testing requirements consist of test procedures that manufacturers of covered products must use as the basis for (1) certifying to DOE that their products comply with the applicable energy conservation standards adopted under EPCA (42 U.S.C. 6295(s)), and (2) making representations about the efficiency of those products (42 U.S.C. 6293(c)). Similarly, DOE must use these test procedures to determine whether the products comply with any relevant standards promulgated under EPCA. (42 U.S.C. 6295(s)) Federal energy efficiency requirements for covered products established under EPCA generally supersede State laws and regulations concerning energy conservation testing, labeling, and standards. (42 U.S.C. 6297) DOE may, however, grant waivers of Federal preemption for particular State laws or regulations, in accordance with the procedures and other provisions of EPCA. (42 U.S.C. 6297(d)) Under 42 U.S.C. 6293, EPCA sets forth the criteria and procedures DOE must follow when prescribing or amending test procedures for covered products. EPCA provides that any test procedures prescribed or amended under this section shall be reasonably designed to produce test results which measure energy efficiency, energy use or estimated annual operating cost of a covered product during a representative average use cycle or period of use and shall not be unduly burdensome to conduct. (42 U.S.C. 6293(b)(3)) EPCA also requires that, at least once every 7 years, DOE evaluate test procedures for each type of covered product, including room ACs, to determine whether amended test procedures would more accurately or fully comply with the requirements of 42 U.S.C. 6293(b)(3). (42 U.S.C. 6293(b)(1)(A)) If the Secretary determines, on his own behalf or in response to a petition by any interested person, that a test procedure should be prescribed or amended, the Secretary PO 00000 Frm 00003 Fmt 4701 Sfmt 4700 16447 shall promptly publish in the Federal Register proposed test procedures and afford interested persons an opportunity to present oral and written data, views, and arguments with respect to such procedures. The comment period on a proposed rule to amend a test procedure shall be at least 60 days and may not exceed 270 days. In prescribing or amending a test procedure, the Secretary shall take into account such information as the Secretary determines relevant to such procedure, including technological developments relating to energy use or energy efficiency of the type (or class) of covered products involved. (42 U.S.C. 6293(b)(2)) If DOE determines that test procedure revisions are not appropriate, DOE must publish its determination not to amend the test procedures. DOE is publishing this final rule in satisfaction of the 7-year review requirement specified in EPCA. (42 U.S.C. 6293(b)(1)(A)) In addition, EPCA requires that DOE amend its test procedures for all covered products to integrate measures of standby mode and off mode energy consumption into the overall energy efficiency, energy consumption, or other energy descriptor, unless the current test procedure already incorporates the standby mode and off mode energy consumption, or if such integration is technically infeasible. (42 U.S.C. 6295(gg)(2)(A)) If an integrated test procedure is technically infeasible, DOE must prescribe separate standby mode and off mode energy use test procedures for the covered product, if a separate test is technically feasible. (Id.) Any such amendment must consider the most current versions of the International Electrotechnical Commission (‘‘IEC’’) Standard 62301 3 and IEC Standard 62087 4 as applicable. (42 U.S.C. 6295(gg)(2)(A)) B. Background DOE’s existing test procedure for room ACs appears at Title 10 of the CFR part 430, subpart B, appendix F (‘‘Uniform Test Method for Measuring the Energy Consumption of Room Air Conditioners’’ (‘‘appendix F’’)), and the room AC performance metric calculations are codified at 10 CFR 430.23(f). DOE most recently amended the test procedure for room ACs in a final rule published on January 6, 2011, (hereafter the ‘‘January 2011 Final Rule’’), which added a test procedure to measure standby mode and off mode 3 IEC 62301, Household electrical appliances— Measurement of standby power (Edition 2.0, 2011– 01). 4 IEC 62087, Methods of measurement for the power consumption of audio, video, and related equipment (Edition 3.0, 2011–04). E:\FR\FM\29MRR2.SGM 29MRR2 16448 Federal Register / Vol. 86, No. 58 / Monday, March 29, 2021 / Rules and Regulations power and to introduce a new combined efficiency metric, Combined Energy Efficiency Ratio (‘‘CEER’’), that accounts for energy consumption in active mode, standby mode, and off mode. 76 FR 971. The previous room AC test procedure incorporates by reference three industry test methods: (1) American National Standards Institute (‘‘ANSI’’)/ Association of Home Appliance Manufacturers (‘‘AHAM’’) RAC–1–2008, ‘‘Room Air Conditioners’’ (‘‘ANSI/ AHAM RAC–1–2008’’),5 (2) ANSI/ American Society of Heating, Refrigerating, and Air-Conditioning Engineers (‘‘ASHRAE’’) Standard 16– 1983 (RA 2009), ‘‘Method of Testing for Rating Room Air Conditioners and Packaged Terminal Air Conditioners’’ (‘‘ANSI/ASHRAE Standard 16–2009’’),6 and (3) IEC Standard 62301, ‘‘Household electrical appliances— Measurement of standby power (first edition June 2005)’’ (‘‘IEC Standard 62301 First Edition’’).7 On May 8, 2019, DOE published a Decision and Order, granting a waiver for certain room AC models with variable-speed capabilities in response to a petition from LG Electronic USA, Inc. (‘‘LG’’). 84 FR 20111 (‘‘LG Waiver’’). As required under the waiver, the specified LG variable-speed room ACs must be tested at four different outdoor temperatures instead of a single outdoor temperature, with the unit compressor speed fixed at each temperature. This approach for the alternate test procedure was derived from the current DOE test procedure for central air conditioners (10 CFR part 430, subpart B, appendix M (‘‘appendix M’’)). The LG Waiver provides definitions for each fixed compressor speed, adjusts the annual energy consumption and operating cost calculations that provide the basis for the information presented to consumers on the EnergyGuide Label, and requires that compressor speeds be set in accordance with instructions submitted to DOE by LG on April 2, 2019.8 84 FR 20111, 20118–20121. On May 26, 2020, DOE published a Decision and Order, granting a waiver to GD Midea Air Conditioning Equipment Co. LTD. (‘‘Midea’’) for six variable- speed basic models with the condition that Midea must test and rate these models according to an alternate test procedure that is substantively consistent with that prescribed by in the LG Waiver, and report product-specific information that reflects the alternate test procedure. 85 FR 31481 (‘‘Midea Waiver’’). On June 11, 2020, DOE published a notice of proposed rulemaking (‘‘June 2020 NOPR’’) proposing amendments to the test procedures for room ACs to: (1) Update to the latest versions of industry test methods that are incorporated by reference; (2) adopt new testing provisions for variable-speed room ACs that reflect the relative efficiency gains at reduced cooling loads; (3) adopt new definitions consistent with these two proposed amendments; and (4) provide specifications and minor corrections to improve the test procedure repeatability, reproducibility, and overall readability. 85 FR 35700. DOE received comments in response to the June 2020 NOPR from the interested parties listed in Table II.1. TABLE II.1—JUNE 2020 NOPR WRITTEN COMMENTS Commenter(s) Reference in this NOPR Association of Home Appliance Manufacturers ............................................................................ California Investor-Owned Utilities ................................................................................................ Appliance Standards Awareness Project (‘‘ASAP’’), American Council for an Energy-Efficient Economy (‘‘ACEEE’’), Natural Resources Defense Council (‘‘NRDC’’). Northwest Energy Efficiency Alliance ........................................................................................... AHAM ......................... California IOUs ........... Joint Commenters ...... Keith Rice ...................................................................................................................................... GE Appliances, a Haier Company ................................................................................................ Rice ............................. GEA ............................ Subsequent to the publication of the June 2020 NOPR, on September 23, 2020, DOE granted GE Appliances, a Haier Company (‘‘GEA)’’ an interim waiver from the room AC test procedure for the 18 basic models listed in GEA’s petition, using an alternate test procedure consistent with that granted to Midea in the Midea Waiver. 85 FR 59770. (‘‘GEA Interim Waiver’’) Additionally, on February 14, 2020, DOE published its updated Process Rule to improve the internal framework for establishing new energy efficiency regulations, with the goal of increasing transparency, accountability, and certainty for stakeholders. 85 FR 8626. As required under the updated Process Rule, DOE will adopt industry test standards as DOE test procedures for covered products and equipment, unless such methodology would be unduly burdensome to conduct or would not produce test results that reflect the energy efficiency, energy use, water use (as specified in EPCA) or estimated operating costs of that equipment during a representative average use cycle. Section 8(c) of 10 CFR part 430 subpart C appendix A. See also, 85 FR 8626, 8708. 5 Copies can be purchased from https:// webstore.ansi.org. 6 Copies can be purchased from https:// www.techstreet.com. 7 Copies can be purchased from https:// webstore.iec.ch. 8 While the instructions provided by LG on April 2, 2019 are listed in the docket for this rulemaking, VerDate Sep<11>2014 17:42 Mar 26, 2021 Jkt 253001 II. Synopsis of the Final Rule In this final rule, DOE amends the existing test procedure for room ACs to: (1) Incorporate by reference current versions of the applicable industry standards; (2) adopt test provisions for variable-speed room ACs that reflect energy efficiency during a representative average use cycle; (3) update definitions to define key terms PO 00000 Frm 00004 Fmt 4701 Sfmt 4700 NEAA .......................... Commenter type Trade Association. Utility. Efficiency Organizations. Efficiency Organization. Consultant. Manufacturer. and support the adopted provisions for testing variable-speed room ACs; and (4) update specifications and implement minor corrections to improve the test procedure repeatability, reproducibility, and overall readability. DOE has determined that the amendments will both provide efficiency measurements more representative of the energy efficiency of variable-speed room ACs and will not alter the measured efficiency of singlespeed room ACs, which constitute the large majority of units on the market. DOE has determined that the amended test procedure will not be unduly burdensome to conduct. DOE’s actions are summarized in Table II.2 and addressed in detail in section III of this document. they were marked as confidential and were treated accordingly. E:\FR\FM\29MRR2.SGM 29MRR2 Federal Register / Vol. 86, No. 58 / Monday, March 29, 2021 / Rules and Regulations 16449 TABLE II.2—SUMMARY OF CHANGES IN THE AMENDED TEST PROCEDURE Previous DOE test procedure Amended test procedure References industry standards— ................................................... Updates references to applicable sections of: ............................. • ANSI/AHAM RAC–1–2008, ................................................. • ANSI/ASHRAE Standard 16–2009, and ............................. • AHAM RAC–1–2020, • ANSI/ASHRAE Standard 16–2016 (including relevant cross-referenced industry standards), and • IEC Standard 62301 Second Edition. Relevant definitions, testing, calculation of CEER metric, and certification for variable-speed room ACs based on additional reduced outdoor temperature test conditions. • IEC Standard 62301 First Edition ....................................... Testing, calculation of CEER metric, and certification for all room ACs based on single temperature rating condition. Definitions— —Definition of ‘‘room air conditioner’’ does not explicitly include function of providing cool conditioned air to an enclosed space, and references ‘‘prime,’’ an undefined term, to describe the source of refrigeration. —‘‘Cooling mode,’’ ‘‘cooling capacity,’’ ‘‘combined energy efficiency ratio,’’ are undefined terms. Appendix F does not explicitly identify the scope of the test procedure. Provides that test unit be installed in a manner similar to consumer installation. Calculations for average annual energy consumption, combined annual energy consumption, energy efficiency ratio (‘‘EER’’), and CEER are located in 10 CFR 430.23(f). The effective date for the amended test procedure adopted in this final rule is 30 days after publication of this document in the Federal Register. Representations of energy use or energy efficiency must be based on testing in accordance with the amended test procedure beginning 180 days after the publication of this final rule. III. Discussion A. Room Air Conditioner Definition DOE defines a ‘‘room air conditioner’’ as a consumer product, other than a packaged terminal air conditioner, which is powered by a single-phase electric current and which is an encased assembly designed as a unit for mounting in a window or through the wall for the purpose of providing delivery of conditioned air to an enclosed space. It includes a prime source of refrigeration and may include a means for ventilating and heating. 10 CFR 430.2. In the June 2020 NOPR, DOE proposed adding the term ‘‘cooled’’ to the room AC definition, so that it refers to a system that ‘‘. . . delivers cooled, conditioned air to an enclosed space . . .’’ (emphasis added). 85 FR 35700, 35705 (Jun. 11, 2020). DOE believed that this revised wording would better represent the key function of a room AC, and would avoid any potential for the room AC definition to cover other VerDate Sep<11>2014 17:42 Mar 26, 2021 Jkt 253001 —Adds the word ‘‘cooled’’ to describe the conditioned air a room AC provides and the phrase ‘‘notwithstanding ASHRAE 16 and RAC–1 (incorporated by reference; see § 430.3)’’ to reiterate that the DOE definition takes precedence over conflicting language in relevant industry standards, in the definition of ‘‘room air conditioner’’ and removes ‘‘prime’’ from the definition. —Adds definition for ‘‘cooling mode,’’ ‘‘cooling capacity,’’ and ‘‘combined energy efficiency ratio.’’ Creates new section indicating the appendix applies to the energy performance of room ACs. —References ANSI/ASHRAE Standard 16–2016, specifying that the perimeter of louvered room ACs be sealed to the separating partition, consistent with common testing practice. —Specifies that non-louvered room ACs be installed inside a compatible wall sleeve, with the manufacturer-provided installation materials. —Moves calculations for CEER and annual energy consumption for each operating mode into appendix F. —Removes EER calculation and references entirely, as it is obsolete.. indoor air quality systems that could be described as ‘‘conditioning’’ the air, but that would not be appropriately included within the scope of coverage of a room AC. Id. Additionally, as described previously, the previous definition of room AC specified that it includes a prime source of refrigeration. Id. DOE contended that using the word ‘‘prime’’ to describe the source of refrigeration in the previous definition was extraneous and could be construed as referring to a ‘‘primary’’ refrigeration system, a distinction that could inadvertently exclude future products that implement a different technology as the primary source of air conditioning, while implementing a refrigeration loop as the ‘‘secondary’’ means of cooling or heating. Id. Primary and secondary means of conditioning air are not uncommon in certain refrigeration products and chiller systems; in fact, some room ACs with heating functionality implement a resistance heater as a supplemental form of heating to the primary heat pump, for use under extreme temperature conditions. DOE also noted that the recently codified portable AC definition was not limited to products with a prime source of refrigeration. Id. For these reasons, DOE proposed to remove the word ‘‘prime’’ from the room AC definition. PO 00000 Attribution Frm 00005 Fmt 4701 Sfmt 4700 Industry test procedure updates. In response to test procedure waivers. Added by DOE (clarification). Added by DOE (specifies the applicability of the test procedure). Industry test procedure update and added by DOE (additional installation specifications). Added by DOE (improve readability). DOE also proposed to add to the phrase ‘‘notwithstanding ASHRAE 16 and RAC–1 (incorporated by reference; see § 430.3),’’ to the room air conditioner definition to reiterate that the DOE definition takes precedence over conflicting language in relevant industry standards. Id. Additionally, DOE proposed to reorganize the room AC definition to improve its readability. Id. The minor editorial revisions and specifications discussed in this section do not modify the scope of the room AC definition. In summary, DOE proposed to modify the room AC definition in 10 CFR 430.2 to read as follows: ‘‘Room air conditioner means a window-mounted or through-the-wallmounted encased assembly, other than a ‘packaged terminal air conditioner,’ that delivers cooled, conditioned air to an enclosed space, and is powered by single-phase electric current. It includes a source of refrigeration and may include additional means for ventilating and heating, notwithstanding ASHRAE 16 and RAC–1 (incorporated by reference; see § 430. 3).’’ AHAM supported DOE’s proposed amendments to the definition of room air conditioner which are consistent, though not verbatim, with the definitions in AHAM RAC–1–2020. E:\FR\FM\29MRR2.SGM 29MRR2 16450 Federal Register / Vol. 86, No. 58 / Monday, March 29, 2021 / Rules and Regulations (AHAM, No. 13 at p. 6) 9 DOE did not receive any comment in opposition to the proposed definition. For the reasons provided in the June 2020 NOPR, DOE adopts the definition of ‘‘room air conditioner’’ as proposed. In the June 2020 NOPR, DOE also proposed to further specify the scope of coverage of appendix F by adding a new ‘‘Scope’’ section stating that appendix F contains the test requirements used to measure the energy performance of room ACs. In doing so, DOE would explicitly limit the scope of products tested in accordance with appendix F, and appendix F would be consistent with test procedures for other similar covered products in that it would include an introductory statement of scope. There were no comments pertaining to this addition. DOE adds this new provision to appendix F as proposed. B. Industry Test Standards The DOE room AC test procedure in appendix F references the following two industry standards as the basis of the cooling mode test: ANSI/AHAM RAC– 1–2008 and ANSI/ASHRAE Standard 16–2009. ANSI/AHAM RAC–1–2008 provides the specific test conditions and associated tolerances, while ANSI/ ASHRAE Standard 16–2009 describes the test setup, instrumentation and procedures used in the DOE test procedure. The cooling capacity, efficiency metric, and other indicators are calculated based on the results obtained through the application of these test methods, as described in appendix F and 10 CFR 430.23(f). Updated versions of AHAM RAC–1 and ANSI/ASHRAE Standard 16 have been released since the publication of the previous DOE test procedure. DOE assessed the updated versions of these standards to determine whether a DOE test procedure that adopted the updated industry standards would produce test results which measure energy efficiency of room ACs during a representative average use cycle without being unduly burdensome to conduct. 1. AHAM RAC–1 The cooling mode test in appendix F is conducted in accordance with the testing conditions, methods, and calculations in Sections 4, 5, 6.1, and 6.5 of ANSI/AHAM RAC–1–2008, as summarized in Table III–1. 9 A notation in the form ‘‘AHAM, No. 13 at p. 6’’ identifies a written comment: (1) Made by the Association of Home Appliance Manufacturers; (2) recorded in document number 13 that is filed in the docket of this test procedure rulemaking (Docket No. EERE–2017–BT–TP–0012–0008) and available for review at https://www.regulations.gov; and (3) which appears on page 6 of document number 13. VerDate Sep<11>2014 17:42 Mar 26, 2021 Jkt 253001 RAC–1–2015 to determine the electrical TABLE III–1—SUMMARY OF ANSI/ AHAM RAC–1–2008 SECTIONS power input in cooling mode. Id. Since the June 2020 NOPR, AHAM REFERENCED IN APPENDIX F RAC–1 has been updated and the current standard was released in Section Description September 2020 as AHAM RAC–1– 4 ............... General test requirements, in- 2020, ‘‘Room Air Conditioners’’ (AHAM cluding power supply and test RAC–1–2020). Unlike ANSI/AHAM tolerances. RAC–1–2015, AHAM RAC–1–2020 5 ............... Test conditions and require- includes a test method for products with ments for a standard meas- variable-speed compressor units; allows urement test. for voluntary testing inside a 6.1 ............ Determination of cooling capacpsychometric chamber; removes the ity in British thermal units per tests for uncommon water-cooled units hour (‘‘Btu/h’’). 6.5 ............ Determination of electrical input as well as the sweat, drip, and heating tests; and updates references to the most in watts (‘‘W’’). recent versions of other industry standards—AHAM RAC–1–2020 In the June 2020 NOPR, DOE references ANSI/ASHRAE Standard 16– proposed to incorporate by reference ANSI/AHAM RAC–1–2015 but limit the 2016, for reasons outlined below, and IEC Standard 62301 Second Edition for section references in appendix F to 10 cooling mode-specific sections of ANSI/ standby power measurement. AHAM and GEA urged DOE to adopt AHAM RAC–1–2015 (by excluding AHAM RAC–1–2020. AHAM standby mode, off mode, and heating commented that this test procedure is mode sections), and to update the identical to the existing test procedure section reference for measuring waivers and the test procedure proposed electrical power input. 85 FR 35700, in the June 2020 NOPR. AHAM further 35706 (Jun. 11, 2020). ANSI/AHAM RAC–1–2015 introduced new provisions commented that uncommon practices such as water-cooled unit testing have for the measurement of standby mode been eliminated and tests irrelevant to and off mode power in Section 6.3, as energy and capacity measurement such well as the calculations for annual as the sweat, drip, and heating tests energy consumption and CEER in have been removed from AHAM RAC– Sections 6.4 through 6.8. Because those 1–2015 such that the AHAM RAC–1– updates do not impact the sections 2020 procedure is now consistent with relevant to appendix F, DOE noted in the scope of the DOE test procedure. the June 2020 NOPR that it expects that updating the references to ANSI/AHAM AHAM stated that AHAM RAC–1–2020 does allow for voluntary testing in a RAC–1–2015 in appendix F would not psychrometric (air-enthalpy) chamber, substantively affect test results or test which DOE declined to propose for burden. Id. ANSI/AHAM RAC–1–2015 added test requirements and conditions adoption in the June 2020 NOPR. AHAM and GEA further stated that for standby mode and off mode, and adopting AHAM RAC–1–2020 as the heating mode in Sections 4 and 5, DOE test procedure would not change respectively. Because the DOE test the substance of DOE’s proposed rule procedure already addresses standby unless DOE were to consider allowing mode and off mode testing but not heating mode, which is now included in voluntary testing in a psychrometric chamber. AHAM asserted that AHAM ANSI/AHAM RAC–1–2015, and to RAC–1–2020 is not unduly burdensome avoid confusion regarding the to conduct and produces results that appropriate applicability of ANSI/ reflect the energy efficiency of room AHAM RAC–1–2015, DOE proposed in ACs during a representative average use the June 2020 NOPR to update the cycle. (AHAM, Public Meeting existing references to Sections 4 and 5 Transcript, No. 12 at pp. 9–10, 21; of ANSI/AHAM RAC–1–2008 in AHAM, No. 13 at p. 2; GEA, No. 18 at appendix F with references to only the p. 1) 11 AHAM further noted that, at the cooling mode-specific subsections of ANSI/AHAM RAC–1–2015: Sections 10 Copies of AHAM RAC–1–2020 can be 4.1, 4.2, 5.2.1.1, and 5.2.4. Id. purchased from the Association of Home Appliance Manufacturers at 1111 19th Street NW, Suite 402, DOE also noted in the June 2020 Washington, DC 20036, 202–872–5955, or by going NOPR that the provisions in ANSI/ to https://www.aham.org. AHAM RAC–1–2015 for measuring 11 A notation in the form ‘‘AHAM, Public Meeting electrical power input appear in Section Transcript, No. 12 at pp. 9–10, 21’’ identifies an oral 6.2, rather than Section 6.5 of ANSI/ comment that DOE received on August 6, 2020 during the public meeting, and was recorded in the AHAM RAC–1–2008. To reflect this public meeting transcript in the docket for this test change in section numbers, DOE procedure rulemaking (Docket No. EERE–2017–BT– proposed to update appendix F to TP–0012–0012). This particular notation refers to a reference Section 6.2 of ANSI/AHAM comment (1) made by AHAM during the public PO 00000 Frm 00006 Fmt 4701 Sfmt 4700 E:\FR\FM\29MRR2.SGM 29MRR2 Federal Register / Vol. 86, No. 58 / Monday, March 29, 2021 / Rules and Regulations time of the June 2020 NOPR comment period, AHAM RAC–1–2020 had not yet been published. However, in an additional comment submitted on December 18, 2020, AHAM confirmed publication of AHAM RAC–1–2020 and that it is consistent with what AHAM stated it would be in their previous comment. (AHAM, No. 20 at pp. 1–2) Consistent with the comments received, DOE has determined that AHAM RAC–1–2020 generally provides results that are representative of an average use cycle of room ACs, including room ACs that are variablespeed, and is not unduly burdensome to conduct. Therefore, DOE is adopting AHAM RAC–1–2020 as a referenced standard for the DOE room AC test procedure in appendix F, with modifications that DOE has determined are necessary to improve the representativeness and repeatability of the test procedure. The modifications are discussed in further detail in the sections that follow. 2. ANSI/ASHRAE Standard 16 Appendix F previously referenced the 1983 version of ANSI/ASHRAE Standard 16, which was reaffirmed in 2009, for cooling mode temperature conditions, methods, and calculations. In the June 2020 NOPR, DOE proposed to reference sections of ANSI/ ASHRAE Standard 16–2016 in appendix F. 85 FR 35700, 35707 (Jun. 11, 2020). In the June 2020 NOPR, DOE stated that ANSI/ASHRAE Standard 16–2016 made a number of updates to the industry standard, including an air-enthalpy test approach as an alternative to the calorimeter approach, heating mode testing, additional clarification on placement of air samplers and thermocouples, stability requirement definitions, and new figures for additional tests and to also improve previous figures. 85 FR 35700, 35706 (Jun. 11, 2020). DOE initially determined, however, that the general cooling mode methodology remains unchanged. Id. The addition of the airenthalpy approach provides more flexibility in conducting the tests, and the heating mode test is based on the tests previously included in ANSI/ ASHRAE Standard 58–1986 ‘‘Method of Testing for Rating Room Air Conditioner and Packaged Terminal Air Conditioner Heating Capacity.’’ In the June 2020 NOPR DOE stated that the general calorimeter test methodology is unchanged in ANSI/ meeting; (2) recorded in document number 12, which is the public meeting transcript that is filed in the docket of this test procedure rulemaking; and (3) which appears on pages 9 through 10 and 21 of document number 12. VerDate Sep<11>2014 17:42 Mar 26, 2021 Jkt 253001 ASHRAE Standard 16–2016 and tentatively determined that the additional detail and clarifying updates would improve the repeatability and reproducibility of test results. Id. ANSI/ ASHRAE Standard 16–2016 provides best practices for thermocouple and air sampler placement, recognizing that the unique characteristics of each test chamber will result in particular air flow and temperature gradients in the chamber, influenced by the interaction of the reconditioning equipment and the test unit. These practices address the distances for placing the air sampler from the unit discharge points and thermocouple spacing on the air sampling device. Figure 1 and Figure 2 of ANSI/ASHRAE Standard 16 are updated with additional details and references. Section 5 of ANSI/ASHRAE Standard 16–2016 includes additional provisions regarding instrument calibration and accuracy. ANSI/ ASHRAE Standard 16–2016 requires measuring data at more frequent intervals to minimize the sensitivity of the final average value to variations in individual data points, resulting in a more repeatable and reproducible test procedure. Based on DOE’s experience with testing at various test laboratories, requiring more frequent data measurements will have minimal impact on testing burden because most testing laboratories are already using a data acquisition system that has the capability to take more frequent measurements. In urging DOE to incorporate AHAM RAC–1–2020, AHAM and GEA supported the incorporation of relevant sections of the 2016 version of ANSI/ ASHRAE Standard 16, ANSI/ASHRAE Standard 16–2016. In AHAM RAC–1– 2020, AHAM adopted the most current industry standards, including ANSI/ ASHRAE Standard 16–2016. (AHAM, Public Meeting Transcript, No. 12 at pp. 9–10; AHAM, No. 13 at p. 2; GEA, No. 18 at p. 1) For these reasons provided in the June 2020 NOPR and in this document, and in consideration of the comments received in support of ANSI/ASHRAE Standard 16–2016, DOE is updating appendix F to reference ANSI/ASHRAE Standard 16–2016. ANSI/ASHRAE Standard 16–2016 also updates requirements for the accuracy of instruments. The 2009 reaffirmation of ANSI/ASHRAE Standard 16 requires, in Section 5.4.2, accuracy to ±0.5 percent of the quantity measured for instruments used for measuring all electrical inputs to the calorimeter compartments. ANSI/ ASHRAE Standard 16–2016, in Section 5.6.2, no longer broadly includes any PO 00000 Frm 00007 Fmt 4701 Sfmt 4700 16451 inputs and instead includes more specific language (e.g., it explicitly mentions the power input to the test unit, heaters, and other cooling load contributors). To ensure that the electrical input for all key equipment is properly measured, in the June 2020 NOPR, DOE proposed to maintain the accuracy requirement of ±0.5 percent of the quantity measured for instruments used for measuring all electrical inputs, to the test unit, all reconditioning equipment, and any other equipment that operates within the calorimeter walls. 85 FR 35700, 35707 (Jun. 11, 2020). No comments were received pertaining to this reference. While DOE is incorporating by reference ANSI/ ASHRAE Standard 16–2016 generally, DOE maintains that the instrument accuracy of ±0.5 percent of the quantity measured is applicable to all devices measuring electrical input for the room AC test procedure, and not just those explicitly mentioned in ANSI/ASHRAE Standard 16–2016. 3. ANSI/ASHRAE Standards 41.1, 41.2, 41.3, 41.6, and 41.11 ANSI/ASHRAE Standard 16–2016 references industry standards in specifying certain test conditions and measurement procedures. In the June 2020 NOPR, DOE proposed to incorporate those industry standards specified in the relevant sections of ANSI/ASHRAE Standard 16–2016. Specifically, DOE proposed to incorporate by reference: ANSI/ ASHRAE Standard 41.1–2013, ‘‘Standard Method for Temperature Measurement, as referenced in ANSI/ ASHRAE Standard 16–2016 Section 5.1.1 for all temperature measurements except for dew-point temperature; ANSI/ASHRAE Standard 41.2–1987 (RA 1992), ‘‘Standard Methods for Laboratory Airflow Measurement,’’ as referenced in Section 5.5.1 of ANSI/ ASHRAE Standard 16–2016 for airflow measurements; ANSI/ASHRAE Standard 41.3–2014, ‘‘Standard Methods for Pressure Measurement,’’ as referenced in Section 5.2.5 of ANSI/ ASHRAE Standard 16–2016 for the prescribed use of pressure measurement instruments; ANSI/ASHRAE Standard 41.6–2014, ‘‘Standard Method for Humidity Measurement,’’ as referenced in Section 5.1.2 of ANSI/ASHRAE Standard 16–2016 for measuring dewpoint temperatures using hygrometers; and ANSI/ASHRAE Standard 41.11– 2014, ‘‘Standard Methods for Power Measurement,’’ as referenced in Section 5.6.4 of ANSI/ASHRAE Standard 16– 2016 regarding the use and application of electrical instruments during tests. E:\FR\FM\29MRR2.SGM 29MRR2 16452 Federal Register / Vol. 86, No. 58 / Monday, March 29, 2021 / Rules and Regulations Incorporating these standards would clarify which versions of the standards are required to conduct tests according to the procedure in appendix F. 85 FR 35700, 35707 (Jun. 11, 2020). DOE received no comments on the proposal to incorporate ANSI/ASHRAE Standard 41.1–2013, ANSI/ASHRAE Standard 41.2–1987 (RA 1992), ANSI/ ASHRAE Standard 41.3–2014, ANSI/ ASHRAE Standard 41.6–2014, and ANSI/ASHRAE Standard 41.11–2014 in appendix F. DOE is adopting its proposal to incorporate those industry standards appendix F. C. Variable-Speed Room Air Conditioner Test Procedure Historically, room ACs have been designed using a single-speed compressor, which operates at full cooling capacity while the compressor is on. To match the cooling load of the space, which in most cases is less than the full cooling capacity of the compressor, a single-speed compressor cycles on and off. This cycling behavior generally introduces inefficiencies in refrigeration system performance. Variable-speed room ACs became available on the U.S. market in 2018. These models employ an inverter compressor that can reduce its speed to provide continuous cooling that matches the observed cooling load. Accordingly, a variable-speed compressor runs continuously, adjusting its speed up or down as required. In addition to reducing or VerDate Sep<11>2014 17:42 Mar 26, 2021 Jkt 253001 eliminating cycling inefficiencies, in a variable-speed unit operating at reduced capacity the evaporator and condenser heat exchange effectiveness are improved, since they are handling reduced loads, thereby improving compressor efficiency. The previous DOE test procedure measured the performance of a room AC while operating under a full cooling load; i.e., the compressor is operated continuously in its ‘‘on’’ state. As a result, the DOE test does not capture any inefficiencies due to compressor cycling. Consequently, the efficiency gains that can be achieved by variablespeed room ACs due to the avoidance of cycling losses were not measured by the previous test procedure. In the June 2020 NOPR, DOE presented the results of its investigative testing to quantify the impacts of cycling losses and the relative efficiency benefits of a variable-speed compressor. 85 FR 35700, 35707–35708 (Jun. 11, 2020). DOE compared the performance of two variable-speed room ACs from two different manufacturers, with single-speed room AC of similar capacity from the same manufacturers, under reduced cooling load conditions.12 DOE installed each room 12 The first room AC was tested under the 95 °F outdoor test condition (Figure III–1), the second under the 82 °F outdoor test condition (Figure III– 2), and the change in EER and load from full-load used for each test was determined based on an appendix F test with the noted outdoor test condition. PO 00000 Frm 00008 Fmt 4701 Sfmt 4700 AC in a calorimeter test chamber, set the unit thermostat to 80 degrees Fahrenheit (°F), and applied a range of fixed cooling loads to the indoor chamber.13 14 The calorimeter chamber conditioning system was configured to apply a fixed cooling load rather than maintaining constant indoor chamber temperature, thereby allowing the test unit to maintain the target indoor chamber temperature by adjusting its cooling operation in response to the changing temperature of the indoor chamber.15 Figures III–1 and III–2 show the efficiency gains and losses for the range of reduced cooling loads tested for each unit, relative to the performance of each unit as tested using appendix F.16 13 A cooling load is ‘‘applied’’ by adjusting and fixing the rate of heat added to the indoor test chamber to a level at or below that of the nominal cooling capacity of the test unit. 14 This approach aims to represent a consumer installation in which the amount of heat added to a room may be less than the rated cooling capacity of the room AC (e.g., electronics or lighting turned off, people or pets leaving the room, and external factors such as heat transfer through walls and windows reducing with outdoor temperature). 15 DOE notes that this test chamber configuration differs from the configuration used in appendix F. Appendix F uses a constant-temperature configuration, in which the indoor chamber temperature is held fixed (i.e., the indoor temperature does not drop while the room AC is operational). 16 For single-speed room ACs under appendix F, the thermostat is typically set as low as possible to ensure that the unit provides maximum cooling during the cooling mode test period. E:\FR\FM\29MRR2.SGM 29MRR2 Federal Register / Vol. 86, No. 58 / Monday, March 29, 2021 / Rules and Regulations 16453 BILLING CODE 3510–33–P l ] 10.0% 1---------------------"'~------ 0.0% 1------+-----+------1----+-----+------c:::ia :i .... E .g a:: w w .5 50% ffli-10.0% c 60% 70% 1--------------=...-.~•a:::=-------- l'! u -+- Single-Speed Room AC -30.0% ...__ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __ Cooling Load (% of Unit Cooling Capacity) Figure 111-1 Change in EER for Reduced Cooling Loads at 95 °F Outdoor Dry-Bulb Temperature, Unit 1 30.0% - ~ 20.0% -0 111 .9 :i 10.0% u. E .g 0.0% 50% 0:: LI.I LI.I 60% 70% .!: -10.0% :0 C: 111 6 -20.0% 1--~=-=~•------------1-=:a:::::=w,,a~n-~Room:1\C -e-Single-Speed Room AC -30.0% Cooling Load (% of Unit Cooling Capacity) In Figures III–1 and III–2, the distance of each data point from the x-axis represents the change in efficiency relative to the full-load efficiency for each unit at the outdoor test condition used.12 The single-speed room AC efficiency decreases in correlation with a reduction in cooling load, reflecting VerDate Sep<11>2014 17:42 Mar 26, 2021 Jkt 253001 cycling losses that become relatively larger as the cooling load decreases. In contrast, the efficiency of the variablespeed room AC increases as the cooling load decreases, reflecting the lack of cycling losses and inherent improvements in system efficiency associated with lower-capacity PO 00000 Frm 00009 Fmt 4701 Sfmt 4700 operation. As explained in the June 2020 NOPR, these results demonstrate that the previous test procedure does not account for significant efficiency gains that variable-speed room ACs can achieve under reduced temperature conditions. 85 FR 35700, 35708 (Jun. 11, 2020). E:\FR\FM\29MRR2.SGM 29MRR2 ER29MR21.000</GPH> BILLING CODE 3510–33–C ER29MR21.001</GPH> Figure 111-2 Change in EER for Reduced Cooling Loads at 82 °F Outdoor Dry-Bulb Temperature, Unit 2 16454 Federal Register / Vol. 86, No. 58 / Monday, March 29, 2021 / Rules and Regulations 1. Methodology In the June 2020 NOPR, DOE proposed a test method to measure the efficiency gains for variable-speed room ACs that are not captured by the previous DOE test procedure. 85 FR 35700, 35708–35709 (Jun. 11, 2020). DOE based the proposed method on the alternate test procedure required under the LG Waiver and the Midea Waiver, (collectively, ‘‘the waivers’’) for specified basic models of variable-speed room ACs. 84 FR 20111 (May 8, 2019) and 85 FR 31481 (May 26, 2020). The alternate test procedure proposed in the NOPR, which is substantively consistent with the waivers, is generally consistent with the approach in AHAM RAC–1– 2020, as discussed in section III.B.1 of this document. As discussed in this section below, DOE is adopting the AHAM RAC–1–2020 test procedure in this final rule, with some modifications for the purposes of improved representativeness and repeatability, which provides a methodology for obtaining a reported CEER value by adjusting the intermediate CEER value as tested at the 95 °F test condition according to appendix F using a ‘‘performance adjustment factor’’ (‘‘PAF’’). Conceptually, the approach for variable-speed room ACs adopted in this final rule involves measuring performance over a range of four test conditions, applying user settings to achieve the full compressor speed at two test conditions and manufacturerprovided instructions to achieve a reduced fixed compressor speed at the other two test conditions, which collectively comprise representative use. These temperature conditions were derived from the DOE test procedure for central air conditioners with variablespeed compressors and include three reduced-temperature test conditions— under which variable-speed room ACs perform more efficiently than singlespeed room ACs—and the test condition specified in the previous test procedure.17 The single-speed room AC test procedure, however, does not factor in the reduced-temperature test conditions under which single-speed units also will perform more efficiently (although not as well as variable-speed room ACs). As a result, comparing variable-speed performance at all test conditions against a single-speed unit at the highest-temperature test condition would not yield a fair comparison. The 17 The central air conditioner test procedure can be found at Title 10 of the CFR part 430, subpart B, appendix M, ‘‘Uniform Test Method for Measuring the Energy Consumption of Central Air Conditioners and Heat Pumps.’’ VerDate Sep<11>2014 17:42 Mar 26, 2021 Jkt 253001 PAF represents the average relative benefit of variable-speed over singlespeed across the whole range of test conditions. It is applied to the measured variable-speed room AC performance only at the high-temperature test condition to provide a comparison to the single-speed CEER metric based on representative use. The steps for determining a variablespeed room AC’s PAF are summarized as follows: • Measure the capacity and energy consumption of the sample unit at the single test condition used for singlespeed room ACs (95 °F dry-bulb outdoor temperature), with the compressor speed at the maximum (full) speed, achieved using the user settings (i.e., setpoint) selected in accordance with the appendix F test. • Measure the capacity and energy consumption of the sample unit at three additional test conditions (92 °F, 87 °F, and 82 °F dry-bulb outdoor temperature),18 with compressor speed at full using the user settings in accordance with appendix F, and fixed at intermediate and minimum (low) speed, respectively.19 Using theoretically determined adjustment factors,20 calculate the equivalent performance of a single-speed room AC with the same cooling capacity and electrical power input at the 95 °F drybulb outdoor temperature, with no cycling losses (i.e., a ‘‘theoretical comparable single-speed’’ room AC) for each of the three test conditions. • Calculate the annual energy consumption in cooling mode at each of the four cooling mode test conditions for a variable-speed room AC, as well as for a theoretical comparable singlespeed room AC with no cycling losses. This theoretical single-speed room AC would perform the same as the variablespeed test unit at the 95 °F test condition but perform differently at the other test conditions. • Calculate an individual CEER value at each of the four cooling mode test conditions for the variable-speed room AC, as well as for a theoretical comparable single-speed room AC with no cycling losses. • Using cycling loss factors derived from an industry test procedure and DOE test data,21 calculate an adjusted 18 The additional reduced-temperature conditions are described further in section III.C.2 of this document. 19 The fixed compressor speeds are described further in section III.C.3 of this document. 20 These adjustment factors are described further in section III.C.4 of this document. 21 The derivation of these cycling loss factors is described in more detail in section III.C.5 of this document. PO 00000 Frm 00010 Fmt 4701 Sfmt 4700 CEER value at each of the four cooling mode test conditions for a theoretical comparable single-speed room AC, which includes cycling losses. • Using weighting factors 22 representing the fraction of time spent and cooling load expected at each test condition in representative real-world operation, calculate a weighted-average CEER value (reflecting the weightedaverage performance across the four test conditions) for the variable-speed room AC, as well as for a theoretical comparable single-speed room AC. • Using these weighted-average CEER values for the variable-speed room AC and a theoretical comparable singlespeed room AC, calculate the PAF as the percent improvement of the weightedaverage CEER value of the variablespeed room AC compared to a theoretical comparable single-speed room AC.23 This PAF represents the improvement resulting from the implementation of a variable-speed compressor. DOE’s approach to addressing the performance improvements associated with variable-speed room ACs is generally consistent with the alternate test procedures required in the waivers and with the test procedure updates proposed in the June 2020 NOPR.24 The following sections of this document describe each aspect of the approach in greater detail. 2. Test Conditions As discussed previously, variablespeed room ACs provide improved performance at reduced cooling loads by reducing the compressor speed to match the load, thereby improving system efficiency. DOE recognizes that throughout the cooling season, room ACs operate under various outdoor temperature conditions. DOE also asserts that these varying outdoor conditions present a range of reduced cooling loads in the conditioned space, under which a variable-speed room AC would perform more efficiently than a 22 These ‘‘fractional temperature bin’’ weighting factors are described in more detail in section III.C.6 of this document. 23 The performance adjustment factor is described in more detail in section III.C.7 of this document. 24 DOE estimates that the CEER value for a variable-speed room AC determined in accordance with the amendments adopted in this final rule would be about 1.6 percent greater than the CEER value determined in accordance with the June 2020 NOPR proposed test approach, which was consistent with the alternate test procedure prescribed in a Decision and Order granting a waiver from the DOE test procedure for room air conditions to LG Electronics (84 FR 2011; May 8, 2019) and in an Interim Waiver granted to GD Midea Air Conditioning Equipment Co. LTD (84 FR 68159; Dec. 13, 2109). 85 FR 35700, 35709. E:\FR\FM\29MRR2.SGM 29MRR2 Federal Register / Vol. 86, No. 58 / Monday, March 29, 2021 / Rules and Regulations theoretical comparable single-speed room AC. To measure this improved performance, in the June 2020 NOPR, DOE proposed a test procedure for variable-speed room ACs that adds three test conditions (92 °F, 87 °F, and 82 °F dry-bulb outdoor temperatures and 72.5 °F, 69 °F, and 65 °F wet-bulb outdoor temperatures, respectively) to the existing 95 °F test condition, consistent with the test conditions in the waivers. 85 FR 35700, 35709 (Jun. 11, 2020). These temperatures represent potential outdoor temperature conditions between the existing 95 °F test condition and the indoor setpoint of 80 °F. These additional test conditions are also consistent with the representative temperatures for bin numbers 6, 5, and 4 in Table 19 of DOE’s test procedure for central air conditioners at appendix M. See id. Rice expressed concern that the temperature range of the proposed test points in the NOPR is too narrow, as they are based on only four of the eight cooling-mode outdoor-temperature bins of the 2017 version of Air-Conditioning, Heating and Refrigeration Institute (‘‘AHRI’’) Standard 210/240, (‘‘AHRI Standard 210/240’’), ‘‘Performance Rating of Unitary Air-conditioning & Air-source Heat Pump Equipment,’’ and a wider temperature range for testing is needed. Rice commented that the binned loads in AHRI Standard 210/240 were determined for more typical indoor dry-bulb settings, but the analysis in AHRI Standard 210/240 uses 80 °F dry-bulb and 67 °F wet-bulb indoor ratings data. Rice recommended that a more complete range of temperature bins and their associated cooling load hours from AHRI Standard 210/240 should be considered for the CEER analysis. (Rice, No. 17 at pp. 1– 2; see also Rice, Preliminary Analysis,25 No. 25 at p. 2) Rice recommended accounting for the fractional loads and hours of outdoor-temperature bins 67, 72, and 77 °F with a lower temperature test condition with an outdoor dry-bulb temperature of 75 °F be used in place of the 92 °F dry-bulb temperature test condition. Rice asserted that there was not sufficient justification to test at full speed test at 92 °F, as it is close to a full speed test at the 95 °F dry-bulb temperature test condition. Rice recommended that the fractional bin hours of the 92, 97, and 102 °F outdoortemperature bins should be applied to 25 The notation ‘‘Preliminary Analysis’’ indicates that the comment is filed in the docket of the Energy Conservation Standards for Room Air Conditioners Preliminary Analysis rulemaking (EERE–2014–BT–STD–0059) and available for review at https://www.regulations.gov. VerDate Sep<11>2014 17:42 Mar 26, 2021 Jkt 253001 the 95 °F dry-bulb temperature test condition, which is actually the midpoint temperature of the lower two bins. (Rice, No. 17 at pp. 1–2; see also Rice, Preliminary Analysis, No. 25 at p. 2) DOE recognizes that the test conditions proposed in the June 2020 NOPR do not encompass the full range of bin temperature in Table 16 of ANSI/ AHRI Standard 210/240. The temperature bins in Table 16 of ANSI/ AHRI Standard 201/240 apply to central air conditioners, which are fixed appliances, installed year-round, built into homes, and operate based on a central thermostat to maintain a relatively constant temperature throughout the conditioned space. Room ACs are instead, often seasonally, installed in a single room; operate based on an internal thermostat when turned on, typically only during the cooling season; and may be readily turned off when the room is not occupied. Consumers are more acutely aware of a room AC’s operation than that of a central air conditioner; as they are used to cool a single room, often only when that room is occupied; make more noise; and are visible in the room. For these reasons, consumers are more likely to rely on a room AC at the higher temperatures in the range of bin temperatures in Table 16 of ANSI/AHRI Standard 210/240, as compared to at the lower temperatures in the bin. At the lower temperatures, consumers using room ACs are more likely than consumers with central air conditioners to open a window or operate the unit with only the fan on to circulate indoor air when cooler outdoor air is available to draw in through a ‘‘fresh air’’ vent, making the lower temperature bins less representative of room AC operation in cooling mode. DOE also notes that the temperature conditions proposed in the June 2020 NOPR are consistent with the industry-accepted test procedure, AHAM RAC–1–2020. For the reasons discussed in this section, DOE is adopting the four temperature conditions for variablespeed room ACs proposed in the June 2020 NOPR. 3. Variable-Speed Compressor Operation The DOE test procedure maintains fixed temperature and humidity conditions in the indoor chamber and requires configuring the test unit settings (i.e., setpoint and fan speed), to achieve maximum cooling capacity. See Section 3.1 of appendix F, as amended, and Section 6.1.1.4 of ANSI/ASHRAE Standard 16–2016. Under these conditions, units under test may operate PO 00000 Frm 00011 Fmt 4701 Sfmt 4700 16455 continuously at their full cooling capacity, even at the reduced outdoor temperature test conditions described in section III.C.2 of this document, without the compressor cycling (for single-speed units) or compressor speed reduction (for variable-speed units) that would be expected under real-world operation. Therefore, in this final rule, DOE establishes additional test procedure adjustments, beyond reduced outdoor temperature test conditions, to fully capture the energy efficiency of variable variable-speed room ACs at reduced cooling loads. As described previously, in a typical consumer installation, reduced outdoor temperatures would result in reduced indoor cooling loads. A test that would provide constant reduced cooling loads could be considered, but as discussed below in section III.E.1.e of this document, DOE concludes such a test would not be feasible at this time. Instead, in the June 2020 NOPR, DOE proposed adopting a test that requires fixing the variable-speed room AC compressor at particular compressor speeds that would reflect the expected load under each of the four test conditions, as described further in the following sections. 85 FR 35700, 35709 (Jun. 11, 2020). a. Compressor Speeds In the June 2020 NOPR, to ensure the compressor speeds are representative of actual speeds at the expected cooling loads at each of the outdoor test conditions, DOE proposed requiring that the compressor speed of a variablespeed room AC be set to full speed at the two highest outdoor temperature test conditions (based on test AFull at 95 °F and test BFull at 92 °F from Table 8 of AHRI Standard 210/240), at intermediate compressor speed at the 87 °F test condition (based on test EInt), and at low compressor speed at the 82 °F test condition (based on test DLow), consistent with the tests and requirements in Table 8 of AHRI Standard 210/240, which specifies representative test conditions and the associated compressor speeds for variable-speed unitary air conditioners. 85 FR 35700, 35709 (Jun. 11, 2020). The California IOUs questioned the representativeness of testing variablespeed room ACs using fixed-speed testing and referenced statements from the 2019 Appliance Standards and Rulemaking Federal Advisory Committee’s Variable Refrigerant Flow Working Group that such testing was not representative of field performance, largely because the control settings used during testing did not match the operational behavior of units outside of E:\FR\FM\29MRR2.SGM 29MRR2 16456 Federal Register / Vol. 86, No. 58 / Monday, March 29, 2021 / Rules and Regulations their test mode.26 The California IOUs also cited research conducted at the Bundesanstalt fu¨r Materialforschung und -pru¨fung (‘‘BAM’’) Federal Institute for Material Research and Testing in Germany, in which all but one of the seven residential mini-split air conditioners with variable-speed equipment that were tested consumed significantly higher energy when consumer-adjustable, built-in controls were used relative to fixed controls (i.e., controls that set the compressor speed using a manufacturer-provided remote or code).27 The California IOUs stated that researchers reported many units reverted to on-off (cycling) operation when the outdoor temperatures were between 77 and 86 °F. The California IOUs encouraged DOE to amend the test procedure to improve representativeness and facilitate product comparison with air conditioners tested under appendix M1 28 to 10 CFR part 430. The California IOUs further encouraged DOE, in collaboration with industry and energy efficiency advocates, to update the test procedure for room ACs by requiring the measurement of units at the 95 °F test condition under their native controls to see the speeds at which the compressors operate to ensure accurate testing. (California IOUs, Public Meeting Transcript, No. 12 at pp. 30–33; California IOUs, No. 14 at p. 4) DOE notes that the findings of the 2019 Appliance Standards and Rulemaking Federal Advisory Committee’s Variable Refrigerant Flow Working Group applied to variablerefrigerant flow multi-split air conditioners and heat pumps, which have different applications and typical use cases from room ACs and which typically provide cooling to multiple locations within a home. Based on a review of the market, room ACs are typically marketed for temporary 26 All published documents directly related to the 2019 Appliance Standards and Rulemaking Federal Advisory Committee’s Variable Refrigerant Flow Working Group test data are available in docket EERE–2018–BT–STD–0003 (https://regulations.gov/ docket/EERE-2018-BT-STD-0003). 27 Palkowski, Carsten & Schwarzenberg, Stefan & Simo, Anne. (2019). ‘‘Seasonal cooling performance of air conditioners: The importance of independent test procedures used for MEPS and labels.’’ International Journal of Refrigeration. 104. 10.1016/ j.ijrefrig.2019.05.021. 28 Appendix M is the currently applicable DOE test procedure for central air conditioners and heat pumps. Appendix M1 will become the test procedure mandatory for use for central air conditioners and heat pumps on or after January 1, 2023. Appendix M and appendix M1 contain similar test conditions, so DOE’s evaluation of comments relative to appendix M applies equally to appendix M1. VerDate Sep<11>2014 17:42 Mar 26, 2021 Jkt 253001 seasonal installation 29 for the purpose of cooling a single room,30 whereas multi-split systems are permanent and may be used as part of a larger wholehome cooling system. For these reasons, the comparability of the room AC test procedure and the test procedure for multi-split air conditioners was not further considered in this final rule. During investigative testing, two variable-speed room AC models from different manufacturers performed differently under fixed temperature conditions with the user settings (e.g., fan speed, grille position) and thermostat setpoint selected in accordance with the appendix F test (‘‘appendix F setpoint’’), relative to the fixed controls, as specified in the waivers and proposed in the June 2020 NOPR. When operating under fixed temperature conditions and the appendix F setpoint (i.e., the setpoint which resulted in the maximum cooling capacity, per the requirement in ASHRAE 16–2016), one unit was 10 percent more efficient than when using fixed controls at the 95 °F test condition as specified in the waivers. The second unit was 11 percent less efficient when operated under fixed temperature conditions and the appendix F setpoint than when using fixed controls. Based on the observed differences in the room AC performance when using the fixed full compressor speed as compared to the fixed temperature conditions and appendix F setpoint, DOE is requiring the use of fixed chamber temperature conditions with a unit setpoint of 75 °F for the ‘‘full speed’’ test, as use of this test setup improves representativeness and reproducibility of results. While AHAM RAC–1–2020 requires the use of a fixed full compressor speed set in accordance with manufacturer instructions, as described above, DOE is adopting a revised approach in this final rule to improve representativeness and repeatability. Using a constant temperature test with a thermostat setpoint of 75 °F, in place of the fixed ‘‘full’’ compressor speed, will ensure measured performance reflects the expected performance of the unit when using a common setpoint selected in the 29 Only 14 room AC models on the market have reverse-cycle heating (a heating technology implemented in other electric cooling products intended for year-round operation), compared to the 1,825 total room AC models on the market according to DOE’s CCMS database, as accessed February 10, 2021. This indicates that room AC are overwhelmingly used for seasonal cooling. 30 Room air conditioners are typically purchased by selecting cooling capacity to match the size of a single room to be cooled. See, for example, the ENERGY STAR buying guidance at: https:// www.energystar.gov/products/heating_cooling/air_ conditioning_room. PO 00000 Frm 00012 Fmt 4701 Sfmt 4700 field at 95 °F and 92 °F outdoor temperatures, where DOE expects these units to be operating at full speed. However, DOE is not requiring the use of fixed temperature conditions, user settings, and thermostat set at 75 °F for the 87 °F and 82 °F outdoor test condition tests, because those tests represent lower cooling load conditions and would require a load-based test to represent expected unit performance at the associated reduced loads without fixing the compressor speed. As discussed in section III.E.1.d of this document, a load-based test is not feasible at this time. Therefore, the reduced outdoor conditions tests are conducted with fixed compressors speeds that are representative of performance at the expected loads at those reduced conditions. The fixed compressor speeds are defined based on the resulting cooling capacity using fixed temperature condition tests and a unit thermostat setpoint at 75 °F, as discussed in section III.D of this document. Therefore, in this final rule, DOE is requiring fixed temperature conditions with a unit thermostat setpoint of 75 °F, rather than using manufacturer instructions to fix the compressor speed for variable-speed room ACs at the 95 °F and 92 °F test conditions, while requiring that the compressor speed be fixed to intermediate speed at the 87 °F test condition and low speed at the 82 °F test condition, as discussed and defined in section III.D.1.b of this document and in Sections 2.15 and 2.16 in appendix F, respectively. b. Instructions for Fixing Compressor Speeds Setting and maintaining a specific compressor speed for a variable-speed room AC is not typically possible without special control instructions from manufacturers. In the June 2020 NOPR, DOE proposed to require that manufacturers provide in their certification reports the control settings for each variable-speed room AC basic model required to achieve the fixed compressor speed for each test condition, consistent with the approach in the waivers. 85 FR 35700, 35709 (Jun. 11, 2020). These include the compressor frequency setpoints at each test condition, instructions necessary to maintain the compressor speeds required for each test condition, and the control settings used for the variable components. Id. DOE received no comments on the proposal. Due to the change to require that user settings be implemented to achieve maximum cooling capacity when testing at the 95 °F and 92 °F test conditions, as E:\FR\FM\29MRR2.SGM 29MRR2 Federal Register / Vol. 86, No. 58 / Monday, March 29, 2021 / Rules and Regulations discussed in section III.C.3.a of this document, DOE is requiring that the manufacturer provide in the certification reports the control settings to achieve the fixed compressor speed at only the 87 °F and 82 °F test conditions, thus minimizing certification burden on manufacturers. c. Boost Compressor Speed DOE is aware that a variable-speed room AC’s full compressor speed may not be its fastest speed. In particular, the fastest compressor speed may be one that is automatically initiated and used for a brief period of time to rapidly reduce the indoor temperature to within typical range of the setpoint. This compressor speed is referred to as ‘‘Boost Compressor Speed’’ in AHRI Standard 210/240 and is defined as a speed faster than full compressor speed, at which the unit will operate to achieve increased capacity. Manufacturers have described boost compressor speed as used for limited periods of time on occasions where the indoor room temperature is far out of normal operating range of the setpoint. Once the indoor room temperature is within the typical operating range of the setpoint, the room AC returns to the ‘‘Full Compressor Speed,’’ as defined in AHRI Standard 210/240. Because of the typical limited duration of boost compressor speed, it would not significantly contribute to annual energy consumption. AHRI Standard 210/240 does not measure boost compressor speed energy use, and in a final rule published on June 8, 2016, DOE declined to include provisions for measuring boost compressor speed energy use in the central air conditioner test procedure. 81 FR 36992, 37029. DOE stated that accurately accounting for boost compressor speed requires more careful consideration of test procedure changes beyond simply allowing the compressor speed to vary for the test conditions required by the previous procedure, and that DOE would consider such revisions in a future rulemaking. Id. Accordingly, DOE did not propose to measure boost compressor speed performance and energy consumption in appendix F in the June 2020 NOPR, because of the minimal expected operating hours in boost compressor mode and the subsequent insignificant impact on annual energy consumption and performance, to harmonize with AHRI Standard 210/240, the industry approach for variable-speed compressor testing, and because DOE has previously opted to forgo including it for other air conditioning products. 85 FR 35700, 35710 (Jun. 11, 2020). VerDate Sep<11>2014 17:42 Mar 26, 2021 Jkt 253001 AHAM supported DOE’s proposal to forgo measuring boost compressor speed for variable-speed room ACs. AHAM commented that boost compressor speed is used for limited periods of time on occasions where the indoor room temperature is far out of normal operating range of the setpoint. AHAM stated that once the indoor temperature is within the typical operating range of the setpoint, the room AC will return to full compressor speed. AHAM asserted that accounting for boost compressor speed would likely not impact annual energy consumption and performance and, thus, additional test burden would not have a corresponding energy savings or consumer benefit. According to AHAM, EPCA does not require testing of every available mode; EPCA only requires testing of the average consumer use cycle, which boost mode is not according to data available. (AHAM, Public Meeting Transcript, No. 12 at p. 53; AHAM, No. 13 at p. 5) The Joint Commenters, the California IOUs, NEAA, and Rice commented in favor of capturing boost compressor speed operation in the test procedure. (ASAP, Public Meeting Transcript, No. 12 at p. 12; Joint Commenters, No. 15 at pp. 2–3; California IOUs, Public Meeting Transcript, No. 12 at pp. 23–24; NEAA, Public Meeting Transcript, No. 12 at pp. 42–48, 56; Rice, No. 17 at p. 3) The California IOUs commented that boost mode operation may be a significant portion of how consumers actually use the product. (California IOUs, Public Meeting Transcript, No. 12 at pp. 23–24) Rice commented that boost compressor capability requires the inverter/motor drives to be oversized to handle the increased torque and power draw, resulting in more performance drop off at lighter loads. Rice stated that this performance drop-off supports why limiting variable-speed rating tests to no lower than 82 °F may preclude future introduction of more efficient variablespeed drive/motor combinations in compressors that have larger performance advantages below 50percent capacity reduction. Rice commented that boost compressor speed capability not only can result in unnecessary energy use and increased power demand during rapid cooldown but can also penalize unit performance at lower outdoor temperatures where significant amounts of cooling are delivered. Rice further commented that there is no incentive for manufacturers to limit or drop boost compressor speed features from their designs without some performance penalty applied to units with boost operation, especially if the lowest test point remains at the 82 °F test condition with 50 percent of PO 00000 Frm 00013 Fmt 4701 Sfmt 4700 16457 rated capacity loading. Rice suggested provisions might also be included for suitable performance credits for variable-speed units that allow boost mode to be turned off by the homeowner or utility to reduce unnecessary energy use and/or peak demand. (Rice, No. 17 at pp. 2–3) ASAP, NEAA, the Joint Commenters, and Rice encouraged DOE to further investigate the use and timing of boost compressor speed, expressing concern that not testing it may result in excluding a significant component of the energy use of these units. (ASAP, Public Meeting Transcript, No. 12 at p. 12; NEAA, Public Meeting Transcript, No. 12 at pp. 42–48; Joint Commenters, No. 15 at pp. 2–3; Rice, No. 17 at p. 3) Specifically, NEAA recommended that DOE conduct tests to determine the setpoint differential that would cause boost mode to kick in and the difficulty at which that is under normal or extreme operating conditions. (NEAA, Public Meeting Transcript, No. 12 at pp. 42–48) Rice recommended that DOE conduct additional load-based testing to estimate the added energy use and peak demand from boost compressor speed operation from a typical daytime setback, evening setup schedule.31 (Rice, No. 17 at p. 3) As discussed, boost compressor speed is a temporary period of elevated compressor speed that occurs to quickly reduce the indoor temperature of a room, typically upon startup or after a service interruption. DOE is not aware of any publicly available data on the frequency or duration of boost compressor speed operation in the field. As such, DOE is unable to ensure the representativeness of a test procedure that addresses boost compressor speed operation. Further, in limited investigative testing of boost compressor speeds for two variable-speed room ACs, DOE was not able to induce a compressor speed higher than the full compressor speed, either by increasing the cooling load to greater than 100 percent or by adjusting the temperature setpoint during cooling mode operation. As such, it is unclear what test procedure provisions would be necessary to test boost compressor speed operation, or if there exists a compressor speed greater than that already activated by the settings in appendix F, without being unduly 31 ‘‘Setback’’ typically refers to when the temperature setting on a thermostat is adjusted to a higher temperature for a period of time when the space will not be occupied or won’t require as much cooling, and ‘‘setup’’ refers to when the thermostat setpoint is adjusted back to its original setting, at which the desired level of comfort is provided when the conditioned space is occupied. E:\FR\FM\29MRR2.SGM 29MRR2 16458 Federal Register / Vol. 86, No. 58 / Monday, March 29, 2021 / Rules and Regulations burdensome. Therefore, DOE is not adopting boost compressor speed provisions in appendix F. 4. Capacity and Electrical Power Adjustment Factors In the waivers and proposed June 2020 NOPR approach, a capacity adjustment factor is used to estimate the increased cooling capacity and reduced electrical power draw of a single-speed room AC at lower outdoor temperature conditions, using a linear extrapolation based on the measured capacity and power draw at the 95 °F test condition, respectively. 85 FR 35700, 35711 (Jun. 11, 2020). To determine these two adjustment factors, DOE used the MarkN model 32 to model room AC performance at reduced outdoor temperature conditions. Id. These modeling results suggested linear capacity and electrical power adjustment factors of 0.0099 per °F and 0.0076 per °F, respectively. Id. To confirm the validity of these modeled adjustment factors, DOE tested a sample of 14 single-speed room ACs at a range of reduced outdoor temperature test conditions (92 °F, 87 °F, and 82 °F) and compared the predicted values of cooling capacity and electrical power with the measured values at each test condition. The results generally indicated close agreement (i.e., less than 5 percent difference on average) between the modeled cooling capacity (based on an adjustment factor of 0.0099 per °F) and the measured capacity at each test condition, and between the modeled electrical power draw (based on an adjustment factor of 0.0076 per °F) and the measured electrical power draw at each test condition. DOE tentatively determined that the average difference of less than 5 percent between the modeled values and the experimental values confirmed the validity of these modeled adjustment factors. Therefore, in the June 2020 NOPR, DOE proposed to use the modeled adjustment factors of 0.0099 per °F and 0.0076 per °F for capacity and electrical power, respectively, to calculate the theoretical comparable single-speed room AC performance at reduced outdoor temperature test conditions. 85 FR 35700, 35711 (Jun. 11, 2020). NEAA expressed concern about DOE’s proposal to use linear capacity and electrical power adjustment factors to predict the capacity of fixed speed equipment at lower outdoor temperatures. NEAA commented that, while the order of magnitude of the error is small, the factors chosen consistently overpredict capacity and underpredict energy use for singlespeed equipment. NEAA further commented that this will reduce the CEER ratings of variable-speed room ACs. NEAA recommended modifying the capacity and electrical power adjustment factors so that they do not overpredict capacity and underpredict energy use consistently. (NEAA, No. 16 at p. 5) DOE disagrees with NEAA’s assessment that the modeling factors consistently overpredict capacity and underpredict energy use. DOE observed that the modeling factors were able to predict capacity and energy use in the test sample within four percent on average, and often more accurately. Additionally, there was no consistent trend in the variation in capacity or energy use predictions (i.e., some predictions were higher than the actual, some were lower). Therefore, DOE is adopting as proposed the capacity and electrical power adjustment factors of 0.0099 per °F and 0.0076 per °F, respectively. 5. Cycling Loss Factors In the June 2020 NOPR, to represent the cycling losses of a theoretical comparable single-speed room AC at reduced outdoor temperature test conditions and expected reduced cooling loads, DOE identified cycling loss factors (‘‘CLFs’’) to apply to the interim CEER values at each of the four cooling mode test conditions for a theoretical comparable single-speed room AC. 85 FR 35700, 35711 (Jun. 11, 2020). Table III–4 shows the CLFs for each of the four test conditions. TABLE III–4—JUNE 2020 NOPR PROPOSED CYCLING LOSS FACTORS Evaporator inlet air, °F Test condition Dry bulb Test Test Test Test Condition Condition Condition Condition 1 2 3 4 ................................................................... ................................................................... ................................................................... ................................................................... These CLFs were based on the default cooling degradation coefficient (‘‘Cd’’) in Section 11.2 of AHRI Standard 210/ 240. The CLF at the 82 °F test condition for a theoretical comparable singlespeed room AC is consistent with the default Cd of 0.25, which corresponds to a part-load (cycling loss) factor of 0.875, as determined in Section 11.2 of AHRI Standard 210/240. The remaining CLFs for the other test conditions are consistent with linear interpolation between the CLF of 0.875 at the 82 °F test condition and the CLF of 1.0 at the 32 MarkN is an energy modeling program developed in an ECS direct final rule for room ACs that DOE published on April 21, 2011. 76 FR 22454. VerDate Sep<11>2014 17:42 Mar 26, 2021 Jkt 253001 Condenser inlet air, °F Wet bulb 80 80 80 80 Dry bulb 67 67 67 67 Cycling loss factor Wet bulb 95 92 87 82 75 72.5 69 65 1.0 0.971 0.923 0.875 95 °F test condition, at which no cycling is expected. Thus, DOE proposed to implement CLFs consistent with the default Cd in AHRI Standard 210/240, to represent the expected performance of a theoretical comparable single-speed room AC at reduced outdoor temperature test conditions. Id. AHAM commented that while DOE cited Section 11.2 of AHRI Standard 210/240 and a Cd of 0.25, AHRI Standard 210/240 includes a Cd of 0.20 for Single Stage Systems in Section 6.1.3.1.1. AHAM recommended that DOE ensure it uses the most recent version of the standard and the correct Cd. (AHAM, No. 13 at p. 5) The California IOUs, NEAA, and Rice expressed concern about the proposed default Cd of 0.25. (California IOUs, Public Meeting Transcript, No. 12 at p. 30; NEAA, No. 16 at p. 5; Rice, No. 17 at pp. 3–4) NEAA commented that room ACs may cycle more than central air conditioners due to improper sizing, further pointing to a need for additional testing. (NEAA, No. 16 at p. 5) Rice commented that Figure III.1 in the June 2020 NOPR suggested that the Cd for the The MarkN program is an update of an adaptation to the Oak Ridge National Laboratory Mark III Heat Pump program for modeling room AC cooling performance. PO 00000 Frm 00014 Fmt 4701 Sfmt 4700 E:\FR\FM\29MRR2.SGM 29MRR2 Federal Register / Vol. 86, No. 58 / Monday, March 29, 2021 / Rules and Regulations load-tested room AC unit could be as high as 0.42, based on the 21-percent performance loss observed at 50-percent load; this compared with the 12.5percent loss assumed at 50-percent load with the default Cd assumption. (Rice, No. 17 at pp. 3–4) The California IOUs and Rice recommended DOE conduct additional investigative load-based testing on single-speed room ACs to better estimate the Cd at the 82 °F test condition. (California IOUs, Public Meeting Transcript, No. 12 at p. 30; Rice, No. 17 at pp. 3–4) Rice also commented that a room AC unit is unlikely to be sized exactly to match the room load at 95 °F outdoor ambient conditions. Rice further commented that a minimal 10-percent oversizing, equivalent to that assumed in AHRI Standard 210/240 for unitary ACs, would be more appropriate and would also provide a common basis with current AC ratings practice. Rice stated that use of 110-percent sizing would also provide an appropriate performance benefit, estimated to be approximately 3 percent, to variablespeed room ACs relative to single-speed units. Accordingly, Rice recommended that the assumption of exact sizing be modified to at least be consistent with 110-percent sizing as assumed in AHRI Standard 210/240 for unitary air conditioners. With 110-percent sizing, Rice noted that the default CLFs at 95, 87, and 82 °F would need to be adjusted to 0.977, 0904, and 0.864, respectively, for a Cd of 0.25. Rice also noted that they would need further adjustment if a different default Cd were selected or if the slope of the default single-speed capacity curve was changed. As for the proposed 75 °F test point, Rice commented that the CLFs with a 0.25 Cd are 0.820 at 100-percent sizing and 0.813 at 110-percent sizing. (Rice, No. 19 at p. 6; see also Rice, Preliminary Analysis, No. 25 at pp. 1–2) DOE disagrees with Rice’s claim that it is unlikely that room ACs are sized to match room cooling load at a 95 °F outdoor temperature test condition. Room ACs are intended to cool a single room, where the cooling load is more likely to remain steady or within a smaller range. DOE is not aware of any data showing that room ACs are typically oversized. Given the application of room ACs to a more limited space, DOE has determined that it is reasonable to assume that room ACs are sized to match room cooling loads at a 95 °F outdoor temperature test condition. DOE acknowledges the concerns regarding the Cd as proposed in the June 2020 NOPR. In response, DOE conducted additional testing in support of this final rule to determine whether the AHRI Standard 210/240 single-stage Cd of 0.2 suggested by AHAM or a higher value such as 0.42 as suggested by the California IOUs, NEAA, and Rice would be more appropriate. DOE conducted load-based testing on two single-speed room ACs with cooling capacities comparable to variable-speed room ACs of the same brand/ manufacturer currently on the market using an outdoor temperature of 82 °F and cooling loads between 47 and 57 percent of the full load, with a target of 52 percent (i.e., the center of the acceptable range specified in the low compressor speed definition). DOE did not consider cycling losses at an outdoor temperature of 75 °F, based on the decision to not include testing at that temperature condition, as discussed in section III.C.2 of this document. The results of this testing are summarized in Table III–5. TABLE III–5—CYCLING LOSS FACTORS Load % Unit Unit 1 ................................ Unit 2 ................................ 52 49 54 * 52 Cd 16459 On average, the two single-speed room ACs had a Cd of 0.38 at the 82 °F test condition and 52 percent cooling load, which is relatively close to the maximum Cd value of 0.42 suggested by Rice. Based on DOE’s test data, use of a Cd of 0.38 would increase a variablespeed room AC’s measured CEER by approximately 5.5 percent. Based on this testing, DOE is adopting a Cd of 0.38, resulting in a CLF at the 82 °F test condition of 0.81. Interpolating between the 82 °F test condition and CLF of 0.81 and 95 °F test condition and CLF of 1, results in a CLF of 0.883 for the 87 °F test condition and a CLF of 0.956 for the 92 °F test condition. 6. Test Condition Weighting Factors In the approach proposed in the June 2020 NOPR, the four interim CEER values representing each of the four cooling mode test conditions were combined, using four weighting factors, into a single weighted-average CEER value. 85 FR 35700, 35711–35712 (Jun. 11, 2020). The resulting weightedaverage CEER value represented the weighted-average performance across the range of outdoor test conditions. Id. DOE calculated weighting factors based on the fractional temperature bin hours in Table 19 of DOE’s test procedure for central air conditioners at appendix M. DOE identified the fractional temperature bin hours representing the four test conditions in the proposed approach and normalized these four values from appendix M so that they sum to 1.00. Table III–6 shows the June 2020 NOPR weighting factors for each of the four test conditions. 0.42 0.39 0.30 0.34 * Due to difficulties in achieving the target load percentage of 52% for Unit 2, data for the nearest higher and lower data points were interpolated to estimate the expected Cd at a 52% load. TABLE III–6—JUNE 2020 NOPR PROPOSED TEMPERATURE CONDITION WEIGHTING FACTORS Evaporator inlet air, °F Test condition Dry bulb Test Test Test Test Condition Condition Condition Condition VerDate Sep<11>2014 1 2 3 4 ................................................................... ................................................................... ................................................................... ................................................................... 17:42 Mar 26, 2021 Jkt 253001 PO 00000 Frm 00015 Wet bulb 80 80 80 80 Fmt 4701 Condenser inlet air, °F Sfmt 4700 Dry bulb 67 67 67 67 E:\FR\FM\29MRR2.SGM Wet bulb 95 92 87 82 29MRR2 75 72.5 69 65 CEER weighting factor 0.05 0.16 0.31 0.48 16460 Federal Register / Vol. 86, No. 58 / Monday, March 29, 2021 / Rules and Regulations AHAM generally agreed with the waivers, which included the weighting factors above. (AHAM, No. 13 at p. 4) ASAP, the Joint Commenters, and Rice expressed concern that DOE’s proposed approach would not reflect seasonal efficiency, claiming it would result in underweighting performance at the higher outdoor temperature conditions and overweighting performance at the lower temperature conditions. ASAP commented that, under the weighted-average calculation proposed in the June 2020 NOPR delivered cooling from an hour of operation under the 95 °F test condition was equal to that under the 82 °F test condition, even though the delivered cooling, and energy consumption, at the 95 °F test condition is greater. (ASAP, Public Meeting Transcript, No. 12 at pp. 35–36) Rice suggested replacing the proposed performance weighting factors based on fractional bin hours with fractional delivered cooling output per bin because the proposed approach ignores that, at the lower ambient temperature bins, the delivered amount of cooling is proportionally lower (∼50 percent at 82 °F ambient). Rice also recommended replacing the 92 °F test condition with a 75 °F test condition, to supplement the 82, 87, and 95 °F variable-speed ratings tests, to represent the missing ∼40 percent of cooling load, as discussed in section III.C.2 of this document. For the proposed 75 °F test condition, Rice stated the variable-speed unit should be run at a reduced speed level to obtain ∼30 percent of rated capacity at 95 °F ambient temperature. Rice expressed further concern that PAFs based on the wrong weighting factors and an inappropriately narrowed cooling range will give too much credit to variable-speed designs that operate best in this narrowed range, and may inadvertently favor variable-speed designs that seek ratings advantage by boosting performance at the 82 °F and higher test conditions at the expense of lower ambient temperature performance. (Joint Commenters, No. 15 at p. 2; Rice, No. 17 at pp. 1–2) DOE agrees that the cooling delivered by room ACs at lower outdoor temperature test conditions is proportionally lower than at the appendix F single-speed test condition. Thus, calculating the test condition weighting factors using fractional delivered cooling output per temperature bin, as suggested by Rice, applied to the set of test conditions required by DOE above, would improve the representativeness of the test procedure. This change would not increase the testing burden as compared to the test procedure required under the waivers. While this change would diverge from the industry-accepted test procedure AHAM RAC–1–2020, the deviation is justified due to the improvements in representativeness of the test procedure. Therefore, DOE is adopting the test condition weighting factors shown in Table III–7, calculated by adjusting the weighting factors in Table III–6 by the expected cooling load at each condition based on the building load calculation in AHRI Standard 210/ 240 (Equation 11.60), and normalizing the resulting values so the final weighting factors sum to 1.0. TABLE III–7—FINAL RULE TEMPERATURE CONDITION WEIGHTING FACTORS Evaporator inlet air, °F Test condition Dry bulb Test Test Test Test Condition Condition Condition Condition 1 2 3 4 ................................................................... ................................................................... ................................................................... ................................................................... 7. Weighted CEER and Performance Adjustment Factor The final step in the waivers and the June 2020 NOPR proposed approach is to calculate the PAF, representing the improvement over a theoretical comparable single-speed room AC resulting from the implementation of a variable-speed compressor. 84 FR 20111 (May 8, 2019); 85 FR 31481 (May 26, 2020); 85 FR 35700, 35712 (Jun. 11, 2020). The PAF is calculated as the percent improvement of the weightedaverage CEER value of the variablespeed room AC compared to the weighted-average CEER value of a theoretical comparable single-speed room AC under the four defined test conditions. After calculating the PAF, it is added to one and the sum is multiplied by the CEER value of the variable-speed unit when tested at the 95 °F test condition according to appendix F, resulting in the final CEER metric for the variablespeed room AC. By adjusting the variable-speed room AC CEER values to VerDate Sep<11>2014 17:42 Mar 26, 2021 Jkt 253001 Condenser inlet air, °F Wet bulb 80 80 80 80 Dry bulb 67 67 67 67 be comparable to single-speed room AC CEER values, DOE expects that consumers will have the information they need to understand the relative efficiency of both types of room AC. In the June 2020 NOPR, DOE proposed calculations to determine a PAF, which would adjust the CEER of a variablespeed room AC to appropriately account for its efficiency improvements relative to a theoretical comparable single-speed room AC under varying operating conditions. 85 FR 35700, 35712 (Jun. 11, 2020). Rice proposed a new method to calculate the weighted average CEER in which the individual weighting factors are divided by the tested CEER values, summed, and the reciprocal of the sum is the weighted CEER value. Rice noted that the result of this formulation exactly matches the result of the conventional binned method from AHRI 210/240. (Rice, No. 19 at pp. 3–4) Rice provided little explanation or evidence supporting this new calculation approach and whether it PO 00000 Frm 00016 Fmt 4701 Sfmt 4700 Wet bulb 95 92 87 82 CEER weighting factor 75 72.5 69 65 0.08 0.20 0.33 0.39 provides more representative results than the approach proposed in the June 2020 NOPR, beyond indicating the result matches that of the binned method in AHRI 210/240. DOE notes that the calculation approach prescribed in the waivers and proposed in the June 2020 NOPR is the same approach specified in the AHAM RAC–1–2020, which is the latest version of the industry standard specific to room ACs. Therefore, DOE is adopting the PAF and weighted CEER calculations proposed in the June 2020 NOPR that align with AHAM RAC–1–2020 and the waivers granted to date. 8. Air-Enthalpy Test Alternative DOE recognized the additional test burden associated with testing variablespeed room ACs at multiple test conditions as proposed. In an effort to minimize that additional test burden, DOE initially provided for an optional test in the interim waiver granted to LG that allowed for use of the air-enthalpy method. 83 FR 30717 (Jun. 29, 2018; E:\FR\FM\29MRR2.SGM 29MRR2 Federal Register / Vol. 86, No. 58 / Monday, March 29, 2021 / Rules and Regulations ‘‘LG Interim Waiver’’). Following the publication of the LG Interim Waiver, DOE conducted investigative testing to further analyze the air-enthalpy method and its suitability for testing room ACs. This testing demonstrated that this method produced unrepresentative and inconsistent results and remedying these deficiencies likely would be unduly burdensome. See 84 FR 20111, 20117. (May 8, 2019) In addition, the air-enthalpy method does not measure any heat transfer within and through the unit chassis, while the calorimeter test does. See Id. Because of the unrepresentative and inconsistent results obtained with the air-enthalpy test equipment that testing laboratories are likely to already own, as well as the higher cost and limited availability of equipment that would be necessary to obtain consistent results for all room ACs of differing airflow rates, DOE contended that the air-enthalpy test method would be unduly burdensome for testing laboratories to implement for room ACs at this time. DOE further noted that, in the waivers granted since the publication of the LG Interim Waiver, DOE did not allow the airenthalpy test method as an alternative to the calorimeter test method due to the concerns outlined above. 84 FR 20111, 20117 (May 8, 2019), 84 FR 68159, 68162 (Dec. 13, 2019). In the June 2020 NOPR, DOE did not propose to include an optional alternative air-enthalpy test method for variable-speed room ACs in appendix F. 85 FR 35700, 35712 (Jun. 11, 2020). The California IOUs supported DOE’s proposal to exclude the air-enthalpy test from the room AC test procedure. The California IOUs commented that DOE’s testing demonstrated that this method was unrepresentative and inconsistent, and remedying those deficiencies would be unduly burdensome. (California IOUs, No. 14 at pp. 5–6) For the reasons discussed in the preceding paragraphs and in the June 2020 NOPR, DOE is not adopting the air-enthalpy test method for the testing of variable-speed room ACs in this final rule. 9. Product Specific Reporting Provisions As described, the amendments to appendix F to test variable-speed room ACs at multiple cooling mode test conditions will require the use of fixed temperature conditions with a unit thermostat setpoint of 75 °F, using the same specifications for single-speed room AC controls given in appendix F, rather than using the manufacturer instructions to fix the compressor speed for variable-speed room ACs at the 95 °F and 92 °F test conditions. The VerDate Sep<11>2014 17:42 Mar 26, 2021 Jkt 253001 amendments to appendix F will also require the compressor speed to be fixed to intermediate speed at the 87 °F test condition and low speed at the 82 °F test condition, as discussed and defined in section III.D.1.b of this document and in Sections 2.15 and 2.16, respectively, in appendix F. In the June 2020 NOPR, to ensure test reproducibility, DOE proposed requiring in 10 CFR 429.15 that manufacturers provide DOE all necessary instructions to maintain the compressor speeds required for each test condition for a variable-speed basic model, as additional product-specific information pursuant to 10 CFR 429.12 (b)(13). 85 FR 35700, 35713 (Jun. 11, 2020). DOE expected that this requirement would add a de minimis incremental burden to the existing reporting requirements. Id. DOE received no comments on this proposal. DOE is including in 10 CFR 429.15 reporting requirements for compressor frequencies and control settings at the 87 °F and 82 °F test conditions as additional product-specific information for certification of each variable-speed room AC basic model. Note that, unlike the proposal in the June 2020 NOPR, DOE is not requiring reporting of the compressor frequency and control settings as additional product-specific information for certification for the 95 °F and 92 °F test conditions for variablespeed units, as discussed in section III.C.3 of this final rule. Manufacturers may request treatment of reported material as confidential business information pursuant to the regulations at 10 CFR 1004.11. 10. Estimated Annual Operating Cost Calculation In the June 2020 NOPR, in conjunction with the amendments for testing variable-speed room ACs, DOE proposed corresponding amendments to the calculation that provides the basis of the annual energy consumption and operating cost information presented to consumers on the EnergyGuide Label. 85 FR 35700, 35713 (Jun. 11, 2020). These changes would allow for an appropriate comparison of the annual energy consumption and operating costs between single-speed room ACs and variable-speed room ACs. As such, in the June 2020 NOPR, DOE proposed that for variable-speed room ACs, the average annual energy consumption used in calculating the estimated annual operating cost in 10 CFR 430.23(f) would be a weighted average of the annual energy consumption at each of the four test conditions in newly added Table 1 of appendix F and the annual energy consumption in inactive mode or PO 00000 Frm 00017 Fmt 4701 Sfmt 4700 16461 off mode. Id. DOE provided, however, that the electrical power input reported for variable-speed room ACs for purposes of certification in 10 CFR 429.15(b)(2) would be the value measured at the 95 °F rating condition, to maintain consistency with the cooling capacity measured at the same condition. Id. The California IOUs asserted that the proposed methods for calculating the annual operating costs will create market confusion, mainly because the variable-speed annual operating energy consumption would be based on a weighted average that includes and heavily weights conditions at which the unit provides less cooling, whereas the average annual energy consumption of a single-speed unit would continue to be based on the 95 °F condition, at which the unit provides more cooling and thus consumes more energy. The California IOUs stated that using different test procedures and energy consumption calculations for different equipment that provide the same consumer utility, in this case, space conditioning, has the potential to create market distortions. (California IOUs, No. 14 at p. 2) Conceptually, variable-speed room ACs and single-speed room ACs both deliver the same amount of cooling to a room, albeit in different ways. The variable-speed room AC provides constant cooling at a reduced rate, while the single-speed room AC switches on to provide maximum cooling for a period of time before switching off and providing no cooling until the temperature in the room rises again. In both cases, the total amount of cooling provided to the room remains the same, only the power consumed by the unit to provide the cooling is different. Furthermore, the test procedure adopted in this final rule assesses the improved efficiency associated with variablespeed room ACs relative to single-speed room ACs, on the basis of adjusted operation at varying, reducedtemperature operating conditions and accounting for reduced energy use associated with eliminating cycling losses. This approach of factoring in reduced-temperature operation over the varying load conditions during the operating hours of the cooling season is thus appropriate for variable-speed units but not for single-speed units. For the reasons discussed above, as proposed in the June 2020 NOPR, DOE is requiring that the average annual energy consumption used in calculating the estimated annual operating cost of variable-speed room ACs in 10 CFR 430.23(f) be a weighted average of the annual energy consumption at each of the four test conditions in newly added E:\FR\FM\29MRR2.SGM 29MRR2 16462 Federal Register / Vol. 86, No. 58 / Monday, March 29, 2021 / Rules and Regulations Table 1 of appendix F and the annual energy consumption in inactive mode or off mode, to reflect a realistic measure of energy use and operating costs in a representative average use cycle. Additionally, as proposed in the June 2020 NOPR, DOE is defining the electrical power input reported for variable-speed room ACs for purposes of certification in 10 CFR 429.15(b)(2) to be the value measured at the 95 °F rating condition, to maintain consistency with the cooling capacity measured at the same condition, and to provide consumers with the cooling capacity and power input expected at full load conditions. D. Definitions In the June 2020 NOPR, DOE proposed adding a number of definitions to appendix F to accompany the amendments made in this final rule. None of these definitions modified the scope of covered products. 85 FR 35700, 35713 (Jun. 11, 2020). The following section describes each definition in detail. 1. Key Terms In the June 2020 NOPR, DOE proposed definitions for three key terms that appeared in appendix F but have no definitions: Cooling mode, cooling capacity, and combined energy efficiency ratio. 85 FR 35700, 35713 (Jun. 11, 2020). Although room ACs may sometimes operate in other modes as discussed further in section III.E of this final rule, the room AC CEER metric determined in appendix F was based primarily on performance in cooling mode, and several of the amendments also reference ‘‘cooling mode.’’ Therefore, DOE proposed the following definitions for cooling mode, cooling capacity, and combined energy efficiency ratio in appendix F: ‘‘Cooling mode’’ means an active mode in which a room air conditioner has activated the main cooling function according to the thermostat or temperature sensor signal or switch (including remote control). ‘‘Cooling capacity’’ means the amount of cooling, in Btu/h, provided to an indoor conditioned space, determined in Section 4.1 of appendix F. ‘‘Combined energy efficiency ratio’’ means the energy efficiency of a room air conditioner as measured in Btu/Wh and determined in Section 5.2.2 of appendix F for single-speed room air conditioners and Section 5.3.12 of appendix F for variable-speed room air conditioners. Id. To support the amendments pertaining to variable-speed basic models, in the June 2020 NOPR, DOE VerDate Sep<11>2014 17:42 Mar 26, 2021 Jkt 253001 proposed defining single-speed and variable-speed room ACs as follows: ‘‘Single-speed room air conditioner’’ means a type of room air conditioner that cannot automatically adjust the compressor speed based on detected conditions. ‘‘Variable-speed room air conditioner’’ means a type of room air conditioner that can automatically adjust compressor speed based on detected conditions. 85 FR 35700, 35714 (Jun. 11, 2020). AHAM supported DOE’s proposal to add these new definitions in appendix F. (AHAM, No. 13 at p. 6) For the reasons discussed in the June 2020 NOPR, DOE is adopting these new definitions in appendix F. 2. Compressor Speeds In the June 2020 NOPR, DOE also proposed defining the three compressor speeds required for variable-speed testing. 85 FR 35700, 35714 (Jun. 11, 2020). DOE referred to these compressor speeds as ‘‘full,’’ ‘‘intermediate,’’ and ‘‘low’’ based on the test procedure terminology of AHRI Standard 210/240, and were proposed as follows: ‘‘Full compressor speed (full)’’ means the compressor speed at which the unit operates at full load test conditions, achieved by following the instructions certified by the manufacturer. ‘‘Intermediate compressor speed (intermediate)’’ means a compressor speed higher than the low compressor speed by one third of the difference between low compressor speed and full compressor speed with a tolerance of plus 5 percent (designs with nondiscrete speed stages) or the next highest inverter frequency step (designs with discrete speed steps), achieved by following the instructions certified by the manufacturer. ‘‘Low compressor speed (low)’’ means the compressor speed at which the unit operates at low load test conditions, achieved by following the instructions certified by the manufacturer, such that Capacity4, the measured cooling capacity at test condition 4 in Table 1 of appendix F, is not less than 47 percent and not greater than 57 percent of Capacity1, the measured cooling capacity with the full compressor speed at test condition 1 in Table 1 of appendix F.33 Id. AHAM generally agreed with the waivers, which included the proposed 10-percent range and 57-percent cooling 33 Further information about the acceptable range of delivered cooling at the low compressor speed and lowest test condition, and how they were derived, can be found in the June 2020 TP NOPR. 85 FR 35700, 35714. PO 00000 Frm 00018 Fmt 4701 Sfmt 4700 load as its upper bound above. (AHAM, No. 13 at p. 6) The Joint Commenters, NEAA, and the California IOUs urged DOE to ensure that the proposed fixed compressor speeds are representative of real-world operation. The Joint Commenters, NEAA, and the California IOUs expressed concern that the proposed definition for low compressor speed could lead to measured efficiency values that are not representative. NEAA and the California IOUs pointed to the potential that energy values can subsequently be better than the unit can actually produce in the real world under conditions of less than 95 °F, allowing manufacturers to ‘‘game’’ efficiency ratings as a unit may run differently if its full-load speed does not match how the unit runs in the real world under 95 °F outdoor conditions. Thus, NEAA and the California IOUs suggested that DOE perform additional investigative testing under the 95 °F test condition under native controls and reference variable refrigerant flow air conditioning test procedures regarding whether speed represents use. (NEAA, Public Meeting Transcript, No. 12 at pp. 37–42; California IOUs, Public Meeting Transcript, No. 12 at pp. 30–33; California IOUs, No. 14 at p. 4) Similarly, the Joint Commenters asserted that, under DOE’s proposal, manufacturers may have an incentive to test at the 82 °F condition at the compressor speed that provides a cooling capacity as close as possible to 47 percent of the full-load capacity since efficiency typically increases at lower compressor speeds. The Joint Commenters stated that providing 47 percent of the full-load cooling capacity would not meet the cooling load at 82 °F, and that a low compressor speed lower than the operating speed in the field could also result in the intermediate compressor speed being artificially low. The Joint Commenters noted that a variable-speed unit that cannot provide 57 percent of the fullload cooling capacity cannot in fact ‘‘match’’ the representative cooling load at the 82 °F condition. The Joint Commenters stated the test procedure should reflect the potential efficiency gains of variable-speed units that can vary their speed continuously (or in smaller discrete steps) relative to units with compressors with larger discrete steps. (Joint Commenters, No. 15 at pp. 1–2) As discussed in section III.D of the June 2020 NOPR, the 10-percent range allows for discrete variable-speed compressor stages while maintaining the representativeness of the test procedure. While a variable-speed room E:\FR\FM\29MRR2.SGM 29MRR2 Federal Register / Vol. 86, No. 58 / Monday, March 29, 2021 / Rules and Regulations AC that cannot operate at precisely 57 percent of the full-load cooling capacity cannot exactly match the cooling load at the 82 °F test condition, it could compensate for this in real world operation at an 82 °F outdoor temperature by operating at a lower compressor speed and moving to a higher compressor speed if the room becomes too hot. DOE observed variable-speed compressors with this behavior during load-based testing, though noted that the compressor speed adjustments did not occur frequently, resulting in extended periods of operation at a single compressor speed. Furthermore, the difference in power consumption between the two speeds observed in these scenarios was only about 5% of the full load operating power, and therefore this style of operation would still result in more efficient operation compared to cycling a single-speed compressor on and off to maintain the reduced load. These variable-speed units still provide significant energy savings, so it is important to account for this sort of variable-speed compressor behavior and ensure the test procedure is applicable to even those variable-speed room ACs that have discrete compressor speed steps that may not provide exactly 57 percent of the full-load cooling capacity. DOE further notes that requiring a low compressor speed that results in a single loading percentage (i.e., 57 percent of the full-load cooling capacity) with no tolerance could greatly increase design and manufacturing burden, and thus may disincentivize the adoption of more efficient technology being newly introduced for room ACs. A 10-percent range would allow for the various types of variable-speed compressors (i.e., discrete and non-discrete), avoid significant burden on manufacturers, and avoid disincentivizing the adoption of this technology. An upper compressor speed limit of 57 percent of the full-load cooling capacity would ensure that the unit does not cycle on and off under the cooling load expected at an outdoor temperature of 82 °F, which would negate much of the efficiency benefits relative to singlespeed room ACs). Therefore, DOE proposed a lower limit of 47 percent to maintain the desired 10-percent range of cooling loads while setting 57 percent of the full-load cooling capacity as the upper limit. In this final rule, DOE is revising the definition of ‘‘full compressor speed’’ proposed in the June 2020 NOPR, to account for the new requirements discussed in section III.C.3.a (i.e., to require that user settings be VerDate Sep<11>2014 17:42 Mar 26, 2021 Jkt 253001 implemented to achieve maximum cooling capacity when testing using full compressor speed, rather than fixing the compressor speed using instructions provided by the manufacturer). Furthermore, DOE is also revising the ‘‘intermediate compressor speed’’ definition proposed in the June 2020 NOPR, to clarify that the intermediate compressor speed is defined based on the measured capacity at the 95 °F and 82 °F test condition, using the full and low compressor speeds, respectively. Thus, DOE is adopting its proposals from the June 2020 NOPR, as detailed below. In summary, DOE defines the following in newly added Sections 2.14, 2.15, and 2.16 of appendix F: ‘‘Full compressor speed (full)’’ means the compressor speed at which the unit operates at full load test conditions, achieved by using user settings to achieve maximum cooling capacity, according to the instructions in ANSI/ ASHRAE Standard 16–2016 Section 6.1.1.4. ‘‘Intermediate compressor speed (intermediate)’’ means a compressor speed higher than the low compressor speed at which the measured capacity is higher than the capacity at low compressor speed by one third of the difference between Capacity4, the measured cooling capacity at test condition 4 in Table 1 of this appendix, and Capacity1, the measured cooling capacity with the full compressor speed at test condition 1 in Table 1 of this appendix, with a tolerance of plus 5 percent (designs with non-discrete speed stages) or the next highest inverter frequency step (designs with discrete speed steps), achieved by following the instructions certified by the manufacturer. ‘‘Low compressor speed (low)’’ as the compressor speed specified by the manufacturer at which the unit operates at low load test conditions, such that Capacity4, the measured cooling capacity at test condition 4 in Table 1 of this appendix, is no less than 47 percent and no greater than 57 percent of Capacity1, the measured cooling capacity with the full compressor speed test condition 1 in Table 1 of this appendix. E. Active Mode Testing The following sections describe amendments and other considerations regarding the active mode testing provisions of appendix F. 1. Cooling Mode The DOE room AC test procedure uses a calorimeter test method to determine the cooling capacity and associated PO 00000 Frm 00019 Fmt 4701 Sfmt 4700 16463 electrical power input of a room AC. See Sections 3.1 and 4.1 of appendix F, as amended. Under this approach, the test unit is installed between two chambers, one representing the indoor side and the other representing the outdoor side, which are both maintained at constant conditions by reconditioning equipment. The room AC operates in cooling mode, transferring heat from the indoor side to the outdoor side, while the reconditioning equipment counteracts the effects of the room AC to maintain constant test chamber conditions. The room AC cooling capacity is determined by measuring the required energy inputs to the reconditioning equipment. a. Test Setup and Air Sampling In the June 2020 NOPR, DOE discussed concerns about whether the measured calorimeter chamber temperature reading is representative of conditions at the test unit condenser and evaporator inlet, which may be affected by recirculation from the condenser and evaporator exhaust, respectively, thereby potentially reducing test repeatability and reproducibility. 85 FR 35700, 35715 (Jun. 11, 2020). DOE noted that the size, capability, and orientation of components within calorimeter test chambers may vary significantly, and that third-party laboratories extensively analyze their chambers and testing apparatus to maintain consistent and accurate air sampling measurements. DOE also understood that temperature gradients and unique airflow patterns can result from the interaction of a chamber reconditioning apparatus and the room AC under test, and that these interactions are particular to and dependent upon factors such as chamber size and shape, chamber equipment arrangement, size of reconditioning apparatus, and others, as noted in ANSI/ASHRAE Standard 16– 2016 Section 8.2.7. Therefore, in the June 2020 NOPR, DOE contended that universal requirements for air sampling instrumentation and thermocouple placement could potentially reduce test accuracy and reproducibility. As discussed in section III.B.2 of this document, DOE proposed to update the reference to ANSI/ASHRAE Standard 16 to the most current 2016 version, which includes additional clarification on best practices for air sampler and thermocouple placement. Id. DOE received no comments on the test setup and air sampling discussion and proposals from the June 2020 NOPR. For the reasons discussed in the preceding paragraph, DOE is updating the reference to ANSI/ASHRAE E:\FR\FM\29MRR2.SGM 29MRR2 16464 Federal Register / Vol. 86, No. 58 / Monday, March 29, 2021 / Rules and Regulations Standard 16 to the most current 2016 version, which includes additional clarification on best practices for air sampler and thermocouple placement. b. Air-Enthalpy Test In the June 2020 NOPR, as discussed in section III.B.2 of this document, DOE proposed to adopt the use of the calorimeter test method specified in ANSI/ASHRAE Standard 16–2016 for determining the cooling mode performance in appendix F. ANSI/ ASHRAE Standard 16–2016 additionally permits an air-enthalpy test method (also referred to as a psychrometric test method), in which a technician places instruments in or near the evaporator air stream to measure the rate of cooled air added to the conditioned space. DOE conducted testing to investigate any differences in test results between air-enthalpy and calorimeter approaches and found a wide range of discrepancies between the two, for both cooling capacity and efficiency. DOE expected that obtaining more accurate results would require specialized test equipment that is limited in availability and costly to design, develop, and produce and, hence, DOE did not propose to include an air-enthalpy test approach for determining cooling mode performance of room ACs. 85 FR 35700, 35715 (Jun. 11, 2020). The California IOUs agreed with DOE’s conclusion to exclude the airenthalpy test procedure in ANSI/ ASHRAE Standard 16–2016. The California IOUs noted that DOE’s testing, shown in the June 2020 NOPR, demonstrated that this method was unrepresentative and inconsistent, and remedying these deficiencies would be unduly burdensome. (California IOUs, No. 14 at pp. 5–6) Based on DOE’s investigative testing data, DOE maintains its proposal to not allow the use of the air-enthalpy method for determining room AC cooling mode performance.34 c. Side Curtain Heat Leakage and Infiltration Air i. Non-Louvered (Through-The-Wall) Room Air Conditioners In the June 2020 NOPR, DOE proposed to specify in appendix F that non-louvered room ACs, which are designed for through-the-wall installation, must be installed using a compatible wall sleeve (per 34 Although DOE incorporates by reference ANSI/ ASHRAE Standard 16–2016, which includes an optional air-enthalpy method, only those sections in ANSI/ASHRAE Standard 16–2016 that apply to the calorimeter method are referenced in Appendix F. VerDate Sep<11>2014 17:42 Mar 26, 2021 Jkt 253001 manufacturer instructions), with the provided or manufacturer-required rear grille, and with the included trim frame and other manufacturer-provided installation materials. 85 FR 35700, 35716 (Jun. 11, 2020). The California IOUs supported DOE’s language on the use of manufacturerprovided wall sleeves. However, the California IOUs expressed concern that it may not be apparent to laboratories that they should not use additional material beyond that supplied by the manufacturer. The California IOUs suggested adding the following sentence to the proposed appendix F to 10 CRF Part 430: ‘‘No sealing or insulation material other than that provided by the manufacturer shall be installed between the wall sleeve and the cabinet of the room air conditioner.’’ (California IOUs, No. 14 at p. 6) DOE understands the concern about test laboratories using additional sealing and insulation material between the unit and the wall sleeve. As discussed in the June 2020 NOPR, DOE determined that testing non-louvered room ACs, with the provided or manufacturer-required rear grille, and with the included trim frame and other manufacturer-provided installation materials maximized repeatability and reproducibility. 85 FR 35700, 35716 (Jun. 11, 2020). To address the concern that test laboratories might provide additional sealing or insulation for a non-louvered room AC, DOE is clarifying in this final rule that these units should only be tested using the manufacturer-provided materials. Therefore, DOE is modifying its proposal from the June 2020 NOPR in this final rule, specifying in appendix F that non-louvered room ACs, which are designed for through-the-wall installation, must be installed using a compatible wall sleeve (per manufacturer instructions), with a provided or manufacturer-required rear grille, and with only the included trim frame and other manufacturer-provided installation materials. ii. Louvered (Window) Room Air Conditioners In the June 2020 NOPR, DOE proposed, consistent with Sections 6.1.1.4 and Section 8.4.2 of ANSI/ ASHRAE Standard 16–2016, not to require installing louvered room ACs with the manufacturer-provided installation materials, including side curtains, and instead to require testing with the partition wall sealed to the unit. 85 FR 35700, 35717 (Jun. 11, 2020). AHAM agreed with DOE’s proposal to not require the use of manufacturerprovided installation materials in PO 00000 Frm 00020 Fmt 4701 Sfmt 4700 appendix F for louvered room ACs. AHAM cited previous DOE testing which showed that using manufacturerprovided materials included in the retail packaging led to only a 2.5-percent increase in cooling capacity, while not using manufacturer-provided installation materials led to a 4.7percent reduction in cooling capacity. AHAM stated that this testing did now show consistent or significant change in cooling capacity. (AHAM, No. 13 at p. 6) The California IOUs and Joint Commenters asserted the need for DOE to capture the effects of real-world installations of room AC units. (California IOUs, No. 14 at p. 6; Joint Commenters, No. 15 at pp. 5–6) The California IOUs commented that with the requirement for indoor and outdoor test rooms to have virtually no pressure differential, the inclusion of side curtains would not have a significant effect in laboratory testing. The California IOUs also stated that repeatability of testing is likely to decrease with side curtains included in the operational test. However, the California IOUs also asserted that testing with side curtains during only the operational test of window room AC units is unlikely to be representative of an average-use cycle. The California IOUs commented that the consumer incurs energy losses during all hours when the room AC is installed, not just while the compressor is on. The California IOUs further commented that the method for calculating the annual cost of operation assumes that the unit is installed for at least 5,865 hours annually, with only 750 hours of compressor operation, and thus including energy losses from side curtains is important to ensure a fair comparison between room ACs with side curtains and competing products that do not incur side curtain losses, such as through-the-wall room ACs and mini-split air conditioners. The California IOUs recommended that DOE evaluate energy losses due to side curtains regardless of the mode of operation and determine a constant representative adjustment factor to account for the losses based on the size of the window room AC in the CEER. (California IOUs, No. 14 at p. 6) The Joint Commenters cited laboratory performance testing of louvered units in which the National Renewable Energy Laboratory found that standard testing simulations do not account for leakage in operation due to manufacturerprovided installation materials. According to the Joint Commenters, leakage from the manufacturer-provided E:\FR\FM\29MRR2.SGM 29MRR2 Federal Register / Vol. 86, No. 58 / Monday, March 29, 2021 / Rules and Regulations materials was equivalent to a 27–42 square inch hole in the wall, and an improved installation has the potential to reduce this leakage by 65–85 percent. The Joint Commenters commented that, in the preliminary 2020–06 Technical Support Document (‘‘TSD’’), DOE explained that because DOE’s investigative testing was conducted with no pressure difference between the rooms, the tests were not able to measure the real-world impacts of infiltration.35 The Joint Commenters asserted that the test procedure does not capture potentially significant inefficiencies in typical installations. The Joint Commenters encouraged DOE to investigate how the test procedure could capture the effects of real-world installations of room AC units, which would provide an incentive to manufacturers to offer improved installation materials such that leakage is reduced. The Joint Commenters further stated that, in addition to saving energy, reducing leakage would also improve cooling performance by reducing the amount of hot air entering from outdoors, which ultimately would improve consumer comfort. (Joint Commenters, No. 15 at pp. 5–6) DOE is not aware of an industryaccepted method to evaluate heat losses to the outdoors during the room AC representative use cycle or during times when the room AC is installed but not operating, or of any data quantifying the magnitude of these losses. DOE has preliminarily investigated applying a pressure difference between the indoor and outdoor chambers during the standard appendix F test procedure, as the Joint Commenters suggested. While it was possible to create a pressure difference between the rooms, temperature and humidity within the chamber did not stabilize and the resulting test data did not meet the tolerance requirements from ASHRAE 16–2016 required in appendix F. Furthermore, for some larger-capacity units, it was difficult for the chamber to maintain the pressure difference throughout the rating test period given the air flow interaction between the unit operation and the chamber reconditioning equipment. It is therefore unclear how the influence of infiltration air could be measured within the DOE test procedure for room ACs, given the difficulties associated with testing using a fixed pressure difference between the indoor and outdoor test chambers. 35 2020–06 Technical Support Document: Energy Efficiency Program For Consumer Products And Commercial And Industrial Equipment: Room Air Conditioners (EERE–2014–BT–STD–0059–0013). VerDate Sep<11>2014 17:42 Mar 26, 2021 Jkt 253001 Therefore, as proposed, DOE is not requiring in this final rule installation of louvered room ACs with the manufacturer-provided installation materials, including side curtains, and instead is requiring the partition wall be sealed to the unit during testing, as specified in Section 6.1.1.4 of ANSI/ ASHRAE Standard 16–2016. Accordingly, as discussed above, DOE is not adopting a test to evaluate, or a constant representative adjustment factor to account for, heat losses to the outdoors during the room AC representative use cycle or during times when the room AC is installed but not operating and is not adopting a test requiring a pressure differential between the indoor and outdoor chambers at this time. d. Test Conditions Multiple Test Conditions In the June 2020 NOPR, DOE did not propose additional cooling mode test conditions for single-speed room ACs because a test procedure that measures performance at both peak temperature conditions and a less extreme temperature would require a new overall weighted metric, room AC performance has historically been based on peak performance under elevated outdoor temperature conditions and peak performance would not be clearly portrayed by a weighted metric, and information about variable-speed room ACs is too limited to justify the expected substantial increase in test burden, utility impacts, and consumer confusion associated with measuring performance at reduced outdoor temperature test conditions for all room ACs. 85 FR 35700, 35723 (Jun. 11, 2020). AHAM agreed with maintaining a single test condition for single-speed room ACs. (AHAM, Public Meeting Transcript, No. 12 at pp. 50–53) ASAP, the California IOUs, and NEAA stated that testing only at the 95 °F outdoor test condition may not provide an accurate relative ranking of different single-speed room AC units as they are likely to have varying efficiency and performance at lower temperature conditions. (ASAP, Public Meeting Transcript, No. 12 at pp. 11–12; California IOUs, Public Meeting Transcript, No. 12 at pp. 30–33) NEAA suggested that single-speed room AC units be given the option to test at multiple test conditions to allow better single-speed options to demonstrate improved performance, while not requiring all products to retest. (NEAA, No. 16 at p. 3) The California IOUs encouraged DOE to amend the room AC test procedure to PO 00000 Frm 00021 Fmt 4701 Sfmt 4700 16465 improve representativeness and facilitate product comparison with air conditioners tested under appendix M1 to 10 CFR part 430. The California IOUs stated that DOE’s proposal to create a part-load test for room ACs with variable-speed compressors recognizes that testing single-speed room ACs only at full capacity is unrepresentative of an average-use cycle. The California IOUs stated that, in their experience, using different test procedures and energy consumption calculations for equipment that provides the same consumer utility, in this case, space conditioning, has the potential to create market distortions. The California IOUs further stated that the rest of the air conditioning industry has moved towards testing at part load, and recommended that DOE consider a consistent approach for room ACs.36 To minimize market confusion, the California IOUs suggested that the room AC test procedure should be as similar as possible for the test procedure for central air conditioners and heat pumps, including measuring part-load performance for room ACs, as defined for central air conditioners and heat pumps in appendix M1 to 10 CFR part 430. The California IOUs stated that aligning test procedures and energy efficiency metrics for room ACs with a cooling capacity greater than or equal to 9,000 Btu/h and central air conditioners and heat pumps would enhance consumers’ ability to choose the product that best fits their needs. The California IOUs further stated that, because many room AC manufacturers also make products that fall under appendix M1 to 10 CFR part 430 and are familiar with the test procedure, the transition to a test procedure for room ACs aligned with appendix M1 would be relatively easy. (California IOUs, No. 14 at pp. 1– 3) While certain single-speed room ACs may perform differently under reduced outdoor temperature test conditions, requiring two or more tests for every single-speed room AC, either by testing at multiple test conditions or aligning the room AC test procedure with appendix M1, would at least double the test burden on manufacturers of singlespeed room ACs that represent the vast majority of the market. A voluntary reduced outdoor temperature test would require a revision of the test procedure and the CEER metric to account for a multiple-condition single-speed room AC test. Such an option may be 36 Based on the context of the California IOUs’ comment, it is understood that the California IOUs are referring to how appendix M1 accounts for operation at reduced cooling loads and not loadbased testing as discussed above. E:\FR\FM\29MRR2.SGM 29MRR2 16466 Federal Register / Vol. 86, No. 58 / Monday, March 29, 2021 / Rules and Regulations confusing to consumers who are trying to compare single-speed room ACs with metrics that are not directly comparable. Additionally, because single-speed units cannot cycle on and off during a reduced outdoor temperature test (i.e., because the chamber conditions are held constant throughout the test), the reduced outdoor temperature test alone would not be representative of the single-speed room AC’s real world operation, and cycling would need to additionally be considered. Aligning the room AC test procedure with the appendix M1 test procedure would greatly increase the test burden on manufacturers for typically inexpensive and seasonal units. Therefore, in this final rule, DOE is not establishing multiple test conditions for single-speed room ACs or adopting provisions to align the room AC test procedure with the central air conditioner test procedure at appendix M1. Cooling Test Alternatives DOE is aware of two approaches to measure part-load performance of a room AC, dynamic-cooling-load testing and constant-cooling-load testing. In both a dynamic-cooling-load test and a constant-cooling-load test, the chamber indoor cooling load was provided at a specified rate or value throughout testing instead of maintaining specific temperature conditions within the test chamber. In the June 2020 NOPR, DOE explored a constant-cooling-load test and concluded that increased test burden, reduced repeatability and reproducibility, and a current lack of industry consensus on a constantcooling-load or dynamic-cooling-load test procedure outweighed potential benefits. 85 FR 35700, 35723 (Jun. 11, 2020). Thus, in the June 2020 NOPR, DOE did not propose a constant-coolingload or dynamic-cooling-load test for room ACs. Id. AHAM agreed with DOE’s initial conclusion that the potential benefits of constant-cooling-load or dynamiccooling-load tests do not justify the increase in test burden or the negative impact on repeatability and reproducibility. According to AHAM, DOE’s testing demonstrated that conducting a constant-cooling-load test in a calorimeter test chamber would impact the repeatability and reproducibility—at cooling loads less than 75 percent of the tested unit cooling capacity, the indoor wet-bulb temperature variation in DOE’s test sample sometimes exceeded 0.3 °F. AHAM cited that DOE also observed challenges with the test chamber—the chamber controls were not capable of automatically achieving a specific VerDate Sep<11>2014 17:42 Mar 26, 2021 Jkt 253001 cooling load condition. Additionally, AHAM commented that this type of testing would significantly increase test burden. (AHAM, No. 13 p. 6) ASAP, Joint Commenters, NEAA, and the California IOUs disagreed with DOE’s initial conclusion and proposal in the June 2020 NOPR and urged DOE to use a load-based test to better represent real-world efficiency of both single-speed and variable-speed units. (ASAP, Public Meeting Transcript, No. 12 at p. 1; Joint Commenters, No. 15 at pp. 3–4; NEAA, No. 16 at pp. 4–5) ASAP commented that using a loadbased test procedure for all room ACs would provide the most representative efficiency ratings and accurate information for customers. (ASAP, Public Meeting Transcript, No. 12 at p. 1) The Joint Commenters noted that, for single-speed units, a load-based test would capture the impact of cycling losses. The Joint Commenters further noted that, for variable-speed units, load-based testing would capture the impact of control strategies that determine compressor and fan speed operation and would ensure that the test procedure reflects the real-world operation of these units. (Joint Commenters, No. 15 at pp. 3–5) NEAA commented that its initial load-based testing of ductless heat pumps indicated that controls can dramatically affect performance and suggested the same effects could be found with room ACs. (NEAA, No. 16 at pp. 4–5) DOE acknowledges that a constantcooling-load or dynamic-cooling-load test for all room ACs has the potential to be more representative of real-world operation. However, a load-based test would reduce repeatability and reproducibility due to limitations in current test chamber capabilities, as discussed in the June 2020 NOPR, which would negatively impact the representativeness of the results and potentially be unduly burdensome. 85 FR 35700, 35723–35726 (Jun. 11, 2020). Therefore, based on DOE’s investigative testing and to maintain test procedure alignment with AHAM RAC–1–2020, in this final rule DOE maintains its proposal not to include a constantcooling-load or dynamic-cooling-load test for room ACs in appendix F. e. Power Factor In the June 2020 NOPR, DOE did not propose requirements for measuring and reporting the power factor 37 for room 37 The power factor of an alternating current electrical power system is defined as the ratio of the real power flowing to the load to the apparent power in the circuit. A load with a low power factor draws more electrical current than a load with a high power factor for the same amount of useful PO 00000 Frm 00022 Fmt 4701 Sfmt 4700 ACs. 85 FR 35700, 35726 (Jun. 11, 2020). Based on investigative testing DOE found that there was no significant difference between the actual power drawn by a room AC and the apparent power supplied to the unit, meaning the additional burden of measuring and reporting the power factor would outweigh any benefits this information would provide. Id. The California IOUs agreed that the results—an average power factor of 0.97 on 23 units—do not provide evidence that warrants the inclusion of power factor in the test procedure. However, the California IOUs commented that variable-speed motor controllers often have lower power factors compared to direct-online motors used in single-speed room ACs 38 and requested that DOE indicate whether the room ACs tested included representative variable-speed compressor room ACs. If not, the California IOUs requested that DOE consider conducting power factor testing of variable-speed room ACs and reporting the results. (California IOUs, No. 14 at p. 5) None of the 23 units DOE tested during the power factor investigation for the June 2020 NOPR were variablespeed units. To date, DOE has been unable to gather power factor data for variable-speed room ACs due to instrumentation limitations. In the absence of data that suggest that variable-speed power factors are significantly different than single-speed power factors, DOE is not adopting a power factor measurement or reporting requirements for room ACs at appendix F in this final rule. 2. Heating Mode When a reverse cycle room AC is in heating mode, the indoor evaporator coil switches roles and becomes the condenser coil, providing heat to the indoor room. The outdoor condenser unit also switches roles to serve as the evaporator and discharges cold air to the outdoors. Appendix F does not include a method for measuring room AC energy consumption in heating mode. In the June 2020 NOPR, DOE did not propose a heating mode test procedure for room ACs based on the lack of data of room AC used for heating and given the potential concerns raised by stakeholders that combining cooling mode and heating mode performance power transferred. The higher currents associated with low power factor increase the amount of energy lost in the electricity distribution system. 38 Greenberg, S. (1988). Technology Assessment: Adjustable-Speed Motors and Motor Drives. Lawrence Berkeley National Laboratory. LBNL Report #: LBL–25080. Retrieved from https:// escholarship.org/uc/item/41z9k3q3. E:\FR\FM\29MRR2.SGM 29MRR2 Federal Register / Vol. 86, No. 58 / Monday, March 29, 2021 / Rules and Regulations into a single metric may limit a consumer’s ability to recognize the mode-specific performance and compare performance with room ACs that only provide cooling, and may lead to a reduction in cooling mode efficiency. 85 FR 35700, 35726 (Jun. 11, 2020). AHAM supported DOE’s proposal, noting that there are insufficient data to support developing a test to measure heating mode as current data suggest it is not a significant operating mode for room ACs. AHAM stated that national, statistically significant consumer use data must be used to justify changes in order to satisfy the requirements of the Data Quality Act. In urging DOE to adopt AHAM RAC–1–2020 (formerly AHAM RAC–1–2019), which does not include a heating mode test, AHAM further agreed with DOE’s proposal. (AHAM, Public Meeting Transcript, No. 12 at pp. 9–10; AHAM, No. 13 at pp. 2, 7) For the reasons discussed, and in the June 2020 NOPR, DOE is not establishing a heating mode test procedure for room ACs in appendix F. 3. Off-Cycle Mode Single-speed room ACs typically operate with a compressor on-off control strategy, where the compressor runs until the room temperature drops below a consumer-determined setpoint, then ceases to operate (i.e., the unit operates in off-cycle mode 39) until the room temperature rises above the setpoint, at which time the compressor starts again. The points at which the compressor stops and restarts depend on the setpoint temperature defined by the user and the deadband 40 programmed by the manufacturer. During the period in which the compressor remains off (i.e., off-cycle mode), the fan may operate in different ways depending on manufacturer implementation: (1) The fan ceases operation entirely; (2) the fan continues to operate for a short period of time after the setpoint is reached and then stops until the compressor is reactivated; (3) the fan continues to operate continuously for a short period of time, after which it cycles on and off periodically until the compressor is reactivated; or (4) the fan continues to 39 ‘‘Off-cycle mode’’ is distinct from ‘‘off mode,’’ in which a room AC not only ceases compressor and fan operation but also may remain in that state for an indefinite time, not subject to restart by thermostat or temperature sensor signal. 40 The term ‘‘deadband’’ refers to the range of ambient air temperatures around the setpoint for which the compressor remains off, and above which cooling mode is triggered on. VerDate Sep<11>2014 17:42 Mar 26, 2021 Jkt 253001 operate continuously until the compressor is reactivated.41 In the June 2020 NOPR, DOE did not propose a definition or test procedure for off-cycle mode. 85 FR 35700, 35728 (Jun. 11, 2020) Through investigative testing, DOE found that average power use in off-cycle mode was relatively low (i.e., approximately 10 percent or less) compared to the average power used in cooling mode. Id. Thus, DOE initally determined that the additional 2-hour test burden that would be required to establish a test procedure for off-cycle mode would outweigh the benefits of measuring off-cycle mode power for room ACs. Id. AHAM agreed with DOE’s proposal, commenting that EPCA requires test procedures to measure only a representative average use cycle/period of use, not every possible mode. AHAM further commented that the cooling cycle continues to be the most representative average use cycle for this purpose, with no data on the prevalence of consumer use of off-cycle mode. (AHAM, No. 13 at p. 7) The California IOUs, the Joint Commenters, and NEAA disagreed with DOE’s proposal, stating the exclusion of off-cycle mode testing would result in non-representative efficiency ratings. (California IOUs, No. 14 at pp. 4–5; Joint Commenters, No. 15 at p. 3; NEAA, No. 16 at pp. 3–4) The California IOUs commented that ENERGY STAR finds off-cycle power consumption sufficiently important to require qualifying room ACs to enable Energy Saver Mode (‘‘ESM’’) by default when the unit is switched on. The California IOUs expressed concern that assuming all room ACs typically operate in ESM may be unwarranted. (California IOUs, No. 14 at pp. 4–5) The Joint Commenters commented that room AC units with continuous fan operation can consume close to 240 kilowatt-hours per year of energy in off-cycle mode alone, pointing to its prevalence and importance in testing. (Joint Commenters, No. 15 at p. 3) NEAA stated that, while more data are needed on the number of hours spent in offcycle and recirculation mode, these modes have the potential to account for a significant percentage of annual energy use. For example, NEAA commented that if a unit in the 6,000– 7,900 Btu/h capacity range spent 25 percent of the amount of time in the offcycle mode than it does in compressor mode (i.e., 187.5 hours, DOE estimates 750 compressor hours per year on 41 Unlike air circulation mode, off-cycle mode is not user-initiated and only occurs when the ambient temperature has satisfied the setpoint. PO 00000 Frm 00023 Fmt 4701 Sfmt 4700 16467 average), the off-cycle mode would account for 9 percent of annual energy use for an average continuous operation fan. NEAA further commented that if this same room AC spent the same number of hours in off-cycle hours as in compressor mode, the off-cycle mode would account for 37 percent of its annual energy use. (NEAA, No. 16 at pp. 3–4) The California IOUs, the Joint Commenters, and NEAA urged DOE to capture off-cycle mode power consumption, including fan operation, to provide a better representation of actual efficiency in the field and more accurate information to consumers. (California IOUs, No. 14 at pp. 4–5; Joint Commenters, No. 15 at p. 3; NEAA, No. 16 at pp. 3–4) The California IOUs specifically requested that DOE investigate consumer use of ESM compared to always-on fan operation modes, and determine the proportion of operating hours where the fan runs with the compressor off in order to accurately determine average power consumption during off-cycle mode and to include that power consumption in the test procedure. The California IOUs also requested that DOE create a definition for ‘‘off-cycle mode’’. (California IOUs, No. 14 at pp. 4–5) EPCA requires that the test procedures be reasonably designed to produce test results which measure the energy efficiency of room air conditioners during a representative average use cycle or period of use and not be unduly burdensome to conduct. (42 U.S.C. 6293(b)(2)) EPCA does not require the test procedure to evaluate every mode of operation. DOE notes that there are insufficient available data on the amount of time room ACs spend in off-cycle mode to support a conclusion that a test procedure capturing such operation would be representative of an average use cycle. Furthermore, as discussed in the June 2020 NOPR, DOE found that energy consumption in offcycle mode was relatively low, approximately 10 percent or less, of the power used during cooling mode. 85 FR 35700, 35728 (Jun. 11, 2020). While DOE understands that units with continuous fan modes during off-cycle mode may consume a higher percentage of energy relative to cooling mode, the units in DOE’s test sample that operated the fan continuously during off-cycle mode were older models which are no longer in production and are not likely prevalent on the market. Because of the lack of data regarding operation in off-cycle, DOE is not adopting test procedures to address this mode. E:\FR\FM\29MRR2.SGM 29MRR2 16468 Federal Register / Vol. 86, No. 58 / Monday, March 29, 2021 / Rules and Regulations F. Standby Modes and Off Mode Section 1.5 of appendix F defines inactive mode as a mode that facilitates the activation of active mode by remote switch (including by remote control) or internal sensor, or provides continuous status display. Section 1.6 of appendix F defines off mode as a mode distinct from inactive mode in which a room AC is connected to a mains power source and is not providing any active or standby mode function and where the mode may persist for an indefinite time. An indicator that only shows the user that the product is in the off position is included within the classification of an off mode. Section 1.7 of appendix F defines standby mode as any mode where a room AC is connected to a mains power source and offers one or more of the following user-oriented or protective functions which may persist for an indefinite time: (a) To facilitate the activation of other modes (including activation or deactivation of active mode) by remote switch (including remote control), internal sensor, or timer; or (b) continuous functions, including information or status displays (including clocks) or sensor-based functions. 1. Referenced Standby Mode and Off Mode Test Standard In the January 2011 Final Rule, DOE amended the room AC test procedure by incorporating provisions from IEC Standard 62301 First Edition for measuring standby mode and off mode power. 76 FR 971, 979–980 (Jan. 6, 2011). At that time, DOE reviewed the IEC Standard 62301 First Edition and concluded that it would generally apply to room ACs, with some clarifications, including allowance for testing standby mode and off mode in either the test chamber used for cooling mode testing, or in a separate test room that meets the specified standby mode and off mode test conditions. 76 FR 971, 986. On January 27, 2011, IEC published IEC Standard 62301 Second Edition, an internationally accepted test procedure for measuring standby power in residential appliances, which included various clarifications to IEC Standard 62301 First Edition. Provisions from IEC Standard 62301 Second Edition are currently referenced in DOE test procedures for multiple consumer products for which standby mode and off mode energy use are measured (e.g., dehumidifiers, portable ACs, dishwashers, clothes washers, clothes dryers, conventional cooking products, microwave ovens). Based on its previous determinations for similar consumer products, DOE has VerDate Sep<11>2014 17:42 Mar 26, 2021 Jkt 253001 determined that use of IEC Standard 62301 Second Edition for measuring the standby mode and off mode energy use for room ACs would improve the accuracy and representativeness of the test measurements and would not be unduly burdensome, compared to IEC Standard 62301 First Edition. 80 FR 45801, 45822 (Jul. 31, 2015); 81 FR 35241, 35242 (Jun. 1, 2016); 77 FR 65942, 55943 (Oct. 31, 2012); 80 FR 46729, 46746 (Aug. 5, 2015); 78 FR 49607, 49609 (Aug. 14, 2013); 85 FR 50757, 50758 (Aug. 8, 2020); 78 FR 4015, 4016 (Jan. 18, 2013). Accordingly, DOE references relevant paragraphs of IEC Standard 62301 Second Edition in appendix F in place of those from IEC Standard 62301 First Edition, as follows: a. Power Measurement Uncertainty In the June 2020 NOPR, DOE proposed to reference the power equipment specifications from Section 4.4 of IEC Standard 62301 Second Edition for determining standby mode and off mode power in appendix F. 85 FR 35700, 35729 (Jun. 11, 2020). DOE received no comments on these proposals from the June 2020 NOPR. For the reasons discussed on the June 2020 NOPR and in this document, DOE is requiring in this final rule that the power equipment specifications from Section 4.4 of IEC Standard 62301 Second Edition be used for determining standby mode and off mode power in appendix F. b. Power Consumption Measurement Procedure In the June 2020 NOPR, DOE proposed to adopt through reference the sampling method from Section 5.3.2 of IEC Standard 62301 Second Edition to determine standby mode and off mode average power in appendix F. DOE initially determined the proposed update to the sampling method for all standby mode and off mode testing would not increase test burden, because power meters that can measure, store, and output readings at the required proposed sampling rate and accuracy for the sampling method are already widely used by test laboratories. DOE also initially determined that the power consumption measured with the sampling method would not substantively vary from that measured with the direct meter or average reading methods. 85 FR 35700, 35729 (Jun. 11, 2020). DOE received no comments on the proposal discussed above. For the reasons discussed on the June 2020 NOPR and in this document, DOE is adopting and referencing the sampling PO 00000 Frm 00024 Fmt 4701 Sfmt 4700 method from Section 5.3.2 of IEC Standard 62301 Second Edition to determine standby mode and off mode average power in appendix F. G. Network Functionality Network functionality on room ACs may enable functions such as communicating with a network to provide real-time information on the temperature conditions in the room or receiving commands via a remote user interface such as a smartphone. DOE has observed that network features on room ACs are designed to operate in the background while the room AC performs other functions. These network functions may operate continuously during all operating modes, and therefore may impact the power consumption in all operating modes. DOE declined to adopt provisions to account for energy consumption associated with network functionality in the January 2011 Final Rule due to the lack of information about room ACs with network functionality. 76 FR 971, 983–984 (Jan. 6, 2011). On September 17, 2018, DOE published a request for information (‘‘RFI’’) on the emerging smart technology appliance and equipment market. 83 FR 46886. In that RFI, DOE sought information to better understand market trends and issues in the emerging market for appliances and commercial equipment that incorporate smart technology. DOE’s intent in issuing the RFI was to ensure that DOE did not inadvertently impede such innovation in fulfilling its statutory obligations in setting efficiency standards for covered products and equipment. In the June 2020 NOPR, DOE requested comment on the same issues presented in the emerging smart technologies RFI, as they may be applicable to room ACs and on the proposal to specify that all network or connectivity settings must be disabled during testing. 85 FR 35700, 35730 (Jun. 11, 2020). AHAM and GEA supported DOE’s proposal to test units with network capabilities with network settings disabled for all operating modes. AHAM noted this proposal is in accordance with AHAM RAC–1–2020, AHAM commented that there is not yet adequate consumer use data to justify amending the room AC test procedure. AHAM further stated that they are aware that some consumers do not even connect their network-enabled appliances to use the available features. AHAM recommended that DOE ensure that the room AC test procedure does not prematurely address new designs E:\FR\FM\29MRR2.SGM 29MRR2 Federal Register / Vol. 86, No. 58 / Monday, March 29, 2021 / Rules and Regulations which may not yet have an average use or be in common use, which could stifle innovation. Similarly, GEA commented that regulating the already small energy consumption of connected features risks stifling innovation, including the further development of energy saving features. (AHAM, No. 13 at pp. 8; GEA at No. 18, pp. 2) GEA reiterated these sentiments in comments on the energy conservation standards (‘‘ECS’’) Preliminary Analysis. (GEA, Preliminary Analysis, No. 26 at p. 2) ASAP, the Joint Commenters, and NEAA expressed concern that testing units with network capabilities with network settings disabled for all operating modes would significantly underrepresent energy consumption. They asserted that this would result in non-representative efficiency ratings. ASAP commented that units with network capabilities may consume additional power continuously in all operating modes. (ASAP, Public Meeting Transcript, No. 12 at pp. 12, 80–81; Joint Commenters, No. 15 at p. 3; NEAA, No. 16 at pp. 5–6) As stated in the June 2020 NOPR, DOE is not aware of any data regarding how often consumers use these features or how much energy the features consume during an average representative use cycle, and commenters did not provide any such data. Absent consumer usage data, DOE is unable at this time to evaluate potential test procedure provisions related to network capabilities. Similarly, DOE declined to adopt provisions to account for energy consumption associated with network functionality in the January 2011 Final Rule due to the lack of information about room ACs with network functionality. 76 FR 971, 983–984 (Jan. 6, 2011). The test procedure adopted, however, did not affirmatively require that network capabilities of units under test be disabled. As a result, due to the growth in the number of networkenabled models of room ACs on the market, it has become increasingly likely that the test procedure adopted in January 2011 Final Rule may unintentionally capture energy use attributable to network functions. The amendment adopted in this rule precludes this possibility by reinforcing the intent of the January 2011 Final Rule. While there are a number of connected room ACs on the market with varying implementations of connected features, DOE is not aware of any data available, nor did interested parties provide any such data, regarding the consumer use of connected features. Without this data, DOE is unable to VerDate Sep<11>2014 17:42 Mar 26, 2021 Jkt 253001 establish a representative test configuration for assessing the energy consumption of connected functionality for room ACs. DOE therefore maintains its proposal to test room ACs with network capabilities disabled. DOE is specifying in Section 3.1.4 of appendix F that units with network capabilities must be tested with the network settings disabled, and that those network settings remain disabled for all tested operating modes (i.e., cooling mode, standby mode, and off mode). H. Demand Response The current U.S. Environmental Protection Agency’s (‘‘EPA’s’’) ENERGY STAR Product Specification for Room Air Conditioners Version 4.1 42 specifies optional criteria for room ACs designed to provide additional functionality to consumers, such as alerts and messages, remote control and energy information, as well as demand response (‘‘DR’’) capabilities, which support the inclusion of room ACs in smart grid applications (hereafter ‘‘connected room ACs’’). These capabilities are network capabilities, as they require the room AC maintain communication continuously or intermittently with a server; however, DR functionality is a unique subset that enables smart grid communication and active modified operation in response to DR signals from an electric utility. On June 7, 2017, DOE and EPA published the final ENERGY STAR Program Requirements Product Specification for Room Air Conditioners: Test Method to Validate Demand Response (hereafter the ‘‘June 2017 ENERGY STAR Test Method’’). This test method validates that a unit complies with ENERGY STAR’s DR requirements, which are designed to reduce energy consumption upon receipt of a DR signal. However, DOE notes that the June 2017 ENERGY STAR Test Method does not measure the total energy consumption or average power while a unit responds to a DR signal. DOE noted in the June 2020 NOPR that no connected room ACs were available at that time on the market that complied with the full set of ENERGY STAR Version 4.1 connected criteria, and therefore, the energy consumption could not be determined for a range of products and manufacturers. 85 FR 35700, 35731 (Jun. 11, 2020). DOE also stated that there is little available information indicating the frequency of received DR signals that are specified in 42 The ENERGY STAR Certification Criteria V4.1 is available at https://www.energystar.gov/sites/ default/files/ENERGY%20STAR% 20Version%204.0%20Room%20Air%20 Conditioners%20Program%20Requirements.pdf. PO 00000 Frm 00025 Fmt 4701 Sfmt 4700 16469 the ENERGY STAR connected criteria, and as a result, it is not possible to determine annual energy use attributed to DR signals. Id. Given the issues raised in the September 17, 2018 emerging smart technologies RFI, the lack of available connected room ACs on the market, and the lack of energy consumption and usage data regarding the DR signals, DOE did not propose to amend its room AC test procedure to measure energy consumption while a connected room AC is responding to a DR signal. Id. AHAM supported DOE’s proposal, stating that products are continuously evolving with new features and with greater functionality. AHAM stated that these new features, including connectivity, are in the early stages of development and consumers are only beginning to use and understand them. AHAM commented that there are not yet adequate consumer use data to justify amending the room AC test procedure to include energy consumption while a connected room AC responds to a DR signal. AHAM further commented that consumer use and understanding of new technologies continues to evolve and to inform manufacturers’ designs. As DOE evaluates potential changes, AHAM recommended that DOE be mindful that it will take time before many new features, designs, and technologies lend themselves to a ‘‘representative average’’ consumer use. AHAM further recommended that DOE ensure that the room AC test procedure does not prematurely address new designs which may not yet have an average use or be in common use, as doing so could stifle innovation. (AHAM, No. 13 at p. 8) AHAM reiterated these points in comments on the ECS Preliminary Analysis. (AHAM, Preliminary Analysis, No. 19 at pp. 15–16) DOE continues to find that there are insufficient consumer usage data to support amending the room AC test procedure to include connected energy consumption, and that the test procedure should not prematurely address new technologies absent sufficient average use data. Therefore, DOE is not amending the DOE test procedure for room ACs to include energy consumption while a connected room AC responds to a DR signal. I. Combined Energy Efficiency Ratio The room AC energy efficiency metric, CEER, accounts for the cooling provided by the room AC in cooling mode as a function of the total energy consumption in cooling mode and inactive mode or off mode. In the June 2020 NOPR, DOE proposed to maintain E:\FR\FM\29MRR2.SGM 29MRR2 16470 Federal Register / Vol. 86, No. 58 / Monday, March 29, 2021 / Rules and Regulations the current CEER calculations for singlespeed room ACs, given the proposals discussed above. 85 FR 35700, 35731 (Jun. 11, 2020). AHAM supported DOE’s proposal to maintain the current CEER calculations for single-speed room ACs, stating that there was no need to or justification for amending the CEER calculations at this time. (AHAM, No. 13 at p. 8). NEAA supported implementing a seasonal metric for all room ACs that would represent the performance at multiple outdoor temperature conditions, similar to the seasonal energy efficiency ratio (‘‘SEER’’) metric used for central air conditioners. NEAA suggested that in the near-term to reduce test burden, single-speed equipment should be allowed to use the current test procedure and to calculate a seasonal rating using a PAF. NEAA recommended that DOE maintain the peak CEER metric as a voluntary reporting metric. NEAA noted that this peak-load efficiency can continue to be used by utility programs and energy modelers but would not be the basis for energy conservation standards. (NEAA, No. 16 at p. 3; see also NEAA, Preliminary Analysis, No. 24 at pp. 3– 4) DOE is not amending the energy efficiency metric for room ACs. While DOE recognizes the utility of a single test approach for all room ACs, as discussed in section III.E.1 of this document, DOE has determined that testing single-speed room ACs at multiple outdoor temperature conditions would result in an unwarranted increase in test burden on manufacturers. While this increase in test burden could be mitigated using NEEA’s suggestion to test single-speed room ACs using the current test procedure and applying a PAF, DOE notes that this approach would require the recertification of all room ACs currently on the market, and for most models would likely change the cooling capacity and efficiency, both of which are metrics that are familiar to consumers and are used as a basis for purchasing decisions. Thus, a fundamental change to the cooling capacity and CEER metric, by adopting multiple test conditions or applying an adjustment factor for all single-speed room ACs would result in recertification costs and potential consumer confusion. Based on this reasoning, DOE is proceeding with its proposal to maintain the current CEER calculations for single-speed room ACs. VerDate Sep<11>2014 17:42 Mar 26, 2021 Jkt 253001 J. Certification and Verification Requirements In the June 2020 NOPR, DOE proposed to update the sampling plan and certification reporting requirements in 10 CFR 429.15(a)(2)(ii) and (b)(2) to conform the current metric by requiring the reporting of the CEER metric and to remove references to the previous performance metric, EER. 85 FR 35700, 35731(Jun. 11, 2020). For variable-speed room ACs, DOE proposed to require additional reporting of cooling capacity and electrical input power for each of the three additional test conditions as part of a supplemental PDF that would be referenced within the manufacturer’s certification report. Id. DOE received no comments on the proposed changes to 10 CFR 429.15. DOE is amending the certification requirements as proposed to conform the reporting requirements to the current CEER metric and removing references to the previous performance metric, EER. For variablespeed room ACs, DOE requires the additional reporting of cooling capacity and electrical input power for each of the three additional test conditions as part of a supplemental PDF that would be referenced within the manufacturer’s certification report. K. Reorganization of Calculations in 10 CFR 430.23 Previously, 10 CFR 430.23(f) contained instructions for determining a room AC’s estimated annual operating cost, with calculations described for the average annual energy consumption, combined annual energy consumption, EER, and CEER. In the June 2020 NOPR, DOE proposed to remove the obsolete EER calculation. 85 FR 35700, 35731 (Jun. 11, 2020). The California IOUs expressed concern with DOE removing the EER calculation and metric, as doing so would prevent manufacturers from showing information if they so choose. The California IOUs supported its removal as long as DOE continues to require reporting of the full-load capacity and power consumption, which is a substitute for EER. With the retention of the full-load capacity and power consumption metrics, the California IOUs stated that consumers are unlikely to be harmed, as knowing power consumption and efficiency at full load is essential to consumers in hot climates. Alternatively, the California IOUs recommended that DOE require reporting of the EER metric in the Compliance Certification Management System (‘‘CCMS’’) database, but that it not be the metric for energy PO 00000 Frm 00026 Fmt 4701 Sfmt 4700 conservation standards. (California IOUs, Public Meeting Transcript, No. 12 at pp. 72–75) AHAM commented that everything that is recorded is an additional burden and, in this case, continuing to report the EER metric in the CCMS database would be an unnecessary, additional burden. (AHAM, Public Meeting Transcript, No. 12 at p. 74) DOE agrees that requiring manufacturers to report the EER metric would be an unnecessary, additional burden on manufacturers. DOE also notes that maintaining the EER metric in public-facing materials may be confusing to consumers but that consumers will still have access to similarly important information through the full-load capacity and power consumption metrics that are currently reported to DOE and listed in the CCMS. Therefore, DOE is proceeding with its proposal from the June 2020 NOPR to remove the obsolete EER calculation and maintain the requirement to report full-load capacity and power consumption. In the June 2020 NOPR, DOE further proposed moving the CEER calculation from 10 CFR 430.23(f) to appendix F, to mitigate potential confusion, harmonize with the approach used for other products, and improve the readability of the calculations previously in 10 CFR 430.23(f) and appendix F. 85 FR 35700, 35731 (Jun. 11, 2020). Similarly, DOE proposed removing the calculations for average annual energy consumption in cooling mode and combined annual energy consumption from 10 CFR 430.23(f) and instead adding calculations for annual energy consumption for each operating mode in appendix F. Id. DOE also proposed to include in 10 CFR 429.15(a)(3) through (5),10 CFR 429.15 (b)(3), and 10 CFR 430.23(f) instructions to round cooling capacity to the nearest 100 Btu/h, electrical input power to the nearest 10 W, and CEER to the nearest 0.1 British thermal units per watt-hour (‘‘Btu/Wh’’), to provide consistency in room AC capacity, electrical input power, and efficiency representations. Id. In the June 2020 NOPR, DOE similarly proposed to establish instructions in appendix F to round cooling capacity to the nearest 100 Btu/h, electrical input power to the nearest 10 W, and CEER to the nearest 0.1 Btu/Wh, to provide consistency in room AC capacity, electrical input power, and efficiency representations. Id. DOE also proposed to revise the estimated annual operating cost calculation to reference the annual energy consumption for each operating mode as calculated in appendix F, as opposed to the annual energy E:\FR\FM\29MRR2.SGM 29MRR2 Federal Register / Vol. 86, No. 58 / Monday, March 29, 2021 / Rules and Regulations consumption calculation previously located in 10 CFR 430.23. Id. AHAM understood DOE’s proposal to be that rounding would take place on both the tested and reported values and opposed such an approach. AHAM stated that rounding both the tested and reported values would add too much variation; for example, it could add 1 percent error just due to rounding for an 8,000 Btu/h unit. AHAM further commented that there is a significant difference in results if only the mean is rounded versus both the individual test measurements and the mean being rounded. Accordingly, AHAM instead proposed rounding should take place only on the rated values (i.e., the cooling capacity) and that rounding should be to the hundreds of Btu/h because it is clearer to communicate round numbers to retailers and consumers. (AHAM, No. 13 at p. 9) DOE agrees with AHAM that rounding both the tested and reported values may introduce too much variance in the rated values. In the June 2020 NOPR, DOE proposed to include rounding instructions to provide consistency in room AC capacity, electrical input power, and efficiency representations when conducting the test. 85 FR 35700, 35731 (Jun. 11, 2020). While consistency in rounding between reported values and tested values is important, the accuracy of reported values outweighs concerns about consistency with the rounding for tested values. The proposed rounding instructions at 10 CFR 429.15 will ensure that there is consistency in reported results, while not affecting the accuracy of those reported values. Therefore, DOE is removing the proposed rounding instructions from 10 CFR 430.23(f) but maintaining the rounding instructions proposed in for 10 CFR 429.15. L. Effective Date, Compliance Date and Waivers The effective date for the adopted test procedure amendment 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 that amended test procedure, beginning 180 days after publication of the test procedure final rule in the Federal Register. (42 U.S.C. 6293(c)(2)) EPCA provides an allowance for individual manufacturers to petition DOE for an extension of the 180-day period if the manufacturer would experience undue hardship in meeting the 180-day deadline. (42 U.S.C. 6293(c)(3)) To VerDate Sep<11>2014 17:42 Mar 26, 2021 Jkt 253001 receive such an extension, a manufacturer must file a petition with DOE no later than 60 days before the end of the 180-day period and detail how the manufacturer will experience undue hardship. Id. Upon the compliance date of test procedure provisions in this final rule any waivers that had been previously issued and are in effect that pertain to issues addressed by such provisions are terminated. 10 CFR 430.27(h)(2) (2020). Recipients of any such waivers are required to test products subject to the waiver according to the amended test procedure as of the compliance date of the amended test procedure. The amendments adopted in this document pertain to issues addressed by waivers and interim waivers granted to LG (Case No. 2020–011), Midea (Case No. 2020– 017), and GEA (Case No. 2020–004). This final rule also addresses issues identified in pending waivers for Danby (Case No. 2020–019),43 Electrolux (Case No. 2020–016),44 MARS (Case No. 2020–021),45 and Perfect Aire (Case No. 2020–018).46 Per 10 CFR 430.27(l), the publication of this final rule eliminates the need for the continuation of granted waivers. Publication of this final rule also eliminates the need for the pending petitions for waivers which have been requested for certain room AC models with variable-speed capabilities, as this final test procedure incorporates testing and certification requirements for variable-speed room ACs. However, these petitions are in ‘‘pending’’ status until DOE communicates a denial to the petitioners. M. Test Procedure Costs, Impacts, and Other Topics 1. Test Procedure Costs and Impacts In this document, DOE amends the existing test procedure for room ACs by: (1) Referencing current versions of industry standards, as appropriate; (2) including test provisions to reflect the relative performance improvements for variable-speed room ACs compared to single-speed room ACs, including tests at multiple temperature conditions, based on the alternate test procedure from recent waivers; (3) updating definitions in support of the provisions 43 The Danby waiver docket can be found at https://beta.regulations.gov/docket/EERE-2020-BTWAV-0036/document. 44 The Electrolux waiver docket can be found at https://beta.regulations.gov/document/EERE-2020BT-WAV-0033-0001. 45 The MARS waiver docket can be found at https://beta.regulations.gov/docket/EERE-2020-BTWAV-0038/document. 46 The Perfect Aire waiver docket can be found at https://beta.regulations.gov/docket/EERE-2020-BTWAV-0034. PO 00000 Frm 00027 Fmt 4701 Sfmt 4700 16471 for testing variable-speed room ACs, to ensure the test procedure is selfcontained, reflects existing test procedure terminology, and distinguishes between variable-speed and single-speed units; and (4) incorporating specifications and minor corrections to improve the test procedure repeatability, reproducibility, and overall readability. DOE has determined that the test procedure as amended by this final rule will not be unduly burdensome for manufacturers to conduct. Further discussion of the cost impacts of the test procedure amendments are presented in the following paragraphs. Appendix F This final rule generally adopts the latest industry standard test procedure, AHAM RAC–1–2020, for determining the CEER for variable-speed room ACs, consistent with the procedure prescribed in the test procedure waivers. There are 10 basic models (four from LG and six from Midea) currently on the market subject to the test procedure waivers for variable-speed room ACs. 84 FR 20111 (May 8, 2019); 85 FR 31481 (May 26, 2020). DOE expects that as many as 18 additional basic models will soon be introduced to the market subject to the GEA interim waiver for their variable-speed room ACs. 85 FR 59770 (Sep. 23, 2020). However, the final rule differs from those waivers in that it requires the use of fixed temperature conditions with a unit setpoint of 75 °F when testing at the 92 °F and 95 °F outdoor conditions, and therefore, the 28 variable-speed room AC basic models identified by DOE would need to be re-tested and recertified according to this final rule. DOE did not identify any other manufacturers currently producing variable-speed room ACs that are sold in the United States. DOE estimates that it would require approximately 8 hours for manufacturers to conduct a variablespeed test for a room AC unit, as specified in this final rule. Additionally, DOE requires that at least two units must be tested per basic model. Therefore, a manufacturer would spend approximately 16 hours to test one variable-speed room AC basic model. DOE used the wage rate of a mechanical engineering technician from the Bureau of Labor Statistics (‘‘BLS’’) to estimate the wage rate of an employee performing these tests.47 Additionally, 47 Based on data from BLS’s May 2019 publication of the ‘‘Occupational Employment and Wages,’’ the mean hourly wage for mechanical E:\FR\FM\29MRR2.SGM Continued 29MRR2 16472 Federal Register / Vol. 86, No. 58 / Monday, March 29, 2021 / Rules and Regulations DOE used data from the BLS to estimate the percent of wages that account for the total employee compensation.48 Using data from these sources, DOE estimates the hourly employer cost of an employee performing these test to be approximately $40.63.49 Using these estimates, DOE determines that there will be a one-time cost of approximately $18,202 for the 28 variable-speed room AC basic models to be re-tested.50 In addition to the re-testing costs, DOE estimates these three manufacturers may have to re-certify their variable-speed room AC basic models to DOE. DOE estimates that manufacturers spend approximately 35 hours per manufacturer to submit a certification report to DOE, which may contain multiple models per report. DOE used an hourly wage rate of $100 for an employee to complete this certification report.51 Therefore, DOE estimates that the three manufacturers would spend approximately $10,500 to re-certify their variable-speed room AC basic models.52 Additional Amendments The additional amendments adopted in this final rule (e.g., those applicable to the test procedure for single-speed room ACs) will not alter the measured energy efficiency as compared to the previous test procedure. The manufacturers of single-speed room ACs are able to continue relying on data generated under the previous test procedure for single-speed room ACs. The remainder of the amendments adopted in this final rule are as follows and will not impact test costs or results: (i) Modify the room AC definition in 10 CFR 430.2; (ii) adopt new definitions in appendix F for ‘‘cooling mode,’’ ‘‘cooling capacity,’’ ‘‘combined energy efficiency ratio,’’ and ‘‘single-speed room air conditioner;’’ (iii) update engineering technologists and technicians is $28.44. See: https://www.bls.gov/oes/current/ oes173027.htm. Last Accessed on November 12, 2020. 48 Based on data from BLS’s June 2020 publication of the ‘‘Employer Costs for Employee Compensation,’’ wages and salary are 70.0 percent of the total employer costs for a private industry worker. See: https://www.bls.gov/bls/news-release/ ecec.htm#2020. Last Accessed on November 12, 2020. 49 $28.44/0.700 = $40.63 50 28 (number of variable-speed room AC basic models potentially requiring re-testing) × 2 (units tested per basic model) × 8 (hours per test for variable-speed room ACs) × $40.63 (fully burdened hourly labor rate of employee performing the tests) = $18,202.24 51 The 35-hour estimate and the $100 hourly wage estimate are based on information from 82 FR 57240; 57242 (December 4, 2017). 52 3 (number of manufacturers with variablespeed room ACs) × 35 (hours per certification report) × $100 (hourly labor rate) = $10,500. VerDate Sep<11>2014 17:42 Mar 26, 2021 Jkt 253001 reference to ANSI/ASHRAE Standard 16 to the most current 2016 version, which includes additional clarification on best practices for air sampler and thermocouple placement; (iv) specify in appendix F that non-louvered room ACs, which are designed for throughthe-wall installation, must be installed using a compatible wall sleeve (per manufacturer instructions), with a provided or manufacturer-required rear grille, and with only the included trim frame and other manufacturer-provided installation materials; (v) require that the power equipment specifications from Section 4.4 of IEC Standard 62301 Second Edition be used for determining standby mode and off mode power in appendix F; (vi) adopt and reference the sampling method from Section 5.3.2 of IEC Standard 62301 Second Edition to determine standby mode and off mode average power in appendix F; (vii) modify the certification requirements to conform the reporting requirements to the current CEER metric, and remove references to the previous performance metric, EER; and (viii) remove the proposed rounding instructions from the edits made to 10 CFR 430.23(f) but maintain the rounding instructions proposed in for 10 CFR 429.15. The amendments described above update referenced standards, modify or add definitions, and provide further instructions and clarification to the existing test procedures, and thus have no impact on testing cost. 2. Other Test Procedure Topics In this final rule, DOE is adopting a number of modifications to the Federal room AC test procedure to clarify provisions where the applicable industry consensus standard may either be silent or not fully address the matter in question. DOE has determined that the modifications are necessary so that the DOE test method satisfies the requirements of EPCA. IV. Procedural Issues and Regulatory Review A. Review Under Executive Order 12866 The Office of Management and Budget (‘‘OMB’’) has determined that this test procedure rulemaking does not constitute a ‘‘significant regulatory action’’ under section 3(f) of Executive Order (‘‘E.O.’’) 12866, Regulatory Planning and Review, 58 FR 51735 (Oct. 4, 1993). Accordingly, this action was not subject to review under the Executive Order by the Office of Information and Regulatory Affairs (‘‘OIRA’’) in OMB. PO 00000 Frm 00028 Fmt 4701 Sfmt 4700 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: https://energy.gov/gc/ office-general-counsel. DOE reviewed this adopted rule under the provisions of the Regulatory Flexibility Act and the procedures and policies published on February 19, 2003. The final rule prescribes amended test procedures to measure the energy consumption of room ACs in cooling mode, standby modes, and off mode. DOE concludes that this final rule will not have a significant impact on a substantial number of small entities, and the factual basis for this certification is set forth in the following paragraphs. The Small Business Administration (‘‘SBA’’) considers a business entity to be small business, if, together with its affiliates, it employs less than a threshold number of workers specified in 13 CFR part 121. These size standards and codes are established by the North American Industry Classification System (‘‘NAICS’’) and are available at https://www.sba.gov/document/support-table-size-standards. Room AC manufacturing is classified under NAICS 333415, ‘‘Air-Conditioning and Warm Air Heating Equipment and Commercial and Industrial Refrigeration Equipment Manufacturing.’’ The SBA sets a threshold of 1,250 employees or fewer for an entity to be considered as a small business for this category. DOE used DOE’s Compliance Certification Database to create a list of companies that sell room ACs covered by this rulemaking in the United States. Additionally, DOE surveyed the AHAM member directory to identify manufacturers of room ACs. DOE then consulted other publicly available data, purchased company reports from vendors such as Dun and Bradstreet, E:\FR\FM\29MRR2.SGM 29MRR2 Federal Register / Vol. 86, No. 58 / Monday, March 29, 2021 / Rules and Regulations and contacted manufacturers, where needed, to determine if they meet the SBA’s definition of a ‘‘small business manufacturing facility’’ and have their manufacturing facilities located within the United States. Based on this analysis, DOE did not identify any small businesses that currently manufacture room ACs in the United States. DOE requested comment on its initial determination that there are no small businesses that manufacture room ACs in the United States. 85 FR 35700, 35733 (Jun. 11, 2020). DOE received no comment on this issue. Because DOE did not identify any small businesses that manufacture room ACs in the United States, DOE concludes that the impacts of the test procedure amendments adopted in this final rule will not have a ‘‘significant economic impact on a substantial number of small entities,’’ and that the preparation of an FRFA is not warranted. DOE has submitted 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 room ACs 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 room ACs. (See generally 10 CFR part 429.) The collection-ofinformation requirement for the certification and recordkeeping is subject to review and approval by OMB under the Paperwork Reduction Act (‘‘PRA’’). This requirement has been approved by OMB under OMB control number 1910–1400. Public reporting burden for the certification is estimated to average 35 hours per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Notwithstanding any other provision of the law, no person is required to respond to, nor shall any person be subject to a penalty for failure to comply with, a collection of information subject to the requirements of the PRA, unless VerDate Sep<11>2014 17:42 Mar 26, 2021 Jkt 253001 that collection of information displays a currently valid OMB Control Number. D. Review Under the National Environmental Policy Act of 1969 Pursuant to the National Environmental Policy Act of 1969 (‘‘NEPA’’), DOE has analyzed this action in accordance with NEPA and DOE’s NEPA implementing regulations (10 CFR part 1021). DOE has determined that this rule qualifies for categorical exclusion under 10 CFR part 1021, subpart D, Appendix A5 because it is an interpretive rulemaking that does not change the environmental effect of the rule and meets the requirements for application of a CX. See 10 CFR 1021.410. Therefore, DOE has determined that promulgation of this rule is not a major Federal action significantly affecting the quality of the human environment within the meaning of NEPA, and does not require an EA or EIS. 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. PO 00000 Frm 00029 Fmt 4701 Sfmt 4700 16473 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. Public Law 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 E:\FR\FM\29MRR2.SGM 29MRR2 16474 Federal Register / Vol. 86, No. 58 / Monday, March 29, 2021 / Rules and Regulations 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 https:// energy.gov/gc/office-general-counsel. 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 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 https://www.energy.gov/ sites/prod/files/2019/12/f70/ DOE%20Final% 20Updated%20IQA%20 Guidelines%20Dec%202019.pdf. DOE VerDate Sep<11>2014 17:42 Mar 26, 2021 Jkt 253001 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 room ACs adopted in this PO 00000 Frm 00030 Fmt 4701 Sfmt 4700 final rule incorporates testing methods contained in certain sections of the following commercial standards: AHAM RAC–1–2020, ANSI/ASHRAE Standard 16–2016, ANSI/ASHRAE Standard 41.1–2013, ANSI/ASHRAE Standard 41.2–1987 (RA 1992), ANSI/ASHRAE Standard 41.3–2014, ANSI/ASHRAE Standard 41.6–2014, ANSI/ASHRAE Standard 41.11–2014, and IEC Standard 62301 Second Edition. DOE has evaluated these standards and is unable to conclude whether it fully complies with the requirements of section 32(b) of the FEAA (i.e., whether it was developed in a manner that fully provides for public participation, comment, and review.) DOE 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 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 In this final rule, DOE incorporates by reference the industry standard published by AHAM, titled ‘‘AHAM RAC–1–2020, ‘Room Air Conditioners’ (AHAM RAC–1–2020).’’ AHAM RAC–1– 2020 establishes standard methods for measuring performance and includes sections on definitions, test conditions, tests for standard measurements, performance tests, and safety which apply to room air conditioners. Copies of AHAM RAC–1–2020 can be purchased from the Association of Home Appliance Manufacturers at 1111 19th Street NW, Suite 402, Washington, DC 20036, 202–872–5955, or by going to https://www.aham.org. In this final rule, DOE incorporates by reference the industry test standard published by ASHRAE, titled ‘‘ANSI/ ASHRAE 16–2016 (‘‘ANSI/ASHRAE 16– 2016’’), Method of Testing for Rating Room Air Conditioners and Packaged Terminal Air Conditioners.’’ The amendments in this final rule include updated general references to ANSI/ ASHRAE Standard 16–2016, that address all areas of testing including installation, test setup, instrumentation, test conduct, data collection, and calculations. Specifically, the test procedure codified by this final rule references section 5.6.2 ‘‘Electrical Instruments’’ of ANSI/ASHRAE 16– E:\FR\FM\29MRR2.SGM 29MRR2 Federal Register / Vol. 86, No. 58 / Monday, March 29, 2021 / Rules and Regulations 2016, which provides requirements of accuracy for instruments used for measuring all electrical inputs to the calorimeter compartments. In this final rule, DOE incorporates by reference the industry test standards published by ASHRAE, titled ‘‘Standard Method for Temperature Measurement,’’ ANSI/ASHRAE Standard 41.1–2013, ‘‘Standard Methods for Air Velocity and Airflow Measurement,’’ ANSI/ASHRAE Standard 41.2–1987 (RA 1992), ‘‘Standard Methods for Pressure Measurement,’’ ANSI/ASHRAE Standard 41.3–2014, ‘‘Standard Methods for Humidity Measurement,’’ ANSI/ASHRAE Standard 41.6–2014, and ‘‘Standard Methods for Power Measurement,’’ ANSI/ASHRAE Standard 41.11–2014. These standards are industry-accepted test procedures that prescribe methods and instruments for measuring temperature, air velocity, pressure, humidity, and power, respectively. These standards are cited by ANSI/ASHRAE Standard 16–2016, which this final rule incorporates by reference. Copies of the ASHRAE Standards may be purchased from the American Society of Heating and Air-Conditioning Engineers at 1255 23rd Street NW, Suite #825, Washington, DC 20037, (202) 833– 1830, or by going to https:// webstore.ansi.org/. In this final rule, DOE incorporates by reference the industry standard by IEC, titled ‘‘IEC 62301 Household electrical appliances—Measurement of standby power,’’ (Edition 2.0, 2011–01) for appendix F. Specifically, the test procedure codified by this final rule references Section 5, Paragraph 5.3.2 ‘‘Sampling Method’’ of IEC 62301, which provides test conditions, testing equipment, and methods for measuring standby mode and off mode power consumption, and Section 4.4 ‘‘Power measuring instruments’’ of IEC 62301, which provides specifications for determining standby mode and off mode power in appendix F. The amendments in this final rule include updating general references to IEC 62301 from the First Edition to the Second Edition and adopting a new standby power test approach. Copies of IEC Standard 62301 may be purchased from the International Electrotechnical Commission at 3 rue de Varembe´, P.O. Box 131, CH–1211, Geneva 20, Switzerland, or by going to https://webstore.iec.ch/ and https:// www.webstore.ansi.org. V. Approval of the Office of the Secretary The Secretary of Energy has approved publication of this final rule. VerDate Sep<11>2014 17:42 Mar 26, 2021 Jkt 253001 List of Subjects 10 CFR Part 429 Administrative practice and procedure, Confidential business information, Energy conservation, Household appliances, Reporting and recordkeeping requirements. 10 CFR Part 430 Administrative practice and procedure, Confidential business information, Energy conservation, Household appliances, Imports, Incorporation by reference, Intergovernmental relations, Small businesses. Signing Authority This document of the Department of Energy was signed on March 8, 2021, by Kelly Speakes-Backman, Principal Deputy Assistant Secretary and Acting Assistant Secretary for Energy Efficiency and Renewable Energy, pursuant to delegated authority from the Secretary of Energy. That document with the original signature and date is maintained by DOE. For administrative purposes only, and in compliance with requirements of the Office of the Federal Register, the undersigned DOE Federal Register Liaison Officer has been authorized to sign and submit the document in electronic format for publication, as an official document of the Department of Energy. This administrative process in no way alters the legal effect of this document upon publication in the Federal Register. Signed in Washington, DC, on March 11, 2021. Treena V. Garrett, Federal Register Liaison Officer, U.S. Department of Energy. For the reasons stated in the preamble, DOE amends parts 429 and 430 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 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. 2. Section 429.15 is amended by: a. Removing the words ‘‘energy efficiency ratio’’ in paragraph (a)(2)(ii) and adding in its place the words ‘‘combined energy efficiency ratio (CEER) (determined in § 430.23(f)(3) for each unit in the sample)’’; ■ b. Adding paragraphs (a)(3), (4), and (5); ■ ■ PO 00000 Frm 00031 Fmt 4701 Sfmt 4700 16475 c. Revising paragraph (b)(2); and d. Adding paragraph (b)(3). The additions and revision read as follows: ■ ■ § 429.15 Room air conditioners. (a) * * * (3) The cooling capacity of a basic model is the mean of the measured cooling capacities for each tested unit of the basic model, as determined in § 430.23(f)(1) of this chapter. Round the cooling capacity value to the nearest hundred. (4) The electrical power input of a basic model is the mean of the measured electrical power inputs for each tested unit of the basic model, as determined in § 430.23(f)(2) of this chapter. Round the electrical power input to the nearest ten. (5) Round the value of CEER for a basic model to one decimal place. (b) * * * (2) Pursuant to § 429.12(b)(13), a certification report shall include the following public product-specific information: The combined energy efficiency ratio in British thermal units per Watt-hour (Btu/Wh)), cooling capacity in British thermal units per hour (Btu/h), and the electrical power input in watts (W). (3) Pursuant to § 429.12(b)(13), a certification report for a variable-speed room air conditioner basic model must include supplemental information and instructions in PDF format that include— (i) The mean measured cooling capacity for the units tested at each additional test condition (i.e., respectively, the mean of Capacity2, Capacity3, and Capacity4, each expressed in Btu/h and rounded to the nearest 100 Btu/h, as determined in accordance with section 4.1.2 of appendix F of subpart B of part 430 of this chapter); (ii) The mean electrical power input at each additional test condition (respectively, the mean of Power2, Power3, and Power4, each expressed in W and rounded to the nearest 10 W, as determined in accordance with section 4.1.2 of appendix F of subpart B of part 430 of this chapter); and (iii) All additional testing and testing set up instructions (e.g., specific operational or control codes or settings) necessary to operate the basic model under the required conditions specified by the relevant test procedure. PART 430—ENERGY CONSERVATION PROGRAM FOR CONSUMER PRODUCTS 3. The authority citation for part 430 continues to read as follows: ■ E:\FR\FM\29MRR2.SGM 29MRR2 16476 Federal Register / Vol. 86, No. 58 / Monday, March 29, 2021 / Rules and Regulations Authority: 42 U.S.C. 6291–6309; 28 U.S.C. 2461 note. 4. Section 430.2 is amended by revising the definition of ‘‘Room air conditioner’’ to read as follows: ■ § 430.2 Definitions. * * * * * Room air conditioner means a window-mounted or through-the-wallmounted encased assembly, other than a ‘‘packaged terminal air conditioner,’’ that delivers cooled, conditioned air to an enclosed space, and is powered by single-phase electric current. It includes a source of refrigeration and may include additional means for ventilating and heating. * * * * * ■ 5. Section 430.3 is amended by: ■ a. Revising paragraph (g)(1); ■ b. In paragraph (g)(6), removing ‘‘appendix X1’’ and adding in its place ‘‘appendices F and X1’’; ■ c. Redesignating paragraphs (g)(11) through (14) as (g)(15) through (18), respectively; ■ d. Redesignating paragraphs (g)(9) as (g)(12) and (g)(10) as (g)(13); ■ e. Redesignating paragraph (g)(8) as (g)(9); ■ f. Adding new paragraphs (g)(8), (10), (11), and (14); ■ g. Revising paragraph (i)(6); ■ h. In paragraph (o)(5), removing ‘‘appendix F, and’’; and ■ i. In paragraph (o)(6), adding ‘‘F,’’ before ‘‘G’’. The revisions and additions read as follows: § 430.3 Materials incorporated by reference. * * * * * (g) * * * (1) ANSI/ASHRAE Standard 16–2016 (‘‘ANSI/ASHRAE 16’’), Method of Testing for Rating Room Air Conditioners, Packaged Terminal Air Conditioners, and Packaged Terminal Heat Pumps for Cooling and Heating Capacity, ANSI approved November 1, 2016, IBR approved for appendix F to subpart B. * * * * * (8) ANSI/ASHRAE Standard 41.2– 1987 (RA 92), (‘‘ASHRAE 41.2–1987 (RA 1992)’’), Standard Methods for Laboratory Airflow Measurement, ANSI reaffirmed April 20, 1992, IBR approved for appendix F to subpart B. * * * * * (10) ANSI/ASHRAE Standard 41.3– 2014, (‘‘ASHRAE 41.3–2014’’), Standard Methods for Pressure Measurement, ANSI approved July 3, 2014, IBR approved for appendix F to subpart B. (11) ANSI/ASHRAE Standard 41.6– 2014, (‘‘ASHRAE 41.6–2014’’), Standard VerDate Sep<11>2014 17:42 Mar 26, 2021 Jkt 253001 Method for Humidity Measurement, ANSI approved July 3, 2014, IBR approved for appendix F to subpart B. * * * * * (14) ANSI/ASHRAE Standard 41.11– 2014, (‘‘ASHRAE 41.11–2014’’), Standard Methods for Power Measurement, ANSI approved July 3, 2014, IBR approved for appendix F to subpart B. * * * * * (i) * * * (6) AHAM RAC–1–2020 (‘‘AHAM RAC–1’’), Energy Measurement Test Procedure for Room Air Conditioners, approved 2020, IBR approved for appendix F to subpart B. * * * * * ■ 6. Section 430.23 is amended by revising paragraph (f) to read as follows: § 430.23 Test procedures for the measurement of energy and water consumption. * * * * * (f) Room air conditioners. (1) Determine cooling capacity, expressed in British thermal units per hour (Btu/ h), as follows: (i) For a single-speed room air conditioner, determine the cooling capacity in accordance with section 4.1.2 of appendix F of this subpart. (ii) For a variable-speed room air conditioner, determine the cooling capacity in accordance with section 4.1.2 of appendix F of this subpart for test condition 1 in Table 1 of appendix F of this subpart. (2) Determine electrical power input, expressed in watts (W) as follows: (i) For a single-speed room air conditioner, determine the electrical power input in accordance with section 4.1.2 of appendix F of this subpart. (ii) For a variable-speed room air conditioner, determine the electrical power input in accordance with section 4.1.2 of appendix F of this subpart, for test condition 1 in Table 1 of appendix F of this subpart. (3) Determine the combined energy efficiency ratio (CEER), expressed in British thermal units per watt-hour (Btu/Wh) and as follows: (i) For a single-speed room air conditioner, determine the CEER in accordance with section 5.2.2 of appendix F of this subpart. (ii) For a variable-speed room air conditioner, determine the CEER in accordance with section 5.3.11 of appendix F of this subpart. (4) Determine the estimated annual operating cost for a room air conditioner, expressed in dollars per year, by multiplying the following two factors and rounding as directed: PO 00000 Frm 00032 Fmt 4701 Sfmt 4700 (i) For single-speed room air conditioners, the sum of AECcool and AECia/om, determined in accordance with section 5.2.1 and section 5.1, respectively, of appendix F of this subpart. For variable-speed room air conditioners, the sum of AECwt and AECia/om, determined in accordance with section 5.3.4 and section 5.1, respectively, of appendix F of this subpart; and (ii) A representative average unit cost of electrical energy in dollars per kilowatt-hour as provided by the Secretary. Round the resulting product to the nearest dollar per year. * * * * * ■ 7. Appendix F to subpart B of part 430 is revised to read as follows: Appendix F to Subpart B of Part 430– Uniform Test Method for Measuring the Energy Consumption of Room Air Conditioners Note: On or after September 27, 2021, any representations made with respect to the energy use or efficiency of room air conditioners must be made in accordance with the results of testing pursuant to this appendix. Prior to September 27, 2021, manufacturers must either test room air conditioners in accordance with this appendix, or the previous version of this appendix as it appeared in the Code of Federal Regulations on January 1, 2020. DOE notes that, because representations made on or after September 27, 2021 must be made in accordance with this appendix, manufacturers may wish to begin using this test procedure immediately. 0. Incorporation by Reference DOE incorporated by reference the entire standard for AHAM RAC–1, ANSI/ASHRAE 16, ANSI/ASHRAE 41.1, ASHRAE 41.2–1987 (RA 1992), ASHRAE 41.3–2014, ASHRAE 41.6–2014, ASHRAE 41.11–2014 and IEC 62301 in § 430.3. However, only enumerated provisions of AHAM RAC–1 and ANSI/ ASHRAE 16 apply to this appendix, as follows: (1) ANSI/AHAM RAC–1: (i) Section 4—Testing Conditions, Section 4.1—General (ii) Section 5—Standard Measurement Test, Section 5.2—Standard Test Conditions: 5.2.1.1 (iii) Section 6—Tests and Measurements, Section 6.1—Cooling capacity (iv) Section 6— Tests and Measurements, Section 6.2—Electrical Input (2) ANSI/ASHRAE 16: (i) Section 3—Definitions (ii) Section 5—Instruments (iii) Section 6—Apparatus, Section 6.1— Calorimeters, Sections 6.1.1–6.1.1., 6.1.1.3a, 6.1.1.4–6.1.4, including Table 1 (iv) Section 7—Methods of Testing, Section 7.1—Standard Test Methods, Section 7.1a, 7.1.1a (v) Section 8—Test Procedures, Section 8.1—General (vi) Section 8—Test Procedures, Section 8.2—Test Room Requirements E:\FR\FM\29MRR2.SGM 29MRR2 Federal Register / Vol. 86, No. 58 / Monday, March 29, 2021 / Rules and Regulations (viii) Section 8—Test Procedures, Section 8.3—Air Conditioner Break-In (ix) Section 8—Test Procedures, Section 8.4—Air Conditioner Installation (x) Section 8 —Test Procedures, Section 8.5—Cooling Capacity Test (xi) Section 9—Data To Be Recorded, Section 9.1 (xii) Section 10—Measurement Uncertainty (xiii) Normative Appendix A Cooling Capacity Calculations—Calorimeter Test Indoor and Calorimeter Test Outdoor If there is any conflict between any industry standard(s) and this appendix, follow the language of the test procedure in this appendix, disregarding the conflicting industry standard language. Scope This appendix contains the test requirements to measure the energy performance of a room air conditioner. 2. Definitions 2.1 ‘‘Active mode’’ means a mode in which the room air conditioner is connected to a mains power source, has been activated and is performing any of the following functions: Cooling or heating the conditioned space, or circulating air through activation of its fan or blower, with or without energizing active air-cleaning components or devices such as ultra-violet (UV) radiation, electrostatic filters, ozone generators, or other air-cleaning devices. 2.2 ‘‘ANSI/AHAM RAC–1’’ means the test standard published jointly by the American National Standards Institute and the Association of Home Appliance Manufacturers, titled ‘‘Energy Measurement Test Procedure for Room Air Conditioners,’’ Standard RAC–1–2020 (incorporated by reference; see § 430.3). 2.3 ‘‘ANSI/ASHRAE 16’’ means the test standard published jointly by the American National Standards Institute and the American Society of Heating, Refrigerating, and Air-Conditioning Engineers titled ‘‘Method of Testing for Rating Room Air Conditioners and Packaged Terminal Air Conditioners,’’ Standard 16–2016 (incorporated by reference; see § 430.3). 2.4 ‘‘ANSI/ASHRAE 41.1’’ means the test standard published jointly by the American National Standards Institute and the American Society of Heating, Refrigerating, and Air-Conditioning Engineers titled ‘‘Standard Method for Temperature Measurement,’’ Standard 41.1–2013 (incorporated by reference; see § 430.3). 2.5 ‘‘ASHRAE 41.2–1987 (RA 1992)’’ means the test standard published jointly by the American National Standards Institute and the American Society of Heating, Refrigerating, and Air-Conditioning Engineers titled ‘‘Standard Methods for Laboratory Airflow Measurement,’’ Standard 41.2–1987 (RA 1992) (incorporated by reference; see § 430.3). 2.6 ‘‘ASHRAE 41.3–2014’’ means the test standard published jointly by the American National Standards Institute and the American Society of Heating, Refrigerating, and Air-Conditioning Engineers titled ‘‘Standard Methods for Pressure Measurement,’’ Standard 41.3–2014 (incorporated by reference; see § 430.3). VerDate Sep<11>2014 17:42 Mar 26, 2021 Jkt 253001 2.7 ‘‘ASHRAE 41.6–2014’’ means the test standard published jointly by the American National Standards Institute and the American Society of Heating, Refrigerating, and Air-Conditioning Engineers titled ‘‘Standard Method for Humidity Measurement,’’ Standard 41.6–2014 (incorporated by reference; see § 430.3). 2.8 ‘‘ASHRAE 41.11–2014’’ means the test standard published jointly by the American National Standards Institute and the American Society of Heating, Refrigerating, and Air-Conditioning Engineers titled ‘‘Standard Methods for Power Measurement,’’ Standard 41.11–2014 (incorporated by reference; see § 430.3). 2.9 ‘‘Combined energy efficiency ratio’’ means the energy efficiency of a room air conditioner in British thermal units per watthour (Btu/Wh) and determined in section 5.2.2 of this appendix for single-speed room air conditioners and section 5.3.12 of this appendix for variable-speed room air conditioners. 2.10 ‘‘Cooling capacity’’ means the amount of cooling, in British thermal units per hour (Btu/h), provided to a conditioned space, measured under the specified conditions and determined in section 4.1 of this appendix. 2.11 ‘‘Cooling mode’’ means an active mode in which a room air conditioner has activated the main cooling function according to the thermostat or temperature sensor signal or switch (including remote control). 2.12 ‘‘Full compressor speed (full)’’ means the compressor speed at which the unit operates at full load test conditions, when using user settings to achieve maximum cooling capacity, according to the instructions in ANSI/ASHRAE Standard 16– 2016. 2.13 ‘‘IEC 62301’’ means the test standard published by the International Electrotechnical Commission, titled ‘‘Household electrical appliances— Measurement of standby power,’’ Publication 62301 (Edition 2.0 2011–01), (incorporated by reference; see § 430.3). 2.14 ‘‘Inactive mode’’ means a standby mode that facilitates the activation of active mode by remote switch (including remote control) or internal sensor or which provides continuous status display. 2.15 ‘‘Intermediate compressor speed (intermediate)’’ means the compressor speed higher than the low compressor speed at which the measured capacity is higher than the capacity at low compressor speed by one third of the difference between Capacity4, the measured cooling capacity at test condition 4 in Table 1 of this appendix, and Capacity1, the measured cooling capacity with the full compressor speed at test condition 1 in Table 1 of this appendix, with a tolerance of plus 5 percent (designs with non-discrete speed stages) or the next highest inverter frequency step (designs with discrete speed steps), achieved by following the instructions certified by the manufacturer. 2.16 ‘‘Low compressor speed (low)’’ means the compressor speed at which the unit operates at low load test conditions, achieved by following the instructions certified by the manufacturer, such that PO 00000 Frm 00033 Fmt 4701 Sfmt 4700 16477 Capacity4, the measured cooling capacity at test condition 4 in Table 1 of this appendix, is no less than 47 percent and no greater than 57 percent of Capacity1, the measured cooling capacity with the full compressor speed at test condition 1 in Table 1 of this appendix. 2.17 ‘‘Off mode’’ means a mode in which a room air conditioner is connected to a mains power source and is not providing any active or standby mode function and where the mode may persist for an indefinite time, including an indicator that only shows the user that the product is in the off position. 2.18 ‘‘Single-speed room air conditioner’’ means a type of room air conditioner that cannot automatically adjust the compressor speed based on detected conditions. 2.19 ‘‘Standby mode’’ means any product mode where the unit is connected to a mains power source and offers one or more of the following user-oriented or protective functions which may persist for an indefinite time: (a) To facilitate the activation of other modes (including activation or deactivation of active mode) by remote switch (including remote control), internal sensor, or timer. A timer is a continuous clock function (which may or may not be associated with a display) that provides regular scheduled tasks (e.g., switching) and that operates on a continuous basis. (b) Continuous functions, including information or status displays (including clocks) or sensor-based functions. 2.20 ‘‘Theoretical comparable singlespeed room air conditioner’’ means a theoretical single-speed room air conditioner with the same cooling capacity and electrical power input as the variable-speed room air conditioner under test, with no cycling losses considered, at test condition 1 in Table 1 of this appendix. 2.21 ‘‘Variable-speed compressor’’ means a compressor that can vary its rotational speed in non-discrete stages or discrete steps from low to full. 2.22 ‘‘Variable-speed room air conditioner’’ means a type of room air conditioner that can automatically adjust compressor speed based on detected conditions. 3. Test Methods and General Instructions 3.1 Cooling mode. The test method for testing room air conditioners in cooling mode (‘‘cooling mode test’’) consists of applying the methods and conditions in AHAM RAC– 1 Section 4, Paragraph 4.1 and for singlespeed room air conditioners, Section 5, Paragraph 5.2.1.1, and for variable-speed room air conditioners, Section 5, Paragraph 5.2.1.2, except in accordance with ANSI/ ASHRAE 16, including the references to ANSI/ASHRAE 41.1, ANSI/ASHRAE 41.2– 1987 (RA 1992), ANSI/ASHRAE 41.3–2014, ANSI/ASHRAE 41.6–2014, and ANSI/ ASHRAE 41.11–2014, all referenced therein, as defined in sections 2.3 through 2.8 of this appendix. Use the cooling capacity simultaneous indoor calorimeter and outdoor calorimeter test method in Section 7.1.a and Sections 8.1 through 8.5 of ANSI/ASHRAE 16, except as otherwise specified in this E:\FR\FM\29MRR2.SGM 29MRR2 16478 Federal Register / Vol. 86, No. 58 / Monday, March 29, 2021 / Rules and Regulations appendix. If a unit can operate on multiple operating voltages as distributed in commerce by the manufacturer, test it and rate the corresponding basic models at all nameplate operating voltages. For a variablespeed room air conditioner, test the unit following the cooling mode test a total of four times: One test at each of the test conditions listed in Table 1 of this appendix, consistent with section 4.1 of this appendix. 3.1.1 Through-the-wall installation. Install a non-louvered room air conditioner inside a compatible wall sleeve with the provided or manufacturer-required rear grille, and with only the included trim frame and other manufacturer-provided installation materials, per manufacturer instructions provided to consumers. 3.1.2 Power measurement accuracy. All instruments used for measuring electrical inputs to the test unit, reconditioning equipment, and any other equipment that operates within the calorimeter walls must be accurate to ±0.5 percent of the quantity measured. 3.1.3 Electrical supply. For cooling mode testing, test at each nameplate operating voltage, and maintain the input standard voltage within ±1 percent. Test at the rated frequency, maintained within ±1 percent. 3.1.4 Control settings. If the room air conditioner has network capabilities, all network features must be disabled throughout testing. 3.1.5 Measurement resolution. Record measurements at the resolution of the test instrumentation. 3.1.6 Temperature tolerances. Maintain each of the measured chamber dry-bulb and wet-bulb temperatures within a range of 1.0 °F. 3.2 Standby and off modes. 3.2.1 Install the room air conditioner in accordance with Section 5, Paragraph 5.2 of IEC 62301 and maintain the indoor test conditions (and outdoor test conditions where applicable) as required by Section 4, Paragraph 4.2 of IEC 62301. If testing is not conducted in a facility used for testing cooling mode performance, the test facility must comply with Section 4, Paragraph 4.2 of IEC 62301. 3.2.2 Electrical supply. For standby mode and off mode testing, maintain the electrical supply voltage and frequency according to the requirements in Section 4, Paragraph 4.3.1 of IEC 62301. 3.2.3 Supply voltage waveform. For the standby mode and off mode testing, maintain the electrical supply voltage waveform indicated in Section 4, Paragraph 4.3.2 of IEC 62301. 3.2.4 Wattmeter. The wattmeter used to measure standby mode and off mode power consumption must meet the resolution and accuracy requirements in Section 4, Paragraph 4.4 of IEC 62301. 3.2.5 Air ventilation damper. If the unit is equipped with an outdoor air ventilation damper, close this damper during standby mode and off mode testing. 4. Test Conditions and Measurements 4.1 Cooling mode. 4.1.1 Temperature conditions. Establish the test conditions described in Sections 4 and 5 of AHAM RAC–1 and in accordance with ANSI/ASHRAE 16, including the references to ANSI/ASHRAE 41.1 and ANSI/ ASHRAE 41.6–2014, for cooling mode testing, with the following exceptions for variable-speed room air conditioners: Conduct the set of four cooling mode tests with the test conditions presented in Table 1 of this appendix. For test condition 1 and test condition 2, achieve the full compressor speed with user settings, as defined in section 2.12 of this appendix. For test condition 3 and test condition 4, set the required compressor speed in accordance with instructions the manufacturer provided to DOE. TABLE 1—INDOOR AND OUTDOOR INLET AIR TEST CONDITIONS—VARIABLE-SPEED ROOM AIR CONDITIONERS Evaporator inlet (indoor) air, °F Test condition Dry bulb Test Test Test Test Condition Condition Condition Condition 1 2 3 4 ............................... ............................... ............................... ............................... VerDate Sep<11>2014 17:42 Mar 26, 2021 Jkt 253001 Wet bulb 80 80 80 80 4.1.2 Cooling capacity and power measurements. For single-speed units, measure the cooling mode cooling capacity (expressed in Btu/h), Capacity, and electrical power input (expressed in watts), Pcool, in accordance with Section 6, Paragraphs 6.1 and 6.2 of AHAM RAC–1, respectively, and in accordance with ANSI/ASHRAE 16, including the references to ANSI/ASHRAE 41.2–1987 (RA 1992) and ANSI/ASHRAE 41.11–2014. For variable-speed room air conditioners, measure the condition-specific cooling capacity (expressed in Btu/h), Capacitytc, and electrical power input (expressed in watts), Ptc, for each of the four cooling mode rating test conditions (tc), as required in Section 6, Paragraphs 6.1 and 6.2, respectively, of AHAM RAC–1, respectively, and in accordance with ANSI/ASHRAE 16, including the references to ANSI/ASHRAE 41.2–1987 (RA 1992) and ANSI/ASHRAE 41.11–2014. 4.2 Standby and off modes. Establish the testing conditions set forth in section 3.2 of this appendix, ensuring the unit does not enter any active mode during the test. For a unit that drops from a higher power state to a lower power state as discussed in Section 5, Paragraph 5.1, Note 1 of IEC 62301, allow sufficient time for the room air conditioner Condenser inlet (outdoor) air, °F Dry bulb 67 67 67 67 95 92 87 82 to reach the lower power state before proceeding with the test measurement. Use the sampling method test procedure specified in Section 5, Paragraph 5.3.2 of IEC 62301 for testing all standby and off modes, with the following modifications: Allow the product to stabilize for 5 to 10 minutes and use an energy use measurement period of 5 minutes. 4.2.1 If the unit has an inactive mode, as defined in section 2.14 of this appendix, as defined in section 2.17 of this appendix, measure and record the average inactive mode power, Pia, in watts. 4.2.2 If the unit has an off mode, as defined in section 2.17 of this appendix, measure and record the average off mode power, Pom, in watts. 5. Calculations 5.1 Annual energy consumption in inactive mode and off mode. Calculate the annual energy consumption in inactive mode and off mode, AECia/om, expressed in kilowatt-hours per year (kWh/year). AECia/om = (Pia × tia) + (Pom + tom) Where: AECia/om = annual energy consumption in inactive mode and off mode, in kWh/ year. PO 00000 Frm 00034 Fmt 4701 Sfmt 4700 Compressor speed Wet bulb 75 72.5 69 65 Full. Full. Intermediate. Low. Pia = average power in inactive mode, in watts, determined in section 4.2 of this appendix. Pom = average power in off mode, in watts, determined in section 4.2 of this appendix. tia = annual operating hours in inactive mode and multiplied by a 0.001 kWh/Wh conversion factor from watt-hours to kilowatt-hours. This value is 5.115 kWh/ W if the unit has inactive mode and no off mode, 2.5575 kWh/W if the unit has both inactive and off mode, and 0 kWh/ W if the unit does not have inactive mode. tom = annual operating hours in off mode and multiplied by a 0.001 kWh/Wh conversion factor from watt-hours to kilowatt-hours. This value is 5.115 kWh/ W if the unit has off mode and no inactive mode, 2.5575 kWh/W if the unit has both inactive and off mode, and 0 kWh/W if the unit does not have off mode. 5.2 Combined energy efficiency ratio for single-speed room air conditioners. Calculate the combined energy efficiency ratio for single-speed room air conditioners as follows: E:\FR\FM\29MRR2.SGM 29MRR2 Federal Register / Vol. 86, No. 58 / Monday, March 29, 2021 / Rules and Regulations AECcool = 0.75 × Pcool AECcool = single-speed room air conditioner annual energy consumption in cooling mode, in kWh/year. Pcool = single-speed room air conditioner average power in cooling mode, in watts, determined in section 4.1.2 of this appendix. Where: Capacity CEER Where: CEER = combined energy efficiency ratio, in Btu/Wh. Capacity = single-speed room air conditioner cooling capacity, in Btu/h, determined in section 4.1.2 of this appendix. AECcool = single-speed room air conditioner annual energy consumption in cooling mode, in kWh/year, calculated in section 5.2.1 of this appendix. AECia/om = annual energy consumption in inactive mode or off mode, in kWh/year, calculated in section 5.1 of this appendix. 0.75 as defined in section 5.2.1 of this appendix. 5.3 Combined energy efficiency ratio for variable-speed room air conditioners. Calculate the combined energy efficiency ratio for variable-speed room air conditioners as follows: 5.3.1 Weighted electrical power input. Calculate the weighted electrical power input in cooling mode, Pwt, expressed in watts, as follows: Pwt = Stc Ptc × Wtc Where: Pwt = weighted electrical power input, in watts, in cooling mode. Ptc = electrical power input, in watts, in cooling mode for each test condition in Table 1 of this appendix. Wtc = weighting factors for each cooling mode test condition: 0.08 for test condition 1, 0.20 for test condition 2, 0.33 for test condition 3, and 0.39 for test condition 4. tc represents the cooling mode test condition: ‘‘1’’ for test condition 1 (95 °F condenser inlet drybulb temperature), ‘‘2’’ for test condition 2 (92 °F), ‘‘3’’ for test condition 3 (87 °F), and ‘‘4’’ for test condition 4 (82 °F). 5.3.2 Theoretical comparable singlespeed room air conditioner. Calculate the cooling capacity, expressed in Btu/h, and the electrical power input, expressed in watts, for a theoretical comparable single-speed room air conditioner at all cooling mode test conditions. Capacityss_tc = Capacity1 × (1 + (Mc × (95¥Ttc))) Pss_tc = P1 × (1¥(Mp × (95¥Ttc))) Where: Capacityss_tc = theoretical comparable singlespeed room air conditioner cooling VerDate Sep<11>2014 17:42 Mar 26, 2021 Jkt 253001 = I(AECcool + AECia/om) 0.75 5.3.3 Variable-speed room air conditioner unit’s annual energy consumption for cooling mode at each cooling mode test condition. Calculate the annual energy consumption for cooling mode under each test condition, AECtc, expressed in kilowatt-hours per year (kWh/year), as follows: AECtc = 0.75 × Ptc Where: AECtc = variable-speed room air conditioner unit’s annual energy consumption, in kWh/year, in cooling mode for each test condition in Table 1 of this appendix. Ptc = as defined in section 5.3.1 of this appendix. 0.75 as defined in section 5.2.1 of this appendix. tc as explained in section 5.3.1 of this appendix. 5.3.4 Variable-speed room air conditioner weighted annual energy consumption. Calculate the weighted annual energy consumption in cooling mode for a variable- Frm 00035 5.2.2 Single-speed room air conditioner combined energy efficiency ratio. Calculate the combined energy efficiency ratio, CEER, expressed in Btu/Wh, as follows: 1 capacity, in Btu/h, calculated for each of the cooling mode test conditions in Table 1 of this appendix. Capacity1 = variable-speed room air conditioner unit’s cooling capacity, in Btu/h, determined in section 4.1.2 of this appendix for test condition 1 in Table 1 of this appendix. Pss_tc = theoretical comparable single-speed room air conditioner electrical power input, in watts, calculated for each of the cooling mode test conditions in Table 1 of this appendix. P1 = variable-speed room air conditioner unit’s electrical power input, in watts, determined in section 4.1.2 of this appendix for test condition 1 in Table 1 of this appendix. Mc = adjustment factor to determine the increased capacity at lower outdoor test conditions, 0.0099 per °F. Mp = adjustment factor to determine the reduced electrical power input at lower outdoor test conditions, 0.0076 per °F. 95 is the condenser inlet dry-bulb temperature for test condition 1 in Table 1 of this appendix, 95 °F. Ttc = condenser inlet dry-bulb temperature for each of the test conditions in Table 1 of this appendix (in °F). tc as explained in section 5.3.1 of this appendix. PO 00000 0.75 is 750 annual operating hours in cooling mode multiplied by a 0.001 kWh/Wh conversion factor from watt-hours to kilowatt-hours. Fmt 4701 Sfmt 4700 speed room air conditioner, AECwt, expressed in kWh/year. AECwt = Stc AECtc × Wtc Where: AECwt = weighted annual energy consumption in cooling mode for a variable-speed room air conditioner, expressed in kWh/year. AECtc = variable-speed room air conditioner unit’s annual energy consumption, in kWh/year, in cooling mode for each test condition in Table 1 of this appendix, determined in section 5.3.3 of this appendix. Wtc = weighting factors for each cooling mode test condition: 0.08 for test condition 1, 0.20 for test condition 2, 0.33 for test condition 3, and 0.39 for test condition 4. tc as explained in section 5.3.1 of this appendix. 5.3.5 Theoretical comparable singlespeed room air conditioner annual energy consumption in cooling mode at each cooling mode test condition. Calculate the annual energy consumption in cooling mode for a theoretical comparable single-speed room air conditioner for cooling mode under each test condition, AECss_tc, expressed in kWh/year. AECss_tc = 0.75 × Pss_tc Where: AECss_tc = theoretical comparable singlespeed room air conditioner annual energy consumption, in kWh/year, in cooling mode for each test condition in Table 1 of this appendix. Pss_tc = theoretical comparable single-speed room air conditioner electrical power input, in watts, in cooling mode for each test condition in Table 1 of this appendix, determined in section 5.3.2 of this appendix. 0.75 as defined in section 5.2.1 of this appendix. tc as explained in section 5.3.1 of this appendix. 5.3.6 Variable-speed room air conditioner combined energy efficiency ratio at each cooling mode test condition. Calculate the variable-speed room air conditioner unit’s combined energy efficiency ratio, CEERtc, for each test condition, expressed in Btu/Wh. E:\FR\FM\29MRR2.SGM 29MRR2 ER29MR21.002</GPH> 5.2.1 Single-speed room air conditioner annual energy consumption in cooling mode. Calculate the annual energy consumption in cooling mode for a single-speed room air conditioner, AECcool, expressed in kWh/year. 16479 16480 CEERtc Federal Register / Vol. 86, No. 58 / Monday, March 29, 2021 / Rules and Regulations = CapacitYtc ( AECtc + AECia/om) 0.75 Where: CEERtc = variable-speed room air conditioner unit’s combined energy efficiency ratio, in Btu/Wh, for each test condition in Table 1 of this appendix. Capacitytc = variable-speed room air conditioner unit’s cooling capacity, in Btu/h, for each test condition in Table 1 of this appendix, determined in section 4.1.2 of this appendix. AECtc = variable-speed room air conditioner unit’s annual energy consumption, in kWh/year, in cooling mode for each test condition in Table 1 of this appendix, determined in section 5.3.3 of this appendix. AECia/om = annual energy consumption in inactive mode of off mode, in kWh/year, determined in section 5.1 of this appendix. CEERss_tc = 0.75 as defined in section 5.2.1 of this appendix. tc as explained in section 5.3.1 of this appendix. 5.3.7 Theoretical comparable singlespeed room air conditioner combined energy efficiency ratio. Calculate the combined energy efficiency ratio for a theoretical comparable single-speed room air conditioner, CEERss_tc, for each test condition, expressed in Btu/Wh. CapacitYss tc ( AECss tc + AECia/om) 0.75 5.3.8 Theoretical comparable singlespeed room air conditioner adjusted combined energy efficiency ratio. Calculate the adjusted combined energy efficiency ratio, for a theoretical comparable singlespeed room air conditioner, CEERss_tc_adj, with cycling losses considered, for each test condition, expressed in Btu/Wh. CEERss_tc_adj = CEERss_tc × CLFtc 5.3.9 Weighted combined energy efficiency ratio. Calculate the weighted combined energy efficiency ratio for the variable-speed room air conditioner unit, CEERwt, and theoretical comparable singlespeed room air conditioner, CEERss_wt, expressed in Btu/Wh. CEERwt = Stc CEERtc × Wtc CEERss_wt = Stc CEERss_tc_adj × Wtc Where: CEERwt = variable-speed room air conditioner unit’s weighted combined energy efficiency ratio, in Btu/Wh. CEERss_wt = theoretical comparable singlespeed room air conditioner weighted combined energy efficiency ratio, in Btu/ Wh. CEERtc = variable-speed room air conditioner unit’s combined energy efficiency ratio, in Btu/Wh, at each test condition in Table 1 of this appendix, determined in section 5.3.6 of this appendix. CEERss_tc_adj = theoretical comparable singlespeed room air conditioner adjusted combined energy efficiency ratio, in Btu/ Wh, at each test condition in Table 1 of this appendix, determined in section 5.3.8 of this appendix. Wtc as defined in section 5.3.4 of this appendix. tc as explained in section 5.3.1 of this appendix. 5.3.10 Variable-speed room air conditioner performance adjustment factor. Calculate the variable-speed room air conditioner unit’s performance adjustment factor, Fp. F. P - ( CEERwt - CEERss_wt) CEERss_wt Where: Fp = variable-speed room air conditioner unit’s performance adjustment factor. CEERwt = variable-speed room air conditioner unit’s weighted combined energy efficiency ratio, in Btu/Wh, determined in section 5.3.9 of this appendix. CEERss_wt = theoretical comparable singlespeed room air conditioner weighted combined energy efficiency ratio, in Btu/ Wh, determined in section 5.3.9 of this appendix. 5.3.11 Variable-speed room air conditioner combined energy efficiency ratio. Calculate the combined energy efficiency ratio, CEER, expressed in Btu/Wh, for variable-speed air conditioners. CEER = CEER1 × (1 + Fp) Where: CEER = combined energy efficiency ratio, in Btu/Wh. CEER1 = variable-speed room air conditioner combined energy efficiency ratio for test condition 1 in Table 1 of this appendix, in Btu/Wh, determined in section 5.3.6 of this appendix. Fp = variable-speed room air conditioner performance adjustment factor, determined in section 5.3.10 of this appendix. [FR Doc. 2021–05415 Filed 3–26–21; 8:45 am] BILLING CODE 6450–01–P VerDate Sep<11>2014 17:42 Mar 26, 2021 Jkt 253001 PO 00000 Frm 00036 Fmt 4701 Sfmt 9990 E:\FR\FM\29MRR2.SGM 29MRR2 ER29MR21.003</GPH> ER29MR21.004</GPH> Where: CEERss_tc_adj = theoretical comparable singlespeed room air conditioner adjusted combined energy efficiency ratio, in Btu/ Wh, for each test condition in Table 1 of this appendix. CEERss_tc = theoretical comparable singlespeed room air conditioner combined energy efficiency ratio, in Btu/Wh, for each test condition in Table 1 of this appendix, determined in section 5.3.7 of this appendix. CLFtc = cycling loss factor for each test condition; 1 for test condition 1, 0.956 for test condition 2, 0.883 for test condition 3, and 0.810 for test condition 4. tc as explained in section 5.3.1 of this appendix. ER29MR21.005</GPH> Where: CEERss_tc = theoretical comparable singlespeed room air conditioner combined energy efficiency ratio, in Btu/Wh, for each test condition in Table 1 of this appendix. Capacityss_tc = theoretical comparable singlespeed room air conditioner cooling capacity, in Btu/h, for each test condition in Table 1 of this appendix, determined in section 5.3.2 of this appendix. AECss_tc = theoretical comparable singlespeed room air conditioner annual energy consumption, in kWh/year, in cooling mode for each test condition in Table 1 of this appendix, determined in section 5.3.5 of this appendix. AECia/om = annual energy consumption in inactive mode or off mode, in kWh/year, determined in section 5.1 of this appendix. 0.75 as defined in section 5.2.1 of this appendix. tc as explained in section 5.3.1 of this appendix.

Agencies

DEPARTMENT OF ENERGY

[Federal Register Volume 86, Number 58 (Monday, March 29, 2021)]
[Rules and Regulations]
[Pages 16446-16480]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-05415]



[[Page 16445]]

Vol. 86

Monday,

No. 58

March 29, 2021

Part II





Department of Energy





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10 CFR Parts 429 and 430





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

Federal Register / Vol. 86, No. 58 / Monday, March 29, 2021 / Rules 
and Regulations

[[Page 16446]]


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DEPARTMENT OF ENERGY

10 CFR Parts 429 and 430

[EERE-2017-BT-TP-0012]
RIN 1904-AD47


Energy Conservation Program: Test Procedure for Room Air 
Conditioners

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

ACTION: Final rule.

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

SUMMARY: On June 11, 2020, the U.S. Department of Energy (``DOE'') 
issued a notice of proposed rulemaking (``NOPR'') to amend the test 
procedure for room air conditioners (``room ACs''). That proposed 
rulemaking serves as the basis for the final rule. Specifically, this 
final rule adopts the following updates to the test procedure for room 
ACs at appendix F: Incorporate by reference current versions of 
applicable industry standards; establish test provisions to measure 
energy use of variable-speed room ACs during a representative average 
use cycle; update definitions to define key terms and support 
provisions for testing variable-speed room ACs; and incorporate 
specifications and minor corrections to improve the test procedure 
repeatability, reproducibility, and overall readability. This final 
rule does not modify the test procedures for single-speed room ACs and 
does not affect the measured energy use for these models. The 
provisions established to measure energy use of variable-speed room ACs 
will improve the representativeness of the measured energy use of these 
models.

DATES: Effective date: The effective date of this rule is April 28, 
2021.
    Compliance date: The final rule changes will be mandatory for 
product testing starting September 27, 2021.
    Incorporation by reference: The incorporation by reference of 
certain publications listed in the rule is approved by the Director of 
the Federal Register on April 28, 2021. The incorporation by reference 
of certain other publications listed in this rulemaking were approved 
by the Director of the Federal Register on March 7, 2012, and July 31, 
2015.

ADDRESSES: The docket, which includes Federal Register notices, public 
meeting attendee lists and transcripts, comments, and other supporting 
documents/materials, is available for review at https://www.regulations.gov. All documents in the docket are listed in the 
https://www.regulations.gov index. However, some documents listed in the 
index, such as those containing information that is exempt from public 
disclosure, may not be publicly available.
    A link to the docket web page can be found at https://www.regulations.gov/docket?D=EERE-2017-BT-TP-0012. 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: [email protected].

FOR FURTHER INFORMATION CONTACT: Mr. Bryan Berringer, U.S. Department 
of Energy, Office of Energy Efficiency and Renewable Energy, Building 
Technologies Office, EE-5B, 1000 Independence Avenue SW, Washington, DC 
20585-0121. Telephone: (202) 586-0371. Email: 
[email protected].
    Ms. Sarah Butler, U.S. Department of Energy, Office of the General 
Counsel, GC-33, 1000 Independence Avenue SW, Washington, DC 20585-0121. 
Telephone: (202) 586-1777. Email: [email protected].

SUPPLEMENTARY INFORMATION: DOE maintains previously approved 
incorporation by references and incorporates by reference the following 
industry standards into title 10, Code of Federal Regulations 
(``CFR''), part 430:
    Association of Home Appliance Manufacturers (``AHAM'') RAC-1-2020, 
(``AHAM RAC-1-2020''), ``Room Air Conditioners;''
    American National Standards Institute (``ANSI'')/American Society 
of Heating, Refrigerating, and Air-Conditioning Engineers (``ASHRAE'') 
Standard 16-2016, (``ANSI/ASHRAE Standard 16-2016''), ``Method of 
Testing for Rating Room Air Conditioners, Packaged Terminal Air 
Conditioners, and Packaged Terminal Heat Pumps for Cooling and Heating 
Capacity;'' ANSI approved October 31, 2016.
    ANSI/ASHRAE Standard 41.1-2013, (``ANSI/ASHRAE Standard 41.1''), 
``Standard Method for Temperature Measurement;'' ANSI approved January 
30, 2013.
    ANSI/ASHRAE Standard 41.2-1987 (RA 1992), (``ANSI/ASHRAE Standard 
41.2-1987 (RA 1992)''), ``Standard Methods for Laboratory Airflow 
Measurement;'' ANSI reaffirmed April 20, 1992.
    ANSI/ASHRAE Standard 41.3-2014, (``ANSI/ASHRAE Standard 41.3-
2014''), ``Standard Methods for Pressure Measurement;'' ANSI approved 
July 3, 2014.
    ANSI/ASHRAE Standard 41.6-2014, (``ANSI/ASHRAE Standard 41.6-
2014''), ``Standard Method for Humidity Measurement;'' ANSI approved 
July 3, 2014.
    ANSI/ASHRAE Standard 41.11-2014, (``ANSI/ASHRAE Standard 41.11-
2014''), ``Standard Methods for Power Measurement;'' ANSI approved July 
3, 2014.
    International Electrotechnical Commission (``IEC'') Standard 62301, 
(``IEC Standard 62301 Second Edition''), ``Household electrical 
appliances--Measurement of standby power, (Edition 2.0, 2011-01)''.
    Copies of AHAM RAC-1-2020 can be obtained from the Association of 
Home Appliance Manufacturers at https://www.aham.org/ht/d/Store/. 
Copies of ANSI/ASHRAE Standard 16-2016, ANSI/ASHRAE Standard 41.1-2013, 
ANSI/ASHRAE Standard 41.2-1987, ANSI/ASHRAE Standard 41.3-2014, ANSI/
ASHRAE Standard 41.6-2014, and ANSI/ASHRAE Standard 41.11-2014 can be 
obtained from the American National Standards Institute at https://webstore.ansi.org/. Copies of IEC Standard 62301 can be obtained from 
https://webstore.iec.ch.
    See section IV.N of this document for additional information on 
these standards.

Table of Contents

I. Authority and Background
    A. Authority
    B. Background
II. Synopsis of the Final Rule
III. Discussion
    A. Room Air Conditioner Definition
    B. Industry Test Standards
    1. AHAM RAC-1
    2. ANSI/ASHRAE Standard 16
    3. ANSI/ASHRAE Standards 41.1, 41.2, 41.3, 41.6, and 41.11
    C. Variable-Speed Room Air Conditioner Test Procedure
    1. Methodology
    2. Test Conditions
    3. Variable-Speed Compressor Operation
    4. Capacity and Electrical Power Adjustment Factors
    5. Cycling Loss Factors
    6. Test Condition Weighting Factors
    7. Weighted CEER and Performance Adjustment Factor
    8. Air-Enthalpy Test Alternative
    9. Product Specific Reporting Provisions
    10. Estimated Annual Operating Cost Calculation
    D. Definitions
    1. Key Terms
    2. Compressor Speeds
    E. Active Mode Testing
    1. Cooling Mode
    2. Heating Mode
    3. Off-Cycle Mode
    F. Standby Modes and Off Mode

[[Page 16447]]

    1. Referenced Standby Mode and Off Mode Test Standard
    G. Network Functionality
    H. Demand Response
    I. Combined Energy Efficiency Ratio
    J. Certification and Verification Requirements
    K. Reorganization of Calculations in 10 CFR 430.23
    L. Effective Date, Compliance Date and Waivers
    M. Test Procedure Costs and Impact
    1. Appendix F
    2. Additional Amendments
IV. Procedural Issues and Regulatory Review
    A. Review Under Executive Order 12866
    B. Review Under the Regulatory Flexibility Act
    C. Review Under the Paperwork Reduction Act of 1995
    D. Review Under the National Environmental Policy Act of 1969
    E. Review Under Executive Order 13132
    F. Review Under Executive Order 12988
    G. Review Under the Unfunded Mandates Reform Act of 1995
    H. Review Under the Treasury and General Government 
Appropriations Act, 1999
    I. Review Under Executive Order 12630
    J. Review Under Treasury and General Government Appropriations 
Act, 2001
    K. Review Under Executive Order 13211
    L. Review Under Section 32 of the Federal Energy Administration 
Act of 1974
    M. Congressional Notification
    N. Description of Materials Incorporated by Reference
V. Approval of the Office of the Secretary

I. Authority and Background

    Room ACs are included in the list of ``covered products'' for which 
DOE is authorized to establish and amend energy conservation standards 
and test procedures. (42 U.S.C. 6292(a)(2)) DOE's energy conservation 
standards and test procedure for room ACs are currently prescribed at 
10 CFR 430.32(b) and 10 CFR 430.23(f), respectively. The following 
sections discuss DOE's authority to establish test procedures for room 
ACs and relevant background information regarding DOE's consideration 
of test procedures for this product.

A. Authority

    The Energy Policy and Conservation Act, as amended (``EPCA''),\1\ 
authorizes DOE to regulate the energy efficiency of a number of 
consumer products and certain industrial equipment. (42 U.S.C. 6291-
6317) Title III, Part B \2\ of EPCA established the Energy Conservation 
Program for Consumer Products Other Than Automobiles, which sets forth 
a variety of provisions designed to improve energy efficiency. These 
products include room ACs, the subject of this document. (42 U.S.C. 
6292(a)(2))
---------------------------------------------------------------------------

    \1\ All references to EPCA in this document refer to the statute 
as amended through Energy Act of 2020, Public Law 116-260 (Dec. 27, 
2020).
    \2\ For editorial reasons, upon codification in the U.S. Code, 
Part B was redesignated Part A.
---------------------------------------------------------------------------

    The energy conservation program under EPCA consists essentially of 
four parts: (1) Testing, (2) labeling, (3) Federal energy conservation 
standards, and (4) certification and enforcement procedures. Relevant 
provisions of EPCA specifically include definitions (42 U.S.C. 6291), 
test procedures (42 U.S.C. 6293), labeling provisions (42 U.S.C. 6294), 
energy conservation standards (42 U.S.C. 6295), and the authority to 
require information and reports from manufacturers (42 U.S.C. 6296).
    The testing requirements consist of test procedures that 
manufacturers of covered products must use as the basis for (1) 
certifying to DOE that their products comply with the applicable energy 
conservation standards adopted under EPCA (42 U.S.C. 6295(s)), and (2) 
making representations about the efficiency of those products (42 
U.S.C. 6293(c)). Similarly, DOE must use these test procedures to 
determine whether the products comply with any relevant standards 
promulgated under EPCA. (42 U.S.C. 6295(s))
    Federal energy efficiency requirements for covered products 
established under EPCA generally supersede State laws and regulations 
concerning energy conservation testing, labeling, and standards. (42 
U.S.C. 6297) DOE may, however, grant waivers of Federal preemption for 
particular State laws or regulations, in accordance with the procedures 
and other provisions of EPCA. (42 U.S.C. 6297(d))
    Under 42 U.S.C. 6293, EPCA sets forth the criteria and procedures 
DOE must follow when prescribing or amending test procedures for 
covered products. EPCA provides that any test procedures prescribed or 
amended under this section shall be reasonably designed to produce test 
results which measure energy efficiency, energy use or estimated annual 
operating cost of a covered product during a representative average use 
cycle or period of use and shall not be unduly burdensome to conduct. 
(42 U.S.C. 6293(b)(3))
    EPCA also requires that, at least once every 7 years, DOE evaluate 
test procedures for each type of covered product, including room ACs, 
to determine whether amended test procedures would more accurately or 
fully comply with the requirements of 42 U.S.C. 6293(b)(3). (42 U.S.C. 
6293(b)(1)(A)) If the Secretary determines, on his own behalf or in 
response to a petition by any interested person, that a test procedure 
should be prescribed or amended, the Secretary shall promptly publish 
in the Federal Register proposed test procedures and afford interested 
persons an opportunity to present oral and written data, views, and 
arguments with respect to such procedures. The comment period on a 
proposed rule to amend a test procedure shall be at least 60 days and 
may not exceed 270 days. In prescribing or amending a test procedure, 
the Secretary shall take into account such information as the Secretary 
determines relevant to such procedure, including technological 
developments relating to energy use or energy efficiency of the type 
(or class) of covered products involved. (42 U.S.C. 6293(b)(2)) If DOE 
determines that test procedure revisions are not appropriate, DOE must 
publish its determination not to amend the test procedures. DOE is 
publishing this final rule in satisfaction of the 7-year review 
requirement specified in EPCA. (42 U.S.C. 6293(b)(1)(A))
    In addition, EPCA requires that DOE amend its test procedures for 
all covered products to integrate measures of standby mode and off mode 
energy consumption into the overall energy efficiency, energy 
consumption, or other energy descriptor, unless the current test 
procedure already incorporates the standby mode and off mode energy 
consumption, or if such integration is technically infeasible. (42 
U.S.C. 6295(gg)(2)(A)) If an integrated test procedure is technically 
infeasible, DOE must prescribe separate standby mode and off mode 
energy use test procedures for the covered product, if a separate test 
is technically feasible. (Id.) Any such amendment must consider the 
most current versions of the International Electrotechnical Commission 
(``IEC'') Standard 62301 \3\ and IEC Standard 62087 \4\ as applicable. 
(42 U.S.C. 6295(gg)(2)(A))
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    \3\ IEC 62301, Household electrical appliances--Measurement of 
standby power (Edition 2.0, 2011-01).
    \4\ IEC 62087, Methods of measurement for the power consumption 
of audio, video, and related equipment (Edition 3.0, 2011-04).
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B. Background

    DOE's existing test procedure for room ACs appears at Title 10 of 
the CFR part 430, subpart B, appendix F (``Uniform Test Method for 
Measuring the Energy Consumption of Room Air Conditioners'' (``appendix 
F'')), and the room AC performance metric calculations are codified at 
10 CFR 430.23(f). DOE most recently amended the test procedure for room 
ACs in a final rule published on January 6, 2011, (hereafter the 
``January 2011 Final Rule''), which added a test procedure to measure 
standby mode and off mode

[[Page 16448]]

power and to introduce a new combined efficiency metric, Combined 
Energy Efficiency Ratio (``CEER''), that accounts for energy 
consumption in active mode, standby mode, and off mode. 76 FR 971.
    The previous room AC test procedure incorporates by reference three 
industry test methods: (1) American National Standards Institute 
(``ANSI'')/Association of Home Appliance Manufacturers (``AHAM'') RAC-
1-2008, ``Room Air Conditioners'' (``ANSI/AHAM RAC-1-2008''),\5\ (2) 
ANSI/American Society of Heating, Refrigerating, and Air-Conditioning 
Engineers (``ASHRAE'') Standard 16-1983 (RA 2009), ``Method of Testing 
for Rating Room Air Conditioners and Packaged Terminal Air 
Conditioners'' (``ANSI/ASHRAE Standard 16-2009''),\6\ and (3) IEC 
Standard 62301, ``Household electrical appliances--Measurement of 
standby power (first edition June 2005)'' (``IEC Standard 62301 First 
Edition'').\7\
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    \5\ Copies can be purchased from https://webstore.ansi.org.
    \6\ Copies can be purchased from https://www.techstreet.com.
    \7\ Copies can be purchased from https://webstore.iec.ch.
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    On May 8, 2019, DOE published a Decision and Order, granting a 
waiver for certain room AC models with variable-speed capabilities in 
response to a petition from LG Electronic USA, Inc. (``LG''). 84 FR 
20111 (``LG Waiver''). As required under the waiver, the specified LG 
variable-speed room ACs must be tested at four different outdoor 
temperatures instead of a single outdoor temperature, with the unit 
compressor speed fixed at each temperature. This approach for the 
alternate test procedure was derived from the current DOE test 
procedure for central air conditioners (10 CFR part 430, subpart B, 
appendix M (``appendix M'')). The LG Waiver provides definitions for 
each fixed compressor speed, adjusts the annual energy consumption and 
operating cost calculations that provide the basis for the information 
presented to consumers on the EnergyGuide Label, and requires that 
compressor speeds be set in accordance with instructions submitted to 
DOE by LG on April 2, 2019.\8\ 84 FR 20111, 20118-20121.
---------------------------------------------------------------------------

    \8\ While the instructions provided by LG on April 2, 2019 are 
listed in the docket for this rulemaking, they were marked as 
confidential and were treated accordingly.
---------------------------------------------------------------------------

    On May 26, 2020, DOE published a Decision and Order, granting a 
waiver to GD Midea Air Conditioning Equipment Co. LTD. (``Midea'') for 
six variable-speed basic models with the condition that Midea must test 
and rate these models according to an alternate test procedure that is 
substantively consistent with that prescribed by in the LG Waiver, and 
report product-specific information that reflects the alternate test 
procedure. 85 FR 31481 (``Midea Waiver'').
    On June 11, 2020, DOE published a notice of proposed rulemaking 
(``June 2020 NOPR'') proposing amendments to the test procedures for 
room ACs to: (1) Update to the latest versions of industry test methods 
that are incorporated by reference; (2) adopt new testing provisions 
for variable-speed room ACs that reflect the relative efficiency gains 
at reduced cooling loads; (3) adopt new definitions consistent with 
these two proposed amendments; and (4) provide specifications and minor 
corrections to improve the test procedure repeatability, 
reproducibility, and overall readability. 85 FR 35700.
    DOE received comments in response to the June 2020 NOPR from the 
interested parties listed in Table II.1.

                                   Table II.1--June 2020 NOPR Written Comments
----------------------------------------------------------------------------------------------------------------
                     Commenter(s)                         Reference in this NOPR            Commenter type
----------------------------------------------------------------------------------------------------------------
Association of Home Appliance Manufacturers..........  AHAM........................  Trade Association.
California Investor-Owned Utilities..................  California IOUs.............  Utility.
Appliance Standards Awareness Project (``ASAP''),      Joint Commenters............  Efficiency Organizations.
 American Council for an Energy-Efficient Economy
 (``ACEEE''), Natural Resources Defense Council
 (``NRDC'').
Northwest Energy Efficiency Alliance.................  NEAA........................  Efficiency Organization.
Keith Rice...........................................  Rice........................  Consultant.
GE Appliances, a Haier Company.......................  GEA.........................  Manufacturer.
----------------------------------------------------------------------------------------------------------------

    Subsequent to the publication of the June 2020 NOPR, on September 
23, 2020, DOE granted GE Appliances, a Haier Company (``GEA)'' an 
interim waiver from the room AC test procedure for the 18 basic models 
listed in GEA's petition, using an alternate test procedure consistent 
with that granted to Midea in the Midea Waiver. 85 FR 59770. (``GEA 
Interim Waiver'')
    Additionally, on February 14, 2020, DOE published its updated 
Process Rule to improve the internal framework for establishing new 
energy efficiency regulations, with the goal of increasing 
transparency, accountability, and certainty for stakeholders. 85 FR 
8626. As required under the updated Process Rule, DOE will adopt 
industry test standards as DOE test procedures for covered products and 
equipment, unless such methodology would be unduly burdensome to 
conduct or would not produce test results that reflect the energy 
efficiency, energy use, water use (as specified in EPCA) or estimated 
operating costs of that equipment during a representative average use 
cycle. Section 8(c) of 10 CFR part 430 subpart C appendix A. See also, 
85 FR 8626, 8708.

II. Synopsis of the Final Rule

    In this final rule, DOE amends the existing test procedure for room 
ACs to: (1) Incorporate by reference current versions of the applicable 
industry standards; (2) adopt test provisions for variable-speed room 
ACs that reflect energy efficiency during a representative average use 
cycle; (3) update definitions to define key terms and support the 
adopted provisions for testing variable-speed room ACs; and (4) update 
specifications and implement minor corrections to improve the test 
procedure repeatability, reproducibility, and overall readability.
    DOE has determined that the amendments will both provide efficiency 
measurements more representative of the energy efficiency of variable-
speed room ACs and will not alter the measured efficiency of single-
speed room ACs, which constitute the large majority of units on the 
market. DOE has determined that the amended test procedure will not be 
unduly burdensome to conduct. DOE's actions are summarized in Table 
II.2 and addressed in detail in section III of this document.

[[Page 16449]]



                          Table II.2--Summary of Changes in the Amended Test Procedure
----------------------------------------------------------------------------------------------------------------
       Previous DOE test procedure                   Amended test procedure                   Attribution
----------------------------------------------------------------------------------------------------------------
References industry standards--..........  Updates references to applicable sections  Industry test procedure
                                            of:.                                       updates.
     ANSI/AHAM RAC-1-2008,.......   AHAM RAC-1-2020,
     ANSI/ASHRAE Standard 16-       ANSI/ASHRAE Standard 16-2016
     2009, and.                             (including relevant cross-referenced
                                            industry standards), and
     IEC Standard 62301 First       IEC Standard 62301 Second
     Edition.                               Edition.
Testing, calculation of CEER metric, and   Relevant definitions, testing,             In response to test
 certification for all room ACs based on    calculation of CEER metric, and            procedure waivers.
 single temperature rating condition.       certification for variable-speed room
                                            ACs based on additional reduced outdoor
                                            temperature test conditions.
Definitions--
    --Definition of ``room air             --Adds the word ``cooled'' to describe     Added by DOE
     conditioner'' does not explicitly      the conditioned air a room AC provides     (clarification).
     include function of providing cool     and the phrase ``notwithstanding ASHRAE
     conditioned air to an enclosed         16 and RAC-1 (incorporated by reference;
     space, and references ``prime,'' an    see Sec.   430.3)'' to reiterate that
     undefined term, to describe the        the DOE definition takes precedence over
     source of refrigeration.               conflicting language in relevant
                                            industry standards, in the definition of
                                            ``room air conditioner'' and removes
                                            ``prime'' from the definition.
    --``Cooling mode,'' ``cooling          --Adds definition for ``cooling mode,''
     capacity,'' ``combined energy          ``cooling capacity,'' and ``combined
     efficiency ratio,'' are undefined      energy efficiency ratio.''
     terms.
Appendix F does not explicitly identify    Creates new section indicating the         Added by DOE (specifies
 the scope of the test procedure.           appendix applies to the energy             the applicability of the
                                            performance of room ACs.                   test procedure).
Provides that test unit be installed in a  --References ANSI/ASHRAE Standard 16-      Industry test procedure
 manner similar to consumer installation.   2016, specifying that the perimeter of     update and added by DOE
                                            louvered room ACs be sealed to the         (additional installation
                                            separating partition, consistent with      specifications).
                                            common testing practice.
                                           --Specifies that non-louvered room ACs be
                                            installed inside a compatible wall
                                            sleeve, with the manufacturer-provided
                                            installation materials.
Calculations for average annual energy     --Moves calculations for CEER and annual   Added by DOE (improve
 consumption, combined annual energy        energy consumption for each operating      readability).
 consumption, energy efficiency ratio       mode into appendix F.
 (``EER''), and CEER are located in 10     --Removes EER calculation and references
 CFR 430.23(f).                             entirely, as it is obsolete..
----------------------------------------------------------------------------------------------------------------

    The effective date for the amended test procedure adopted in this 
final rule is 30 days after publication of this document in the Federal 
Register. Representations of energy use or energy efficiency must be 
based on testing in accordance with the amended test procedure 
beginning 180 days after the publication of this final rule.

III. Discussion

A. Room Air Conditioner Definition

    DOE defines a ``room air conditioner'' as a consumer product, other 
than a packaged terminal air conditioner, which is powered by a single-
phase electric current and which is an encased assembly designed as a 
unit for mounting in a window or through the wall for the purpose of 
providing delivery of conditioned air to an enclosed space. It includes 
a prime source of refrigeration and may include a means for ventilating 
and heating. 10 CFR 430.2.
    In the June 2020 NOPR, DOE proposed adding the term ``cooled'' to 
the room AC definition, so that it refers to a system that ``. . . 
delivers cooled, conditioned air to an enclosed space . . .'' (emphasis 
added). 85 FR 35700, 35705 (Jun. 11, 2020). DOE believed that this 
revised wording would better represent the key function of a room AC, 
and would avoid any potential for the room AC definition to cover other 
indoor air quality systems that could be described as ``conditioning'' 
the air, but that would not be appropriately included within the scope 
of coverage of a room AC. Id.
    Additionally, as described previously, the previous definition of 
room AC specified that it includes a prime source of refrigeration. Id. 
DOE contended that using the word ``prime'' to describe the source of 
refrigeration in the previous definition was extraneous and could be 
construed as referring to a ``primary'' refrigeration system, a 
distinction that could inadvertently exclude future products that 
implement a different technology as the primary source of air 
conditioning, while implementing a refrigeration loop as the 
``secondary'' means of cooling or heating. Id. Primary and secondary 
means of conditioning air are not uncommon in certain refrigeration 
products and chiller systems; in fact, some room ACs with heating 
functionality implement a resistance heater as a supplemental form of 
heating to the primary heat pump, for use under extreme temperature 
conditions. DOE also noted that the recently codified portable AC 
definition was not limited to products with a prime source of 
refrigeration. Id. For these reasons, DOE proposed to remove the word 
``prime'' from the room AC definition.
    DOE also proposed to add to the phrase ``notwithstanding ASHRAE 16 
and RAC-1 (incorporated by reference; see Sec.  430.3),'' to the room 
air conditioner definition to reiterate that the DOE definition takes 
precedence over conflicting language in relevant industry standards. 
Id. Additionally, DOE proposed to reorganize the room AC definition to 
improve its readability. Id. The minor editorial revisions and 
specifications discussed in this section do not modify the scope of the 
room AC definition.
    In summary, DOE proposed to modify the room AC definition in 10 CFR 
430.2 to read as follows:
    ``Room air conditioner means a window-mounted or through-the-wall-
mounted encased assembly, other than a `packaged terminal air 
conditioner,' that delivers cooled, conditioned air to an enclosed 
space, and is powered by single-phase electric current. It includes a 
source of refrigeration and may include additional means for 
ventilating and heating, notwithstanding ASHRAE 16 and RAC-1 
(incorporated by reference; see Sec.  430. 3).''
    AHAM supported DOE's proposed amendments to the definition of room 
air conditioner which are consistent, though not verbatim, with the 
definitions in AHAM RAC-1-2020.

[[Page 16450]]

(AHAM, No. 13 at p. 6) \9\ DOE did not receive any comment in 
opposition to the proposed definition. For the reasons provided in the 
June 2020 NOPR, DOE adopts the definition of ``room air conditioner'' 
as proposed.
---------------------------------------------------------------------------

    \9\ A notation in the form ``AHAM, No. 13 at p. 6'' identifies a 
written comment: (1) Made by the Association of Home Appliance 
Manufacturers; (2) recorded in document number 13 that is filed in 
the docket of this test procedure rulemaking (Docket No. EERE-2017-
BT-TP-0012-0008) and available for review at https://www.regulations.gov; and (3) which appears on page 6 of document 
number 13.
---------------------------------------------------------------------------

    In the June 2020 NOPR, DOE also proposed to further specify the 
scope of coverage of appendix F by adding a new ``Scope'' section 
stating that appendix F contains the test requirements used to measure 
the energy performance of room ACs. In doing so, DOE would explicitly 
limit the scope of products tested in accordance with appendix F, and 
appendix F would be consistent with test procedures for other similar 
covered products in that it would include an introductory statement of 
scope.
    There were no comments pertaining to this addition. DOE adds this 
new provision to appendix F as proposed.

B. Industry Test Standards

    The DOE room AC test procedure in appendix F references the 
following two industry standards as the basis of the cooling mode test: 
ANSI/AHAM RAC-1-2008 and ANSI/ASHRAE Standard 16-2009. ANSI/AHAM RAC-1-
2008 provides the specific test conditions and associated tolerances, 
while ANSI/ASHRAE Standard 16-2009 describes the test setup, 
instrumentation and procedures used in the DOE test procedure. The 
cooling capacity, efficiency metric, and other indicators are 
calculated based on the results obtained through the application of 
these test methods, as described in appendix F and 10 CFR 430.23(f).
    Updated versions of AHAM RAC-1 and ANSI/ASHRAE Standard 16 have 
been released since the publication of the previous DOE test procedure. 
DOE assessed the updated versions of these standards to determine 
whether a DOE test procedure that adopted the updated industry 
standards would produce test results which measure energy efficiency of 
room ACs during a representative average use cycle without being unduly 
burdensome to conduct.
1. AHAM RAC-1
    The cooling mode test in appendix F is conducted in accordance with 
the testing conditions, methods, and calculations in Sections 4, 5, 
6.1, and 6.5 of ANSI/AHAM RAC-1-2008, as summarized in Table III-1.

   Table III-1--Summary of ANSI/AHAM RAC-1-2008 Sections Referenced in
                               Appendix F
------------------------------------------------------------------------
             Section                            Description
------------------------------------------------------------------------
4...............................  General test requirements, including
                                   power supply and test tolerances.
5...............................  Test conditions and requirements for a
                                   standard measurement test.
6.1.............................  Determination of cooling capacity in
                                   British thermal units per hour (``Btu/
                                   h'').
6.5.............................  Determination of electrical input in
                                   watts (``W'').
------------------------------------------------------------------------

    In the June 2020 NOPR, DOE proposed to incorporate by reference 
ANSI/AHAM RAC-1-2015 but limit the section references in appendix F to 
cooling mode-specific sections of ANSI/AHAM RAC-1-2015 (by excluding 
standby mode, off mode, and heating mode sections), and to update the 
section reference for measuring electrical power input. 85 FR 35700, 
35706 (Jun. 11, 2020). ANSI/AHAM RAC-1-2015 introduced new provisions 
for the measurement of standby mode and off mode power in Section 6.3, 
as well as the calculations for annual energy consumption and CEER in 
Sections 6.4 through 6.8. Because those updates do not impact the 
sections relevant to appendix F, DOE noted in the June 2020 NOPR that 
it expects that updating the references to ANSI/AHAM RAC-1-2015 in 
appendix F would not substantively affect test results or test burden. 
Id. ANSI/AHAM RAC-1-2015 added test requirements and conditions for 
standby mode and off mode, and heating mode in Sections 4 and 5, 
respectively. Because the DOE test procedure already addresses standby 
mode and off mode testing but not heating mode, which is now included 
in ANSI/AHAM RAC-1-2015, and to avoid confusion regarding the 
appropriate applicability of ANSI/AHAM RAC-1-2015, DOE proposed in the 
June 2020 NOPR to update the existing references to Sections 4 and 5 of 
ANSI/AHAM RAC-1-2008 in appendix F with references to only the cooling 
mode-specific subsections of ANSI/AHAM RAC-1-2015: Sections 4.1, 4.2, 
5.2.1.1, and 5.2.4. Id.
    DOE also noted in the June 2020 NOPR that the provisions in ANSI/
AHAM RAC-1-2015 for measuring electrical power input appear in Section 
6.2, rather than Section 6.5 of ANSI/AHAM RAC-1-2008. To reflect this 
change in section numbers, DOE proposed to update appendix F to 
reference Section 6.2 of ANSI/AHAM RAC-1-2015 to determine the 
electrical power input in cooling mode. Id.
    Since the June 2020 NOPR, AHAM RAC-1 has been updated and the 
current standard was released in September 2020 as AHAM RAC-1-2020, 
``Room Air Conditioners'' (AHAM RAC-1-2020). Unlike ANSI/AHAM RAC-1-
2015, AHAM RAC-1-2020 includes a test method for products with 
variable-speed compressor units; allows for voluntary testing inside a 
psychometric chamber; removes the tests for uncommon water-cooled units 
as well as the sweat, drip, and heating tests; and updates references 
to the most recent versions of other industry standards--AHAM RAC-1-
2020 references ANSI/ASHRAE Standard 16-2016, for reasons outlined 
below, and IEC Standard 62301 Second Edition for standby power 
measurement.\10\
---------------------------------------------------------------------------

    \10\ Copies of AHAM RAC-1-2020 can be purchased from the 
Association of Home Appliance Manufacturers at 1111 19th Street NW, 
Suite 402, Washington, DC 20036, 202-872-5955, or by going to https://www.aham.org.
---------------------------------------------------------------------------

    AHAM and GEA urged DOE to adopt AHAM RAC-1-2020. AHAM commented 
that this test procedure is identical to the existing test procedure 
waivers and the test procedure proposed in the June 2020 NOPR. AHAM 
further commented that uncommon practices such as water-cooled unit 
testing have been eliminated and tests irrelevant to energy and 
capacity measurement such as the sweat, drip, and heating tests have 
been removed from AHAM RAC-1-2015 such that the AHAM RAC-1-2020 
procedure is now consistent with the scope of the DOE test procedure. 
AHAM stated that AHAM RAC-1-2020 does allow for voluntary testing in a 
psychrometric (air-enthalpy) chamber, which DOE declined to propose for 
adoption in the June 2020 NOPR. AHAM and GEA further stated that 
adopting AHAM RAC-1-2020 as the DOE test procedure would not change the 
substance of DOE's proposed rule unless DOE were to consider allowing 
voluntary testing in a psychrometric chamber. AHAM asserted that AHAM 
RAC-1-2020 is not unduly burdensome to conduct and produces results 
that reflect the energy efficiency of room ACs during a representative 
average use cycle. (AHAM, Public Meeting Transcript, No. 12 at pp. 9-
10, 21; AHAM, No. 13 at p. 2; GEA, No. 18 at p. 1) \11\ AHAM further 
noted that, at the

[[Page 16451]]

time of the June 2020 NOPR comment period, AHAM RAC-1-2020 had not yet 
been published. However, in an additional comment submitted on December 
18, 2020, AHAM confirmed publication of AHAM RAC-1-2020 and that it is 
consistent with what AHAM stated it would be in their previous comment. 
(AHAM, No. 20 at pp. 1-2)
---------------------------------------------------------------------------

    \11\ A notation in the form ``AHAM, Public Meeting Transcript, 
No. 12 at pp. 9-10, 21'' identifies an oral comment that DOE 
received on August 6, 2020 during the public meeting, and was 
recorded in the public meeting transcript in the docket for this 
test procedure rulemaking (Docket No. EERE-2017-BT-TP-0012-0012). 
This particular notation refers to a comment (1) made by AHAM during 
the public meeting; (2) recorded in document number 12, which is the 
public meeting transcript that is filed in the docket of this test 
procedure rulemaking; and (3) which appears on pages 9 through 10 
and 21 of document number 12.
---------------------------------------------------------------------------

    Consistent with the comments received, DOE has determined that AHAM 
RAC-1-2020 generally provides results that are representative of an 
average use cycle of room ACs, including room ACs that are variable-
speed, and is not unduly burdensome to conduct. Therefore, DOE is 
adopting AHAM RAC-1-2020 as a referenced standard for the DOE room AC 
test procedure in appendix F, with modifications that DOE has 
determined are necessary to improve the representativeness and 
repeatability of the test procedure. The modifications are discussed in 
further detail in the sections that follow.
2. ANSI/ASHRAE Standard 16
    Appendix F previously referenced the 1983 version of ANSI/ASHRAE 
Standard 16, which was reaffirmed in 2009, for cooling mode temperature 
conditions, methods, and calculations.
    In the June 2020 NOPR, DOE proposed to reference sections of ANSI/
ASHRAE Standard 16-2016 in appendix F. 85 FR 35700, 35707 (Jun. 11, 
2020). In the June 2020 NOPR, DOE stated that ANSI/ASHRAE Standard 16-
2016 made a number of updates to the industry standard, including an 
air-enthalpy test approach as an alternative to the calorimeter 
approach, heating mode testing, additional clarification on placement 
of air samplers and thermocouples, stability requirement definitions, 
and new figures for additional tests and to also improve previous 
figures. 85 FR 35700, 35706 (Jun. 11, 2020). DOE initially determined, 
however, that the general cooling mode methodology remains unchanged. 
Id. The addition of the air-enthalpy approach provides more flexibility 
in conducting the tests, and the heating mode test is based on the 
tests previously included in ANSI/ASHRAE Standard 58-1986 ``Method of 
Testing for Rating Room Air Conditioner and Packaged Terminal Air 
Conditioner Heating Capacity.''
    In the June 2020 NOPR DOE stated that the general calorimeter test 
methodology is unchanged in ANSI/ASHRAE Standard 16-2016 and 
tentatively determined that the additional detail and clarifying 
updates would improve the repeatability and reproducibility of test 
results. Id. ANSI/ASHRAE Standard 16-2016 provides best practices for 
thermocouple and air sampler placement, recognizing that the unique 
characteristics of each test chamber will result in particular air flow 
and temperature gradients in the chamber, influenced by the interaction 
of the reconditioning equipment and the test unit. These practices 
address the distances for placing the air sampler from the unit 
discharge points and thermocouple spacing on the air sampling device. 
Figure 1 and Figure 2 of ANSI/ASHRAE Standard 16 are updated with 
additional details and references. Section 5 of ANSI/ASHRAE Standard 
16-2016 includes additional provisions regarding instrument calibration 
and accuracy. ANSI/ASHRAE Standard 16-2016 requires measuring data at 
more frequent intervals to minimize the sensitivity of the final 
average value to variations in individual data points, resulting in a 
more repeatable and reproducible test procedure. Based on DOE's 
experience with testing at various test laboratories, requiring more 
frequent data measurements will have minimal impact on testing burden 
because most testing laboratories are already using a data acquisition 
system that has the capability to take more frequent measurements.
    In urging DOE to incorporate AHAM RAC-1-2020, AHAM and GEA 
supported the incorporation of relevant sections of the 2016 version of 
ANSI/ASHRAE Standard 16, ANSI/ASHRAE Standard 16-2016. In AHAM RAC-1-
2020, AHAM adopted the most current industry standards, including ANSI/
ASHRAE Standard 16-2016. (AHAM, Public Meeting Transcript, No. 12 at 
pp. 9-10; AHAM, No. 13 at p. 2; GEA, No. 18 at p. 1)
    For these reasons provided in the June 2020 NOPR and in this 
document, and in consideration of the comments received in support of 
ANSI/ASHRAE Standard 16-2016, DOE is updating appendix F to reference 
ANSI/ASHRAE Standard 16-2016.
    ANSI/ASHRAE Standard 16-2016 also updates requirements for the 
accuracy of instruments. The 2009 reaffirmation of ANSI/ASHRAE Standard 
16 requires, in Section 5.4.2, accuracy to 0.5 percent of 
the quantity measured for instruments used for measuring all electrical 
inputs to the calorimeter compartments. ANSI/ASHRAE Standard 16-2016, 
in Section 5.6.2, no longer broadly includes any inputs and instead 
includes more specific language (e.g., it explicitly mentions the power 
input to the test unit, heaters, and other cooling load contributors). 
To ensure that the electrical input for all key equipment is properly 
measured, in the June 2020 NOPR, DOE proposed to maintain the accuracy 
requirement of 0.5 percent of the quantity measured for 
instruments used for measuring all electrical inputs, to the test unit, 
all reconditioning equipment, and any other equipment that operates 
within the calorimeter walls. 85 FR 35700, 35707 (Jun. 11, 2020).
    No comments were received pertaining to this reference. While DOE 
is incorporating by reference ANSI/ASHRAE Standard 16-2016 generally, 
DOE maintains that the instrument accuracy of 0.5 percent 
of the quantity measured is applicable to all devices measuring 
electrical input for the room AC test procedure, and not just those 
explicitly mentioned in ANSI/ASHRAE Standard 16-2016.
3. ANSI/ASHRAE Standards 41.1, 41.2, 41.3, 41.6, and 41.11
    ANSI/ASHRAE Standard 16-2016 references industry standards in 
specifying certain test conditions and measurement procedures. In the 
June 2020 NOPR, DOE proposed to incorporate those industry standards 
specified in the relevant sections of ANSI/ASHRAE Standard 16-2016. 
Specifically, DOE proposed to incorporate by reference: ANSI/ASHRAE 
Standard 41.1-2013, ``Standard Method for Temperature Measurement, as 
referenced in ANSI/ASHRAE Standard 16-2016 Section 5.1.1 for all 
temperature measurements except for dew-point temperature; ANSI/ASHRAE 
Standard 41.2-1987 (RA 1992), ``Standard Methods for Laboratory Airflow 
Measurement,'' as referenced in Section 5.5.1 of ANSI/ASHRAE Standard 
16-2016 for airflow measurements; ANSI/ASHRAE Standard 41.3-2014, 
``Standard Methods for Pressure Measurement,'' as referenced in Section 
5.2.5 of ANSI/ASHRAE Standard 16-2016 for the prescribed use of 
pressure measurement instruments; ANSI/ASHRAE Standard 41.6-2014, 
``Standard Method for Humidity Measurement,'' as referenced in Section 
5.1.2 of ANSI/ASHRAE Standard 16-2016 for measuring dew-point 
temperatures using hygrometers; and ANSI/ASHRAE Standard 41.11-2014, 
``Standard Methods for Power Measurement,'' as referenced in Section 
5.6.4 of ANSI/ASHRAE Standard 16-2016 regarding the use and application 
of electrical instruments during tests.

[[Page 16452]]

Incorporating these standards would clarify which versions of the 
standards are required to conduct tests according to the procedure in 
appendix F. 85 FR 35700, 35707 (Jun. 11, 2020).
    DOE received no comments on the proposal to incorporate ANSI/ASHRAE 
Standard 41.1-2013, ANSI/ASHRAE Standard 41.2-1987 (RA 1992), ANSI/
ASHRAE Standard 41.3-2014, ANSI/ASHRAE Standard 41.6-2014, and ANSI/
ASHRAE Standard 41.11-2014 in appendix F. DOE is adopting its proposal 
to incorporate those industry standards appendix F.

C. Variable-Speed Room Air Conditioner Test Procedure

    Historically, room ACs have been designed using a single-speed 
compressor, which operates at full cooling capacity while the 
compressor is on. To match the cooling load of the space, which in most 
cases is less than the full cooling capacity of the compressor, a 
single-speed compressor cycles on and off. This cycling behavior 
generally introduces inefficiencies in refrigeration system 
performance. Variable-speed room ACs became available on the U.S. 
market in 2018. These models employ an inverter compressor that can 
reduce its speed to provide continuous cooling that matches the 
observed cooling load. Accordingly, a variable-speed compressor runs 
continuously, adjusting its speed up or down as required. In addition 
to reducing or eliminating cycling inefficiencies, in a variable-speed 
unit operating at reduced capacity the evaporator and condenser heat 
exchange effectiveness are improved, since they are handling reduced 
loads, thereby improving compressor efficiency.
    The previous DOE test procedure measured the performance of a room 
AC while operating under a full cooling load; i.e., the compressor is 
operated continuously in its ``on'' state. As a result, the DOE test 
does not capture any inefficiencies due to compressor cycling. 
Consequently, the efficiency gains that can be achieved by variable-
speed room ACs due to the avoidance of cycling losses were not measured 
by the previous test procedure.
    In the June 2020 NOPR, DOE presented the results of its 
investigative testing to quantify the impacts of cycling losses and the 
relative efficiency benefits of a variable-speed compressor. 85 FR 
35700, 35707-35708 (Jun. 11, 2020). DOE compared the performance of two 
variable-speed room ACs from two different manufacturers, with single-
speed room AC of similar capacity from the same manufacturers, under 
reduced cooling load conditions.\12\ DOE installed each room AC in a 
calorimeter test chamber, set the unit thermostat to 80 degrees 
Fahrenheit ([deg]F), and applied a range of fixed cooling loads to the 
indoor chamber.^{13 14} The calorimeter chamber conditioning 
system was configured to apply a fixed cooling load rather than 
maintaining constant indoor chamber temperature, thereby allowing the 
test unit to maintain the target indoor chamber temperature by 
adjusting its cooling operation in response to the changing temperature 
of the indoor chamber.\15\ Figures III-1 and III-2 show the efficiency 
gains and losses for the range of reduced cooling loads tested for each 
unit, relative to the performance of each unit as tested using appendix 
F.\16\
---------------------------------------------------------------------------

    \12\ The first room AC was tested under the 95 [deg]F outdoor 
test condition (Figure III-1), the second under the 82 [deg]F 
outdoor test condition (Figure III-2), and the change in EER and 
load from full-load used for each test was determined based on an 
appendix F test with the noted outdoor test condition.
    \13\ A cooling load is ``applied'' by adjusting and fixing the 
rate of heat added to the indoor test chamber to a level at or below 
that of the nominal cooling capacity of the test unit.
    \14\ This approach aims to represent a consumer installation in 
which the amount of heat added to a room may be less than the rated 
cooling capacity of the room AC (e.g., electronics or lighting 
turned off, people or pets leaving the room, and external factors 
such as heat transfer through walls and windows reducing with 
outdoor temperature).
    \15\ DOE notes that this test chamber configuration differs from 
the configuration used in appendix F. Appendix F uses a constant-
temperature configuration, in which the indoor chamber temperature 
is held fixed (i.e., the indoor temperature does not drop while the 
room AC is operational).
    \16\ For single-speed room ACs under appendix F, the thermostat 
is typically set as low as possible to ensure that the unit provides 
maximum cooling during the cooling mode test period.

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

[[Page 16453]]

BILLING CODE 3510-33-P
[GRAPHIC] [TIFF OMITTED] TR29MR21.000

[GRAPHIC] [TIFF OMITTED] TR29MR21.001

BILLING CODE 3510-33-C
    In Figures III-1 and III-2, the distance of each data point from 
the x-axis represents the change in efficiency relative to the full-
load efficiency for each unit at the outdoor test condition used.\12\ 
The single-speed room AC efficiency decreases in correlation with a 
reduction in cooling load, reflecting cycling losses that become 
relatively larger as the cooling load decreases. In contrast, the 
efficiency of the variable-speed room AC increases as the cooling load 
decreases, reflecting the lack of cycling losses and inherent 
improvements in system efficiency associated with lower-capacity 
operation. As explained in the June 2020 NOPR, these results 
demonstrate that the previous test procedure does not account for 
significant efficiency gains that variable-speed room ACs can achieve 
under reduced temperature conditions. 85 FR 35700, 35708 (Jun. 11, 
2020).

[[Page 16454]]

1. Methodology
    In the June 2020 NOPR, DOE proposed a test method to measure the 
efficiency gains for variable-speed room ACs that are not captured by 
the previous DOE test procedure. 85 FR 35700, 35708-35709 (Jun. 11, 
2020). DOE based the proposed method on the alternate test procedure 
required under the LG Waiver and the Midea Waiver, (collectively, ``the 
waivers'') for specified basic models of variable-speed room ACs. 84 FR 
20111 (May 8, 2019) and 85 FR 31481 (May 26, 2020). The alternate test 
procedure proposed in the NOPR, which is substantively consistent with 
the waivers, is generally consistent with the approach in AHAM RAC-1-
2020, as discussed in section III.B.1 of this document. As discussed in 
this section below, DOE is adopting the AHAM RAC-1-2020 test procedure 
in this final rule, with some modifications for the purposes of 
improved representativeness and repeatability, which provides a 
methodology for obtaining a reported CEER value by adjusting the 
intermediate CEER value as tested at the 95 [deg]F test condition 
according to appendix F using a ``performance adjustment factor'' 
(``PAF'').
    Conceptually, the approach for variable-speed room ACs adopted in 
this final rule involves measuring performance over a range of four 
test conditions, applying user settings to achieve the full compressor 
speed at two test conditions and manufacturer-provided instructions to 
achieve a reduced fixed compressor speed at the other two test 
conditions, which collectively comprise representative use. These 
temperature conditions were derived from the DOE test procedure for 
central air conditioners with variable-speed compressors and include 
three reduced-temperature test conditions--under which variable-speed 
room ACs perform more efficiently than single-speed room ACs--and the 
test condition specified in the previous test procedure.\17\ The 
single-speed room AC test procedure, however, does not factor in the 
reduced-temperature test conditions under which single-speed units also 
will perform more efficiently (although not as well as variable-speed 
room ACs). As a result, comparing variable-speed performance at all 
test conditions against a single-speed unit at the highest-temperature 
test condition would not yield a fair comparison. The PAF represents 
the average relative benefit of variable-speed over single-speed across 
the whole range of test conditions. It is applied to the measured 
variable-speed room AC performance only at the high-temperature test 
condition to provide a comparison to the single-speed CEER metric based 
on representative use.
---------------------------------------------------------------------------

    \17\ The central air conditioner test procedure can be found at 
Title 10 of the CFR part 430, subpart B, appendix M, ``Uniform Test 
Method for Measuring the Energy Consumption of Central Air 
Conditioners and Heat Pumps.''
---------------------------------------------------------------------------

    The steps for determining a variable-speed room AC's PAF are 
summarized as follows:
     Measure the capacity and energy consumption of the sample 
unit at the single test condition used for single-speed room ACs (95 
[deg]F dry-bulb outdoor temperature), with the compressor speed at the 
maximum (full) speed, achieved using the user settings (i.e., setpoint) 
selected in accordance with the appendix F test.
     Measure the capacity and energy consumption of the sample 
unit at three additional test conditions (92 [deg]F, 87 [deg]F, and 82 
[deg]F dry-bulb outdoor temperature),\18\ with compressor speed at full 
using the user settings in accordance with appendix F, and fixed at 
intermediate and minimum (low) speed, respectively.\19\ Using 
theoretically determined adjustment factors,\20\ calculate the 
equivalent performance of a single-speed room AC with the same cooling 
capacity and electrical power input at the 95 [deg]F dry-bulb outdoor 
temperature, with no cycling losses (i.e., a ``theoretical comparable 
single-speed'' room AC) for each of the three test conditions.
---------------------------------------------------------------------------

    \18\ The additional reduced-temperature conditions are described 
further in section III.C.2 of this document.
    \19\ The fixed compressor speeds are described further in 
section III.C.3 of this document.
    \20\ These adjustment factors are described further in section 
III.C.4 of this document.
---------------------------------------------------------------------------

     Calculate the annual energy consumption in cooling mode at 
each of the four cooling mode test conditions for a variable-speed room 
AC, as well as for a theoretical comparable single-speed room AC with 
no cycling losses. This theoretical single-speed room AC would perform 
the same as the variable-speed test unit at the 95 [deg]F test 
condition but perform differently at the other test conditions.
     Calculate an individual CEER value at each of the four 
cooling mode test conditions for the variable-speed room AC, as well as 
for a theoretical comparable single-speed room AC with no cycling 
losses.
     Using cycling loss factors derived from an industry test 
procedure and DOE test data,\21\ calculate an adjusted CEER value at 
each of the four cooling mode test conditions for a theoretical 
comparable single-speed room AC, which includes cycling losses.
---------------------------------------------------------------------------

    \21\ The derivation of these cycling loss factors is described 
in more detail in section III.C.5 of this document.
---------------------------------------------------------------------------

     Using weighting factors \22\ representing the fraction of 
time spent and cooling load expected at each test condition in 
representative real-world operation, calculate a weighted-average CEER 
value (reflecting the weighted-average performance across the four test 
conditions) for the variable-speed room AC, as well as for a 
theoretical comparable single-speed room AC.
---------------------------------------------------------------------------

    \22\ These ``fractional temperature bin'' weighting factors are 
described in more detail in section III.C.6 of this document.
---------------------------------------------------------------------------

     Using these weighted-average CEER values for the variable-
speed room AC and a theoretical comparable single-speed room AC, 
calculate the PAF as the percent improvement of the weighted-average 
CEER value of the variable-speed room AC compared to a theoretical 
comparable single-speed room AC.\23\ This PAF represents the 
improvement resulting from the implementation of a variable-speed 
compressor.
---------------------------------------------------------------------------

    \23\ The performance adjustment factor is described in more 
detail in section III.C.7 of this document.
---------------------------------------------------------------------------

    DOE's approach to addressing the performance improvements 
associated with variable-speed room ACs is generally consistent with 
the alternate test procedures required in the waivers and with the test 
procedure updates proposed in the June 2020 NOPR.\24\ The following 
sections of this document describe each aspect of the approach in 
greater detail.
---------------------------------------------------------------------------

    \24\ DOE estimates that the CEER value for a variable-speed room 
AC determined in accordance with the amendments adopted in this 
final rule would be about 1.6 percent greater than the CEER value 
determined in accordance with the June 2020 NOPR proposed test 
approach, which was consistent with the alternate test procedure 
prescribed in a Decision and Order granting a waiver from the DOE 
test procedure for room air conditions to LG Electronics (84 FR 
2011; May 8, 2019) and in an Interim Waiver granted to GD Midea Air 
Conditioning Equipment Co. LTD (84 FR 68159; Dec. 13, 2109). 85 FR 
35700, 35709.
---------------------------------------------------------------------------

2. Test Conditions
    As discussed previously, variable-speed room ACs provide improved 
performance at reduced cooling loads by reducing the compressor speed 
to match the load, thereby improving system efficiency. DOE recognizes 
that throughout the cooling season, room ACs operate under various 
outdoor temperature conditions. DOE also asserts that these varying 
outdoor conditions present a range of reduced cooling loads in the 
conditioned space, under which a variable-speed room AC would perform 
more efficiently than a

[[Page 16455]]

theoretical comparable single-speed room AC.
    To measure this improved performance, in the June 2020 NOPR, DOE 
proposed a test procedure for variable-speed room ACs that adds three 
test conditions (92 [deg]F, 87 [deg]F, and 82 [deg]F dry-bulb outdoor 
temperatures and 72.5 [deg]F, 69 [deg]F, and 65 [deg]F wet-bulb outdoor 
temperatures, respectively) to the existing 95 [deg]F test condition, 
consistent with the test conditions in the waivers. 85 FR 35700, 35709 
(Jun. 11, 2020). These temperatures represent potential outdoor 
temperature conditions between the existing 95 [deg]F test condition 
and the indoor setpoint of 80 [deg]F. These additional test conditions 
are also consistent with the representative temperatures for bin 
numbers 6, 5, and 4 in Table 19 of DOE's test procedure for central air 
conditioners at appendix M. See id.
    Rice expressed concern that the temperature range of the proposed 
test points in the NOPR is too narrow, as they are based on only four 
of the eight cooling-mode outdoor-temperature bins of the 2017 version 
of Air-Conditioning, Heating and Refrigeration Institute (``AHRI'') 
Standard 210/240, (``AHRI Standard 210/240''), ``Performance Rating of 
Unitary Air-conditioning & Air-source Heat Pump Equipment,'' and a 
wider temperature range for testing is needed. Rice commented that the 
binned loads in AHRI Standard 210/240 were determined for more typical 
indoor dry-bulb settings, but the analysis in AHRI Standard 210/240 
uses 80 [deg]F dry-bulb and 67 [deg]F wet-bulb indoor ratings data. 
Rice recommended that a more complete range of temperature bins and 
their associated cooling load hours from AHRI Standard 210/240 should 
be considered for the CEER analysis. (Rice, No. 17 at pp. 1-2; see also 
Rice, Preliminary Analysis,\25\ No. 25 at p. 2) Rice recommended 
accounting for the fractional loads and hours of outdoor-temperature 
bins 67, 72, and 77 [deg]F with a lower temperature test condition with 
an outdoor dry-bulb temperature of 75 [deg]F be used in place of the 92 
[deg]F dry-bulb temperature test condition. Rice asserted that there 
was not sufficient justification to test at full speed test at 92 
[deg]F, as it is close to a full speed test at the 95 [deg]F dry-bulb 
temperature test condition. Rice recommended that the fractional bin 
hours of the 92, 97, and 102 [deg]F outdoor-temperature bins should be 
applied to the 95 [deg]F dry-bulb temperature test condition, which is 
actually the midpoint temperature of the lower two bins. (Rice, No. 17 
at pp. 1-2; see also Rice, Preliminary Analysis, No. 25 at p. 2)
---------------------------------------------------------------------------

    \25\ The notation ``Preliminary Analysis'' indicates that the 
comment is filed in the docket of the Energy Conservation Standards 
for Room Air Conditioners Preliminary Analysis rulemaking (EERE-
2014-BT-STD-0059) and available for review at https://www.regulations.gov.
---------------------------------------------------------------------------

    DOE recognizes that the test conditions proposed in the June 2020 
NOPR do not encompass the full range of bin temperature in Table 16 of 
ANSI/AHRI Standard 210/240. The temperature bins in Table 16 of ANSI/
AHRI Standard 201/240 apply to central air conditioners, which are 
fixed appliances, installed year-round, built into homes, and operate 
based on a central thermostat to maintain a relatively constant 
temperature throughout the conditioned space. Room ACs are instead, 
often seasonally, installed in a single room; operate based on an 
internal thermostat when turned on, typically only during the cooling 
season; and may be readily turned off when the room is not occupied. 
Consumers are more acutely aware of a room AC's operation than that of 
a central air conditioner; as they are used to cool a single room, 
often only when that room is occupied; make more noise; and are visible 
in the room. For these reasons, consumers are more likely to rely on a 
room AC at the higher temperatures in the range of bin temperatures in 
Table 16 of ANSI/AHRI Standard 210/240, as compared to at the lower 
temperatures in the bin. At the lower temperatures, consumers using 
room ACs are more likely than consumers with central air conditioners 
to open a window or operate the unit with only the fan on to circulate 
indoor air when cooler outdoor air is available to draw in through a 
``fresh air'' vent, making the lower temperature bins less 
representative of room AC operation in cooling mode. DOE also notes 
that the temperature conditions proposed in the June 2020 NOPR are 
consistent with the industry-accepted test procedure, AHAM RAC-1-2020.
    For the reasons discussed in this section, DOE is adopting the four 
temperature conditions for variable-speed room ACs proposed in the June 
2020 NOPR.
3. Variable-Speed Compressor Operation
    The DOE test procedure maintains fixed temperature and humidity 
conditions in the indoor chamber and requires configuring the test unit 
settings (i.e., setpoint and fan speed), to achieve maximum cooling 
capacity. See Section 3.1 of appendix F, as amended, and Section 
6.1.1.4 of ANSI/ASHRAE Standard 16-2016. Under these conditions, units 
under test may operate continuously at their full cooling capacity, 
even at the reduced outdoor temperature test conditions described in 
section III.C.2 of this document, without the compressor cycling (for 
single-speed units) or compressor speed reduction (for variable-speed 
units) that would be expected under real-world operation. Therefore, in 
this final rule, DOE establishes additional test procedure adjustments, 
beyond reduced outdoor temperature test conditions, to fully capture 
the energy efficiency of variable variable-speed room ACs at reduced 
cooling loads.
    As described previously, in a typical consumer installation, 
reduced outdoor temperatures would result in reduced indoor cooling 
loads. A test that would provide constant reduced cooling loads could 
be considered, but as discussed below in section III.E.1.e of this 
document, DOE concludes such a test would not be feasible at this time. 
Instead, in the June 2020 NOPR, DOE proposed adopting a test that 
requires fixing the variable-speed room AC compressor at particular 
compressor speeds that would reflect the expected load under each of 
the four test conditions, as described further in the following 
sections. 85 FR 35700, 35709 (Jun. 11, 2020).
a. Compressor Speeds
    In the June 2020 NOPR, to ensure the compressor speeds are 
representative of actual speeds at the expected cooling loads at each 
of the outdoor test conditions, DOE proposed requiring that the 
compressor speed of a variable-speed room AC be set to full speed at 
the two highest outdoor temperature test conditions (based on test 
AFull at 95 [deg]F and test BFull at 92 [deg]F 
from Table 8 of AHRI Standard 210/240), at intermediate compressor 
speed at the 87 [deg]F test condition (based on test EInt), 
and at low compressor speed at the 82 [deg]F test condition (based on 
test DLow), consistent with the tests and requirements in 
Table 8 of AHRI Standard 210/240, which specifies representative test 
conditions and the associated compressor speeds for variable-speed 
unitary air conditioners. 85 FR 35700, 35709 (Jun. 11, 2020).
    The California IOUs questioned the representativeness of testing 
variable-speed room ACs using fixed-speed testing and referenced 
statements from the 2019 Appliance Standards and Rulemaking Federal 
Advisory Committee's Variable Refrigerant Flow Working Group that such 
testing was not representative of field performance, largely because 
the control settings used during testing did not match the operational 
behavior of units outside of

[[Page 16456]]

their test mode.\26\ The California IOUs also cited research conducted 
at the Bundesanstalt f[uuml]r Materialforschung und -pr[uuml]fung 
(``BAM'') Federal Institute for Material Research and Testing in 
Germany, in which all but one of the seven residential mini-split air 
conditioners with variable-speed equipment that were tested consumed 
significantly higher energy when consumer-adjustable, built-in controls 
were used relative to fixed controls (i.e., controls that set the 
compressor speed using a manufacturer-provided remote or code).\27\ The 
California IOUs stated that researchers reported many units reverted to 
on-off (cycling) operation when the outdoor temperatures were between 
77 and 86 [deg]F. The California IOUs encouraged DOE to amend the test 
procedure to improve representativeness and facilitate product 
comparison with air conditioners tested under appendix M1 \28\ to 10 
CFR part 430. The California IOUs further encouraged DOE, in 
collaboration with industry and energy efficiency advocates, to update 
the test procedure for room ACs by requiring the measurement of units 
at the 95 [deg]F test condition under their native controls to see the 
speeds at which the compressors operate to ensure accurate testing. 
(California IOUs, Public Meeting Transcript, No. 12 at pp. 30-33; 
California IOUs, No. 14 at p. 4)
---------------------------------------------------------------------------

    \26\ All published documents directly related to the 2019 
Appliance Standards and Rulemaking Federal Advisory Committee's 
Variable Refrigerant Flow Working Group test data are available in 
docket EERE-2018-BT-STD-0003 (https://regulations.gov/docket/EERE-2018-BT-STD-0003).
    \27\ Palkowski, Carsten & Schwarzenberg, Stefan & Simo, Anne. 
(2019). ``Seasonal cooling performance of air conditioners: The 
importance of independent test procedures used for MEPS and 
labels.'' International Journal of Refrigeration. 104. 10.1016/
j.ijrefrig.2019.05.021.
    \28\ Appendix M is the currently applicable DOE test procedure 
for central air conditioners and heat pumps. Appendix M1 will become 
the test procedure mandatory for use for central air conditioners 
and heat pumps on or after January 1, 2023. Appendix M and appendix 
M1 contain similar test conditions, so DOE's evaluation of comments 
relative to appendix M applies equally to appendix M1.
---------------------------------------------------------------------------

    DOE notes that the findings of the 2019 Appliance Standards and 
Rulemaking Federal Advisory Committee's Variable Refrigerant Flow 
Working Group applied to variable-refrigerant flow multi-split air 
conditioners and heat pumps, which have different applications and 
typical use cases from room ACs and which typically provide cooling to 
multiple locations within a home. Based on a review of the market, room 
ACs are typically marketed for temporary seasonal installation \29\ for 
the purpose of cooling a single room,\30\ whereas multi-split systems 
are permanent and may be used as part of a larger whole-home cooling 
system. For these reasons, the comparability of the room AC test 
procedure and the test procedure for multi-split air conditioners was 
not further considered in this final rule.
---------------------------------------------------------------------------

    \29\ Only 14 room AC models on the market have reverse-cycle 
heating (a heating technology implemented in other electric cooling 
products intended for year-round operation), compared to the 1,825 
total room AC models on the market according to DOE's CCMS database, 
as accessed February 10, 2021. This indicates that room AC are 
overwhelmingly used for seasonal cooling.
    \30\ Room air conditioners are typically purchased by selecting 
cooling capacity to match the size of a single room to be cooled. 
See, for example, the ENERGY STAR buying guidance at: https://www.energystar.gov/products/heating_cooling/air_conditioning_room.
---------------------------------------------------------------------------

    During investigative testing, two variable-speed room AC models 
from different manufacturers performed differently under fixed 
temperature conditions with the user settings (e.g., fan speed, grille 
position) and thermostat setpoint selected in accordance with the 
appendix F test (``appendix F setpoint''), relative to the fixed 
controls, as specified in the waivers and proposed in the June 2020 
NOPR. When operating under fixed temperature conditions and the 
appendix F setpoint (i.e., the setpoint which resulted in the maximum 
cooling capacity, per the requirement in ASHRAE 16-2016), one unit was 
10 percent more efficient than when using fixed controls at the 95 
[deg]F test condition as specified in the waivers. The second unit was 
11 percent less efficient when operated under fixed temperature 
conditions and the appendix F setpoint than when using fixed controls. 
Based on the observed differences in the room AC performance when using 
the fixed full compressor speed as compared to the fixed temperature 
conditions and appendix F setpoint, DOE is requiring the use of fixed 
chamber temperature conditions with a unit setpoint of 75 [deg]F for 
the ``full speed'' test, as use of this test setup improves 
representativeness and reproducibility of results. While AHAM RAC-1-
2020 requires the use of a fixed full compressor speed set in 
accordance with manufacturer instructions, as described above, DOE is 
adopting a revised approach in this final rule to improve 
representativeness and repeatability. Using a constant temperature test 
with a thermostat setpoint of 75 [deg]F, in place of the fixed ``full'' 
compressor speed, will ensure measured performance reflects the 
expected performance of the unit when using a common setpoint selected 
in the field at 95 [deg]F and 92 [deg]F outdoor temperatures, where DOE 
expects these units to be operating at full speed.
    However, DOE is not requiring the use of fixed temperature 
conditions, user settings, and thermostat set at 75 [deg]F for the 87 
[deg]F and 82 [deg]F outdoor test condition tests, because those tests 
represent lower cooling load conditions and would require a load-based 
test to represent expected unit performance at the associated reduced 
loads without fixing the compressor speed. As discussed in section 
III.E.1.d of this document, a load-based test is not feasible at this 
time. Therefore, the reduced outdoor conditions tests are conducted 
with fixed compressors speeds that are representative of performance at 
the expected loads at those reduced conditions. The fixed compressor 
speeds are defined based on the resulting cooling capacity using fixed 
temperature condition tests and a unit thermostat setpoint at 75 
[deg]F, as discussed in section III.D of this document.
    Therefore, in this final rule, DOE is requiring fixed temperature 
conditions with a unit thermostat setpoint of 75 [deg]F, rather than 
using manufacturer instructions to fix the compressor speed for 
variable-speed room ACs at the 95 [deg]F and 92 [deg]F test conditions, 
while requiring that the compressor speed be fixed to intermediate 
speed at the 87 [deg]F test condition and low speed at the 82 [deg]F 
test condition, as discussed and defined in section III.D.1.b of this 
document and in Sections 2.15 and 2.16 in appendix F, respectively.
b. Instructions for Fixing Compressor Speeds
    Setting and maintaining a specific compressor speed for a variable-
speed room AC is not typically possible without special control 
instructions from manufacturers.
    In the June 2020 NOPR, DOE proposed to require that manufacturers 
provide in their certification reports the control settings for each 
variable-speed room AC basic model required to achieve the fixed 
compressor speed for each test condition, consistent with the approach 
in the waivers. 85 FR 35700, 35709 (Jun. 11, 2020). These include the 
compressor frequency setpoints at each test condition, instructions 
necessary to maintain the compressor speeds required for each test 
condition, and the control settings used for the variable components. 
Id. DOE received no comments on the proposal.
    Due to the change to require that user settings be implemented to 
achieve maximum cooling capacity when testing at the 95 [deg]F and 92 
[deg]F test conditions, as

[[Page 16457]]

discussed in section III.C.3.a of this document, DOE is requiring that 
the manufacturer provide in the certification reports the control 
settings to achieve the fixed compressor speed at only the 87 [deg]F 
and 82 [deg]F test conditions, thus minimizing certification burden on 
manufacturers.
c. Boost Compressor Speed
    DOE is aware that a variable-speed room AC's full compressor speed 
may not be its fastest speed. In particular, the fastest compressor 
speed may be one that is automatically initiated and used for a brief 
period of time to rapidly reduce the indoor temperature to within 
typical range of the setpoint. This compressor speed is referred to as 
``Boost Compressor Speed'' in AHRI Standard 210/240 and is defined as a 
speed faster than full compressor speed, at which the unit will operate 
to achieve increased capacity.
    Manufacturers have described boost compressor speed as used for 
limited periods of time on occasions where the indoor room temperature 
is far out of normal operating range of the setpoint. Once the indoor 
room temperature is within the typical operating range of the setpoint, 
the room AC returns to the ``Full Compressor Speed,'' as defined in 
AHRI Standard 210/240. Because of the typical limited duration of boost 
compressor speed, it would not significantly contribute to annual 
energy consumption. AHRI Standard 210/240 does not measure boost 
compressor speed energy use, and in a final rule published on June 8, 
2016, DOE declined to include provisions for measuring boost compressor 
speed energy use in the central air conditioner test procedure. 81 FR 
36992, 37029. DOE stated that accurately accounting for boost 
compressor speed requires more careful consideration of test procedure 
changes beyond simply allowing the compressor speed to vary for the 
test conditions required by the previous procedure, and that DOE would 
consider such revisions in a future rulemaking. Id.
    Accordingly, DOE did not propose to measure boost compressor speed 
performance and energy consumption in appendix F in the June 2020 NOPR, 
because of the minimal expected operating hours in boost compressor 
mode and the subsequent insignificant impact on annual energy 
consumption and performance, to harmonize with AHRI Standard 210/240, 
the industry approach for variable-speed compressor testing, and 
because DOE has previously opted to forgo including it for other air 
conditioning products. 85 FR 35700, 35710 (Jun. 11, 2020).
    AHAM supported DOE's proposal to forgo measuring boost compressor 
speed for variable-speed room ACs. AHAM commented that boost compressor 
speed is used for limited periods of time on occasions where the indoor 
room temperature is far out of normal operating range of the setpoint. 
AHAM stated that once the indoor temperature is within the typical 
operating range of the setpoint, the room AC will return to full 
compressor speed. AHAM asserted that accounting for boost compressor 
speed would likely not impact annual energy consumption and performance 
and, thus, additional test burden would not have a corresponding energy 
savings or consumer benefit. According to AHAM, EPCA does not require 
testing of every available mode; EPCA only requires testing of the 
average consumer use cycle, which boost mode is not according to data 
available. (AHAM, Public Meeting Transcript, No. 12 at p. 53; AHAM, No. 
13 at p. 5)
    The Joint Commenters, the California IOUs, NEAA, and Rice commented 
in favor of capturing boost compressor speed operation in the test 
procedure. (ASAP, Public Meeting Transcript, No. 12 at p. 12; Joint 
Commenters, No. 15 at pp. 2-3; California IOUs, Public Meeting 
Transcript, No. 12 at pp. 23-24; NEAA, Public Meeting Transcript, No. 
12 at pp. 42-48, 56; Rice, No. 17 at p. 3) The California IOUs 
commented that boost mode operation may be a significant portion of how 
consumers actually use the product. (California IOUs, Public Meeting 
Transcript, No. 12 at pp. 23-24)
    Rice commented that boost compressor capability requires the 
inverter/motor drives to be oversized to handle the increased torque 
and power draw, resulting in more performance drop off at lighter 
loads. Rice stated that this performance drop-off supports why limiting 
variable-speed rating tests to no lower than 82 [deg]F may preclude 
future introduction of more efficient variable-speed drive/motor 
combinations in compressors that have larger performance advantages 
below 50-percent capacity reduction. Rice commented that boost 
compressor speed capability not only can result in unnecessary energy 
use and increased power demand during rapid cooldown but can also 
penalize unit performance at lower outdoor temperatures where 
significant amounts of cooling are delivered. Rice further commented 
that there is no incentive for manufacturers to limit or drop boost 
compressor speed features from their designs without some performance 
penalty applied to units with boost operation, especially if the lowest 
test point remains at the 82 [deg]F test condition with 50 percent of 
rated capacity loading. Rice suggested provisions might also be 
included for suitable performance credits for variable-speed units that 
allow boost mode to be turned off by the homeowner or utility to reduce 
unnecessary energy use and/or peak demand. (Rice, No. 17 at pp. 2-3)
    ASAP, NEAA, the Joint Commenters, and Rice encouraged DOE to 
further investigate the use and timing of boost compressor speed, 
expressing concern that not testing it may result in excluding a 
significant component of the energy use of these units. (ASAP, Public 
Meeting Transcript, No. 12 at p. 12; NEAA, Public Meeting Transcript, 
No. 12 at pp. 42-48; Joint Commenters, No. 15 at pp. 2-3; Rice, No. 17 
at p. 3) Specifically, NEAA recommended that DOE conduct tests to 
determine the setpoint differential that would cause boost mode to kick 
in and the difficulty at which that is under normal or extreme 
operating conditions. (NEAA, Public Meeting Transcript, No. 12 at pp. 
42-48) Rice recommended that DOE conduct additional load-based testing 
to estimate the added energy use and peak demand from boost compressor 
speed operation from a typical daytime setback, evening setup 
schedule.\31\ (Rice, No. 17 at p. 3)
---------------------------------------------------------------------------

    \31\ ``Setback'' typically refers to when the temperature 
setting on a thermostat is adjusted to a higher temperature for a 
period of time when the space will not be occupied or won't require 
as much cooling, and ``setup'' refers to when the thermostat 
setpoint is adjusted back to its original setting, at which the 
desired level of comfort is provided when the conditioned space is 
occupied.
---------------------------------------------------------------------------

    As discussed, boost compressor speed is a temporary period of 
elevated compressor speed that occurs to quickly reduce the indoor 
temperature of a room, typically upon startup or after a service 
interruption. DOE is not aware of any publicly available data on the 
frequency or duration of boost compressor speed operation in the field. 
As such, DOE is unable to ensure the representativeness of a test 
procedure that addresses boost compressor speed operation.
    Further, in limited investigative testing of boost compressor 
speeds for two variable-speed room ACs, DOE was not able to induce a 
compressor speed higher than the full compressor speed, either by 
increasing the cooling load to greater than 100 percent or by adjusting 
the temperature setpoint during cooling mode operation. As such, it is 
unclear what test procedure provisions would be necessary to test boost 
compressor speed operation, or if there exists a compressor speed 
greater than that already activated by the settings in appendix F, 
without being unduly

[[Page 16458]]

burdensome. Therefore, DOE is not adopting boost compressor speed 
provisions in appendix F.
4. Capacity and Electrical Power Adjustment Factors
    In the waivers and proposed June 2020 NOPR approach, a capacity 
adjustment factor is used to estimate the increased cooling capacity 
and reduced electrical power draw of a single-speed room AC at lower 
outdoor temperature conditions, using a linear extrapolation based on 
the measured capacity and power draw at the 95 [deg]F test condition, 
respectively. 85 FR 35700, 35711 (Jun. 11, 2020). To determine these 
two adjustment factors, DOE used the MarkN model \32\ to model room AC 
performance at reduced outdoor temperature conditions. Id. These 
modeling results suggested linear capacity and electrical power 
adjustment factors of 0.0099 per [deg]F and 0.0076 per [deg]F, 
respectively. Id.
---------------------------------------------------------------------------

    \32\ MarkN is an energy modeling program developed in an ECS 
direct final rule for room ACs that DOE published on April 21, 2011. 
76 FR 22454. The MarkN program is an update of an adaptation to the 
Oak Ridge National Laboratory Mark III Heat Pump program for 
modeling room AC cooling performance.
---------------------------------------------------------------------------

    To confirm the validity of these modeled adjustment factors, DOE 
tested a sample of 14 single-speed room ACs at a range of reduced 
outdoor temperature test conditions (92 [deg]F, 87 [deg]F, and 82 
[deg]F) and compared the predicted values of cooling capacity and 
electrical power with the measured values at each test condition. The 
results generally indicated close agreement (i.e., less than 5 percent 
difference on average) between the modeled cooling capacity (based on 
an adjustment factor of 0.0099 per [deg]F) and the measured capacity at 
each test condition, and between the modeled electrical power draw 
(based on an adjustment factor of 0.0076 per [deg]F) and the measured 
electrical power draw at each test condition. DOE tentatively 
determined that the average difference of less than 5 percent between 
the modeled values and the experimental values confirmed the validity 
of these modeled adjustment factors. Therefore, in the June 2020 NOPR, 
DOE proposed to use the modeled adjustment factors of 0.0099 per [deg]F 
and 0.0076 per [deg]F for capacity and electrical power, respectively, 
to calculate the theoretical comparable single-speed room AC 
performance at reduced outdoor temperature test conditions. 85 FR 
35700, 35711 (Jun. 11, 2020).
    NEAA expressed concern about DOE's proposal to use linear capacity 
and electrical power adjustment factors to predict the capacity of 
fixed speed equipment at lower outdoor temperatures. NEAA commented 
that, while the order of magnitude of the error is small, the factors 
chosen consistently overpredict capacity and underpredict energy use 
for single-speed equipment. NEAA further commented that this will 
reduce the CEER ratings of variable-speed room ACs. NEAA recommended 
modifying the capacity and electrical power adjustment factors so that 
they do not overpredict capacity and underpredict energy use 
consistently. (NEAA, No. 16 at p. 5)
    DOE disagrees with NEAA's assessment that the modeling factors 
consistently overpredict capacity and underpredict energy use. DOE 
observed that the modeling factors were able to predict capacity and 
energy use in the test sample within four percent on average, and often 
more accurately. Additionally, there was no consistent trend in the 
variation in capacity or energy use predictions (i.e., some predictions 
were higher than the actual, some were lower). Therefore, DOE is 
adopting as proposed the capacity and electrical power adjustment 
factors of 0.0099 per [deg]F and 0.0076 per [deg]F, respectively.
5. Cycling Loss Factors
    In the June 2020 NOPR, to represent the cycling losses of a 
theoretical comparable single-speed room AC at reduced outdoor 
temperature test conditions and expected reduced cooling loads, DOE 
identified cycling loss factors (``CLFs'') to apply to the interim CEER 
values at each of the four cooling mode test conditions for a 
theoretical comparable single-speed room AC. 85 FR 35700, 35711 (Jun. 
11, 2020). Table III-4 shows the CLFs for each of the four test 
conditions.

                            Table III-4--June 2020 NOPR Proposed Cycling Loss Factors
----------------------------------------------------------------------------------------------------------------
                                   Evaporator inlet air, [deg]F     Condenser inlet air, [deg]F
         Test condition          ----------------------------------------------------------------  Cycling loss
                                     Dry bulb        Wet bulb        Dry bulb        Wet bulb         factor
----------------------------------------------------------------------------------------------------------------
Test Condition 1................              80              67              95              75             1.0
Test Condition 2................              80              67              92            72.5           0.971
Test Condition 3................              80              67              87              69           0.923
Test Condition 4................              80              67              82              65           0.875
----------------------------------------------------------------------------------------------------------------

    These CLFs were based on the default cooling degradation 
coefficient (``Cd'') in Section 11.2 of AHRI Standard 210/240. The CLF 
at the 82 [deg]F test condition for a theoretical comparable single-
speed room AC is consistent with the default Cd of 0.25, which 
corresponds to a part-load (cycling loss) factor of 0.875, as 
determined in Section 11.2 of AHRI Standard 210/240. The remaining CLFs 
for the other test conditions are consistent with linear interpolation 
between the CLF of 0.875 at the 82 [deg]F test condition and the CLF of 
1.0 at the 95 [deg]F test condition, at which no cycling is expected.
    Thus, DOE proposed to implement CLFs consistent with the default Cd 
in AHRI Standard 210/240, to represent the expected performance of a 
theoretical comparable single-speed room AC at reduced outdoor 
temperature test conditions. Id.
    AHAM commented that while DOE cited Section 11.2 of AHRI Standard 
210/240 and a Cd of 0.25, AHRI Standard 210/240 includes a Cd of 0.20 
for Single Stage Systems in Section 6.1.3.1.1. AHAM recommended that 
DOE ensure it uses the most recent version of the standard and the 
correct Cd. (AHAM, No. 13 at p. 5)
    The California IOUs, NEAA, and Rice expressed concern about the 
proposed default Cd of 0.25. (California IOUs, Public Meeting 
Transcript, No. 12 at p. 30; NEAA, No. 16 at p. 5; Rice, No. 17 at pp. 
3-4) NEAA commented that room ACs may cycle more than central air 
conditioners due to improper sizing, further pointing to a need for 
additional testing. (NEAA, No. 16 at p. 5) Rice commented that Figure 
III.1 in the June 2020 NOPR suggested that the Cd for the

[[Page 16459]]

load-tested room AC unit could be as high as 0.42, based on the 21-
percent performance loss observed at 50-percent load; this compared 
with the 12.5-percent loss assumed at 50-percent load with the default 
Cd assumption. (Rice, No. 17 at pp. 3-4) The California IOUs and Rice 
recommended DOE conduct additional investigative load-based testing on 
single-speed room ACs to better estimate the Cd at the 82 [deg]F test 
condition. (California IOUs, Public Meeting Transcript, No. 12 at p. 
30; Rice, No. 17 at pp. 3-4)
    Rice also commented that a room AC unit is unlikely to be sized 
exactly to match the room load at 95 [deg]F outdoor ambient conditions. 
Rice further commented that a minimal 10-percent oversizing, equivalent 
to that assumed in AHRI Standard 210/240 for unitary ACs, would be more 
appropriate and would also provide a common basis with current AC 
ratings practice. Rice stated that use of 110-percent sizing would also 
provide an appropriate performance benefit, estimated to be 
approximately 3 percent, to variable-speed room ACs relative to single-
speed units. Accordingly, Rice recommended that the assumption of exact 
sizing be modified to at least be consistent with 110-percent sizing as 
assumed in AHRI Standard 210/240 for unitary air conditioners. With 
110-percent sizing, Rice noted that the default CLFs at 95, 87, and 82 
[deg]F would need to be adjusted to 0.977, 0904, and 0.864, 
respectively, for a Cd of 0.25. Rice also noted that they would need 
further adjustment if a different default Cd were selected or if the 
slope of the default single-speed capacity curve was changed. As for 
the proposed 75 [deg]F test point, Rice commented that the CLFs with a 
0.25 Cd are 0.820 at 100-percent sizing and 0.813 at 110-percent 
sizing. (Rice, No. 19 at p. 6; see also Rice, Preliminary Analysis, No. 
25 at pp. 1-2)
    DOE disagrees with Rice's claim that it is unlikely that room ACs 
are sized to match room cooling load at a 95 [deg]F outdoor temperature 
test condition. Room ACs are intended to cool a single room, where the 
cooling load is more likely to remain steady or within a smaller range. 
DOE is not aware of any data showing that room ACs are typically 
oversized. Given the application of room ACs to a more limited space, 
DOE has determined that it is reasonable to assume that room ACs are 
sized to match room cooling loads at a 95 [deg]F outdoor temperature 
test condition.
    DOE acknowledges the concerns regarding the Cd as proposed in the 
June 2020 NOPR. In response, DOE conducted additional testing in 
support of this final rule to determine whether the AHRI Standard 210/
240 single-stage Cd of 0.2 suggested by AHAM or a higher value such as 
0.42 as suggested by the California IOUs, NEAA, and Rice would be more 
appropriate. DOE conducted load-based testing on two single-speed room 
ACs with cooling capacities comparable to variable-speed room ACs of 
the same brand/manufacturer currently on the market using an outdoor 
temperature of 82 [deg]F and cooling loads between 47 and 57 percent of 
the full load, with a target of 52 percent (i.e., the center of the 
acceptable range specified in the low compressor speed definition). DOE 
did not consider cycling losses at an outdoor temperature of 75 [deg]F, 
based on the decision to not include testing at that temperature 
condition, as discussed in section III.C.2 of this document. The 
results of this testing are summarized in Table III-5.

                    Table III-5--Cycling Loss Factors
------------------------------------------------------------------------
                         Unit                            Load %     Cd
------------------------------------------------------------------------
Unit 1................................................       52     0.42
Unit 2................................................       49     0.39
                                                             54     0.30
                                                         \*\ 52     0.34
------------------------------------------------------------------------
* Due to difficulties in achieving the target load percentage of 52% for
  Unit 2, data for the nearest higher and lower data points were
  interpolated to estimate the expected Cd at a 52% load.

    On average, the two single-speed room ACs had a Cd of 0.38 at the 
82 [deg]F test condition and 52 percent cooling load, which is 
relatively close to the maximum Cd value of 0.42 suggested by Rice. 
Based on DOE's test data, use of a Cd of 0.38 would increase a 
variable-speed room AC's measured CEER by approximately 5.5 percent. 
Based on this testing, DOE is adopting a Cd of 0.38, resulting in a CLF 
at the 82 [deg]F test condition of 0.81. Interpolating between the 82 
[deg]F test condition and CLF of 0.81 and 95 [deg]F test condition and 
CLF of 1, results in a CLF of 0.883 for the 87 [deg]F test condition 
and a CLF of 0.956 for the 92 [deg]F test condition.
6. Test Condition Weighting Factors
    In the approach proposed in the June 2020 NOPR, the four interim 
CEER values representing each of the four cooling mode test conditions 
were combined, using four weighting factors, into a single weighted-
average CEER value. 85 FR 35700, 35711-35712 (Jun. 11, 2020). The 
resulting weighted-average CEER value represented the weighted-average 
performance across the range of outdoor test conditions. Id. DOE 
calculated weighting factors based on the fractional temperature bin 
hours in Table 19 of DOE's test procedure for central air conditioners 
at appendix M. DOE identified the fractional temperature bin hours 
representing the four test conditions in the proposed approach and 
normalized these four values from appendix M so that they sum to 1.00.
    Table III-6 shows the June 2020 NOPR weighting factors for each of 
the four test conditions.

                  Table III-6--June 2020 NOPR Proposed Temperature Condition Weighting Factors
----------------------------------------------------------------------------------------------------------------
                                   Evaporator inlet air, [deg]F     Condenser inlet air, [deg]F
         Test condition          ---------------------------------------------------------------- CEER weighting
                                     Dry bulb        Wet bulb        Dry bulb        Wet bulb         factor
----------------------------------------------------------------------------------------------------------------
Test Condition 1................              80              67              95              75            0.05
Test Condition 2................              80              67              92            72.5            0.16
Test Condition 3................              80              67              87              69            0.31
Test Condition 4................              80              67              82              65            0.48
----------------------------------------------------------------------------------------------------------------


[[Page 16460]]

    AHAM generally agreed with the waivers, which included the 
weighting factors above. (AHAM, No. 13 at p. 4)
    ASAP, the Joint Commenters, and Rice expressed concern that DOE's 
proposed approach would not reflect seasonal efficiency, claiming it 
would result in underweighting performance at the higher outdoor 
temperature conditions and overweighting performance at the lower 
temperature conditions. ASAP commented that, under the weighted-average 
calculation proposed in the June 2020 NOPR delivered cooling from an 
hour of operation under the 95 [deg]F test condition was equal to that 
under the 82 [deg]F test condition, even though the delivered cooling, 
and energy consumption, at the 95 [deg]F test condition is greater. 
(ASAP, Public Meeting Transcript, No. 12 at pp. 35-36) Rice suggested 
replacing the proposed performance weighting factors based on 
fractional bin hours with fractional delivered cooling output per bin 
because the proposed approach ignores that, at the lower ambient 
temperature bins, the delivered amount of cooling is proportionally 
lower (~50 percent at 82 [deg]F ambient). Rice also recommended 
replacing the 92 [deg]F test condition with a 75 [deg]F test condition, 
to supplement the 82, 87, and 95 [deg]F variable-speed ratings tests, 
to represent the missing ~40 percent of cooling load, as discussed in 
section III.C.2 of this document. For the proposed 75 [deg]F test 
condition, Rice stated the variable-speed unit should be run at a 
reduced speed level to obtain ~30 percent of rated capacity at 95 
[deg]F ambient temperature. Rice expressed further concern that PAFs 
based on the wrong weighting factors and an inappropriately narrowed 
cooling range will give too much credit to variable-speed designs that 
operate best in this narrowed range, and may inadvertently favor 
variable-speed designs that seek ratings advantage by boosting 
performance at the 82 [deg]F and higher test conditions at the expense 
of lower ambient temperature performance. (Joint Commenters, No. 15 at 
p. 2; Rice, No. 17 at pp. 1-2)
    DOE agrees that the cooling delivered by room ACs at lower outdoor 
temperature test conditions is proportionally lower than at the 
appendix F single-speed test condition. Thus, calculating the test 
condition weighting factors using fractional delivered cooling output 
per temperature bin, as suggested by Rice, applied to the set of test 
conditions required by DOE above, would improve the representativeness 
of the test procedure. This change would not increase the testing 
burden as compared to the test procedure required under the waivers. 
While this change would diverge from the industry-accepted test 
procedure AHAM RAC-1-2020, the deviation is justified due to the 
improvements in representativeness of the test procedure. Therefore, 
DOE is adopting the test condition weighting factors shown in Table 
III-7, calculated by adjusting the weighting factors in Table III-6 by 
the expected cooling load at each condition based on the building load 
calculation in AHRI Standard 210/240 (Equation 11.60), and normalizing 
the resulting values so the final weighting factors sum to 1.0.

                         Table III-7--Final Rule Temperature Condition Weighting Factors
----------------------------------------------------------------------------------------------------------------
                                   Evaporator inlet air, [deg]F     Condenser inlet air, [deg]F
         Test condition          ---------------------------------------------------------------- CEER weighting
                                     Dry bulb        Wet bulb        Dry bulb        Wet bulb         factor
----------------------------------------------------------------------------------------------------------------
Test Condition 1................              80              67              95              75            0.08
Test Condition 2................              80              67              92            72.5            0.20
Test Condition 3................              80              67              87              69            0.33
Test Condition 4................              80              67              82              65            0.39
----------------------------------------------------------------------------------------------------------------

7. Weighted CEER and Performance Adjustment Factor
    The final step in the waivers and the June 2020 NOPR proposed 
approach is to calculate the PAF, representing the improvement over a 
theoretical comparable single-speed room AC resulting from the 
implementation of a variable-speed compressor. 84 FR 20111 (May 8, 
2019); 85 FR 31481 (May 26, 2020); 85 FR 35700, 35712 (Jun. 11, 2020). 
The PAF is calculated as the percent improvement of the weighted-
average CEER value of the variable-speed room AC compared to the 
weighted-average CEER value of a theoretical comparable single-speed 
room AC under the four defined test conditions.
    After calculating the PAF, it is added to one and the sum is 
multiplied by the CEER value of the variable-speed unit when tested at 
the 95 [deg]F test condition according to appendix F, resulting in the 
final CEER metric for the variable-speed room AC. By adjusting the 
variable-speed room AC CEER values to be comparable to single-speed 
room AC CEER values, DOE expects that consumers will have the 
information they need to understand the relative efficiency of both 
types of room AC. In the June 2020 NOPR, DOE proposed calculations to 
determine a PAF, which would adjust the CEER of a variable-speed room 
AC to appropriately account for its efficiency improvements relative to 
a theoretical comparable single-speed room AC under varying operating 
conditions. 85 FR 35700, 35712 (Jun. 11, 2020).
    Rice proposed a new method to calculate the weighted average CEER 
in which the individual weighting factors are divided by the tested 
CEER values, summed, and the reciprocal of the sum is the weighted CEER 
value. Rice noted that the result of this formulation exactly matches 
the result of the conventional binned method from AHRI 210/240. (Rice, 
No. 19 at pp. 3-4)
    Rice provided little explanation or evidence supporting this new 
calculation approach and whether it provides more representative 
results than the approach proposed in the June 2020 NOPR, beyond 
indicating the result matches that of the binned method in AHRI 210/
240. DOE notes that the calculation approach prescribed in the waivers 
and proposed in the June 2020 NOPR is the same approach specified in 
the AHAM RAC-1-2020, which is the latest version of the industry 
standard specific to room ACs. Therefore, DOE is adopting the PAF and 
weighted CEER calculations proposed in the June 2020 NOPR that align 
with AHAM RAC-1-2020 and the waivers granted to date.
8. Air-Enthalpy Test Alternative
    DOE recognized the additional test burden associated with testing 
variable-speed room ACs at multiple test conditions as proposed. In an 
effort to minimize that additional test burden, DOE initially provided 
for an optional test in the interim waiver granted to LG that allowed 
for use of the air-enthalpy method. 83 FR 30717 (Jun. 29, 2018;

[[Page 16461]]

``LG Interim Waiver''). Following the publication of the LG Interim 
Waiver, DOE conducted investigative testing to further analyze the air-
enthalpy method and its suitability for testing room ACs. This testing 
demonstrated that this method produced unrepresentative and 
inconsistent results and remedying these deficiencies likely would be 
unduly burdensome. See 84 FR 20111, 20117. (May 8, 2019) In addition, 
the air-enthalpy method does not measure any heat transfer within and 
through the unit chassis, while the calorimeter test does. See Id. 
Because of the unrepresentative and inconsistent results obtained with 
the air-enthalpy test equipment that testing laboratories are likely to 
already own, as well as the higher cost and limited availability of 
equipment that would be necessary to obtain consistent results for all 
room ACs of differing airflow rates, DOE contended that the air-
enthalpy test method would be unduly burdensome for testing 
laboratories to implement for room ACs at this time. DOE further noted 
that, in the waivers granted since the publication of the LG Interim 
Waiver, DOE did not allow the air-enthalpy test method as an 
alternative to the calorimeter test method due to the concerns outlined 
above. 84 FR 20111, 20117 (May 8, 2019), 84 FR 68159, 68162 (Dec. 13, 
2019). In the June 2020 NOPR, DOE did not propose to include an 
optional alternative air-enthalpy test method for variable-speed room 
ACs in appendix F. 85 FR 35700, 35712 (Jun. 11, 2020).
    The California IOUs supported DOE's proposal to exclude the air-
enthalpy test from the room AC test procedure. The California IOUs 
commented that DOE's testing demonstrated that this method was 
unrepresentative and inconsistent, and remedying those deficiencies 
would be unduly burdensome. (California IOUs, No. 14 at pp. 5-6)
    For the reasons discussed in the preceding paragraphs and in the 
June 2020 NOPR, DOE is not adopting the air-enthalpy test method for 
the testing of variable-speed room ACs in this final rule.
9. Product Specific Reporting Provisions
    As described, the amendments to appendix F to test variable-speed 
room ACs at multiple cooling mode test conditions will require the use 
of fixed temperature conditions with a unit thermostat setpoint of 75 
[deg]F, using the same specifications for single-speed room AC controls 
given in appendix F, rather than using the manufacturer instructions to 
fix the compressor speed for variable-speed room ACs at the 95 [deg]F 
and 92 [deg]F test conditions. The amendments to appendix F will also 
require the compressor speed to be fixed to intermediate speed at the 
87 [deg]F test condition and low speed at the 82 [deg]F test condition, 
as discussed and defined in section III.D.1.b of this document and in 
Sections 2.15 and 2.16, respectively, in appendix F.
    In the June 2020 NOPR, to ensure test reproducibility, DOE proposed 
requiring in 10 CFR 429.15 that manufacturers provide DOE all necessary 
instructions to maintain the compressor speeds required for each test 
condition for a variable-speed basic model, as additional product-
specific information pursuant to 10 CFR 429.12 (b)(13). 85 FR 35700, 
35713 (Jun. 11, 2020). DOE expected that this requirement would add a 
de minimis incremental burden to the existing reporting requirements. 
Id. DOE received no comments on this proposal.
    DOE is including in 10 CFR 429.15 reporting requirements for 
compressor frequencies and control settings at the 87 [deg]F and 82 
[deg]F test conditions as additional product-specific information for 
certification of each variable-speed room AC basic model. Note that, 
unlike the proposal in the June 2020 NOPR, DOE is not requiring 
reporting of the compressor frequency and control settings as 
additional product-specific information for certification for the 95 
[deg]F and 92 [deg]F test conditions for variable-speed units, as 
discussed in section III.C.3 of this final rule. Manufacturers may 
request treatment of reported material as confidential business 
information pursuant to the regulations at 10 CFR 1004.11.
10. Estimated Annual Operating Cost Calculation
    In the June 2020 NOPR, in conjunction with the amendments for 
testing variable-speed room ACs, DOE proposed corresponding amendments 
to the calculation that provides the basis of the annual energy 
consumption and operating cost information presented to consumers on 
the EnergyGuide Label. 85 FR 35700, 35713 (Jun. 11, 2020). These 
changes would allow for an appropriate comparison of the annual energy 
consumption and operating costs between single-speed room ACs and 
variable-speed room ACs. As such, in the June 2020 NOPR, DOE proposed 
that for variable-speed room ACs, the average annual energy consumption 
used in calculating the estimated annual operating cost in 10 CFR 
430.23(f) would be a weighted average of the annual energy consumption 
at each of the four test conditions in newly added Table 1 of appendix 
F and the annual energy consumption in inactive mode or off mode. Id. 
DOE provided, however, that the electrical power input reported for 
variable-speed room ACs for purposes of certification in 10 CFR 
429.15(b)(2) would be the value measured at the 95 [deg]F rating 
condition, to maintain consistency with the cooling capacity measured 
at the same condition. Id.
    The California IOUs asserted that the proposed methods for 
calculating the annual operating costs will create market confusion, 
mainly because the variable-speed annual operating energy consumption 
would be based on a weighted average that includes and heavily weights 
conditions at which the unit provides less cooling, whereas the average 
annual energy consumption of a single-speed unit would continue to be 
based on the 95 [deg]F condition, at which the unit provides more 
cooling and thus consumes more energy. The California IOUs stated that 
using different test procedures and energy consumption calculations for 
different equipment that provide the same consumer utility, in this 
case, space conditioning, has the potential to create market 
distortions. (California IOUs, No. 14 at p. 2)
    Conceptually, variable-speed room ACs and single-speed room ACs 
both deliver the same amount of cooling to a room, albeit in different 
ways. The variable-speed room AC provides constant cooling at a reduced 
rate, while the single-speed room AC switches on to provide maximum 
cooling for a period of time before switching off and providing no 
cooling until the temperature in the room rises again. In both cases, 
the total amount of cooling provided to the room remains the same, only 
the power consumed by the unit to provide the cooling is different. 
Furthermore, the test procedure adopted in this final rule assesses the 
improved efficiency associated with variable-speed room ACs relative to 
single-speed room ACs, on the basis of adjusted operation at varying, 
reduced-temperature operating conditions and accounting for reduced 
energy use associated with eliminating cycling losses. This approach of 
factoring in reduced-temperature operation over the varying load 
conditions during the operating hours of the cooling season is thus 
appropriate for variable-speed units but not for single-speed units.
    For the reasons discussed above, as proposed in the June 2020 NOPR, 
DOE is requiring that the average annual energy consumption used in 
calculating the estimated annual operating cost of variable-speed room 
ACs in 10 CFR 430.23(f) be a weighted average of the annual energy 
consumption at each of the four test conditions in newly added

[[Page 16462]]

Table 1 of appendix F and the annual energy consumption in inactive 
mode or off mode, to reflect a realistic measure of energy use and 
operating costs in a representative average use cycle. Additionally, as 
proposed in the June 2020 NOPR, DOE is defining the electrical power 
input reported for variable-speed room ACs for purposes of 
certification in 10 CFR 429.15(b)(2) to be the value measured at the 95 
[deg]F rating condition, to maintain consistency with the cooling 
capacity measured at the same condition, and to provide consumers with 
the cooling capacity and power input expected at full load conditions.

D. Definitions

    In the June 2020 NOPR, DOE proposed adding a number of definitions 
to appendix F to accompany the amendments made in this final rule. None 
of these definitions modified the scope of covered products. 85 FR 
35700, 35713 (Jun. 11, 2020). The following section describes each 
definition in detail.
1. Key Terms
    In the June 2020 NOPR, DOE proposed definitions for three key terms 
that appeared in appendix F but have no definitions: Cooling mode, 
cooling capacity, and combined energy efficiency ratio. 85 FR 35700, 
35713 (Jun. 11, 2020). Although room ACs may sometimes operate in other 
modes as discussed further in section III.E of this final rule, the 
room AC CEER metric determined in appendix F was based primarily on 
performance in cooling mode, and several of the amendments also 
reference ``cooling mode.'' Therefore, DOE proposed the following 
definitions for cooling mode, cooling capacity, and combined energy 
efficiency ratio in appendix F:
    ``Cooling mode'' means an active mode in which a room air 
conditioner has activated the main cooling function according to the 
thermostat or temperature sensor signal or switch (including remote 
control).
    ``Cooling capacity'' means the amount of cooling, in Btu/h, 
provided to an indoor conditioned space, determined in Section 4.1 of 
appendix F.
    ``Combined energy efficiency ratio'' means the energy efficiency of 
a room air conditioner as measured in Btu/Wh and determined in Section 
5.2.2 of appendix F for single-speed room air conditioners and Section 
5.3.12 of appendix F for variable-speed room air conditioners. Id.
    To support the amendments pertaining to variable-speed basic 
models, in the June 2020 NOPR, DOE proposed defining single-speed and 
variable-speed room ACs as follows:
    ``Single-speed room air conditioner'' means a type of room air 
conditioner that cannot automatically adjust the compressor speed based 
on detected conditions.
    ``Variable-speed room air conditioner'' means a type of room air 
conditioner that can automatically adjust compressor speed based on 
detected conditions. 85 FR 35700, 35714 (Jun. 11, 2020).
    AHAM supported DOE's proposal to add these new definitions in 
appendix F. (AHAM, No. 13 at p. 6)
    For the reasons discussed in the June 2020 NOPR, DOE is adopting 
these new definitions in appendix F.
2. Compressor Speeds
    In the June 2020 NOPR, DOE also proposed defining the three 
compressor speeds required for variable-speed testing. 85 FR 35700, 
35714 (Jun. 11, 2020). DOE referred to these compressor speeds as 
``full,'' ``intermediate,'' and ``low'' based on the test procedure 
terminology of AHRI Standard 210/240, and were proposed as follows:
    ``Full compressor speed (full)'' means the compressor speed at 
which the unit operates at full load test conditions, achieved by 
following the instructions certified by the manufacturer.
    ``Intermediate compressor speed (intermediate)'' means a compressor 
speed higher than the low compressor speed by one third of the 
difference between low compressor speed and full compressor speed with 
a tolerance of plus 5 percent (designs with non-discrete speed stages) 
or the next highest inverter frequency step (designs with discrete 
speed steps), achieved by following the instructions certified by the 
manufacturer.
    ``Low compressor speed (low)'' means the compressor speed at which 
the unit operates at low load test conditions, achieved by following 
the instructions certified by the manufacturer, such that 
Capacity4, the measured cooling capacity at test condition 4 
in Table 1 of appendix F, is not less than 47 percent and not greater 
than 57 percent of Capacity1, the measured cooling capacity 
with the full compressor speed at test condition 1 in Table 1 of 
appendix F.\33\ Id.
---------------------------------------------------------------------------

    \33\ Further information about the acceptable range of delivered 
cooling at the low compressor speed and lowest test condition, and 
how they were derived, can be found in the June 2020 TP NOPR. 85 FR 
35700, 35714.
---------------------------------------------------------------------------

    AHAM generally agreed with the waivers, which included the proposed 
10-percent range and 57-percent cooling load as its upper bound above. 
(AHAM, No. 13 at p. 6)
    The Joint Commenters, NEAA, and the California IOUs urged DOE to 
ensure that the proposed fixed compressor speeds are representative of 
real-world operation. The Joint Commenters, NEAA, and the California 
IOUs expressed concern that the proposed definition for low compressor 
speed could lead to measured efficiency values that are not 
representative. NEAA and the California IOUs pointed to the potential 
that energy values can subsequently be better than the unit can 
actually produce in the real world under conditions of less than 95 
[deg]F, allowing manufacturers to ``game'' efficiency ratings as a unit 
may run differently if its full-load speed does not match how the unit 
runs in the real world under 95 [deg]F outdoor conditions. Thus, NEAA 
and the California IOUs suggested that DOE perform additional 
investigative testing under the 95 [deg]F test condition under native 
controls and reference variable refrigerant flow air conditioning test 
procedures regarding whether speed represents use. (NEAA, Public 
Meeting Transcript, No. 12 at pp. 37-42; California IOUs, Public 
Meeting Transcript, No. 12 at pp. 30-33; California IOUs, No. 14 at p. 
4) Similarly, the Joint Commenters asserted that, under DOE's proposal, 
manufacturers may have an incentive to test at the 82 [deg]F condition 
at the compressor speed that provides a cooling capacity as close as 
possible to 47 percent of the full-load capacity since efficiency 
typically increases at lower compressor speeds. The Joint Commenters 
stated that providing 47 percent of the full-load cooling capacity 
would not meet the cooling load at 82 [deg]F, and that a low compressor 
speed lower than the operating speed in the field could also result in 
the intermediate compressor speed being artificially low. The Joint 
Commenters noted that a variable-speed unit that cannot provide 57 
percent of the full-load cooling capacity cannot in fact ``match'' the 
representative cooling load at the 82 [deg]F condition. The Joint 
Commenters stated the test procedure should reflect the potential 
efficiency gains of variable-speed units that can vary their speed 
continuously (or in smaller discrete steps) relative to units with 
compressors with larger discrete steps. (Joint Commenters, No. 15 at 
pp. 1-2)
    As discussed in section III.D of the June 2020 NOPR, the 10-percent 
range allows for discrete variable-speed compressor stages while 
maintaining the representativeness of the test procedure. While a 
variable-speed room

[[Page 16463]]

AC that cannot operate at precisely 57 percent of the full-load cooling 
capacity cannot exactly match the cooling load at the 82 [deg]F test 
condition, it could compensate for this in real world operation at an 
82 [deg]F outdoor temperature by operating at a lower compressor speed 
and moving to a higher compressor speed if the room becomes too hot. 
DOE observed variable-speed compressors with this behavior during load-
based testing, though noted that the compressor speed adjustments did 
not occur frequently, resulting in extended periods of operation at a 
single compressor speed. Furthermore, the difference in power 
consumption between the two speeds observed in these scenarios was only 
about 5% of the full load operating power, and therefore this style of 
operation would still result in more efficient operation compared to 
cycling a single-speed compressor on and off to maintain the reduced 
load. These variable-speed units still provide significant energy 
savings, so it is important to account for this sort of variable-speed 
compressor behavior and ensure the test procedure is applicable to even 
those variable-speed room ACs that have discrete compressor speed steps 
that may not provide exactly 57 percent of the full-load cooling 
capacity. DOE further notes that requiring a low compressor speed that 
results in a single loading percentage (i.e., 57 percent of the full-
load cooling capacity) with no tolerance could greatly increase design 
and manufacturing burden, and thus may disincentivize the adoption of 
more efficient technology being newly introduced for room ACs. A 10-
percent range would allow for the various types of variable-speed 
compressors (i.e., discrete and non-discrete), avoid significant burden 
on manufacturers, and avoid disincentivizing the adoption of this 
technology. An upper compressor speed limit of 57 percent of the full-
load cooling capacity would ensure that the unit does not cycle on and 
off under the cooling load expected at an outdoor temperature of 82 
[deg]F, which would negate much of the efficiency benefits relative to 
single-speed room ACs). Therefore, DOE proposed a lower limit of 47 
percent to maintain the desired 10-percent range of cooling loads while 
setting 57 percent of the full-load cooling capacity as the upper 
limit.
    In this final rule, DOE is revising the definition of ``full 
compressor speed'' proposed in the June 2020 NOPR, to account for the 
new requirements discussed in section III.C.3.a (i.e., to require that 
user settings be implemented to achieve maximum cooling capacity when 
testing using full compressor speed, rather than fixing the compressor 
speed using instructions provided by the manufacturer).
    Furthermore, DOE is also revising the ``intermediate compressor 
speed'' definition proposed in the June 2020 NOPR, to clarify that the 
intermediate compressor speed is defined based on the measured capacity 
at the 95 [deg]F and 82 [deg]F test condition, using the full and low 
compressor speeds, respectively.
    Thus, DOE is adopting its proposals from the June 2020 NOPR, as 
detailed below.
    In summary, DOE defines the following in newly added Sections 2.14, 
2.15, and 2.16 of appendix F:
    ``Full compressor speed (full)'' means the compressor speed at 
which the unit operates at full load test conditions, achieved by using 
user settings to achieve maximum cooling capacity, according to the 
instructions in ANSI/ASHRAE Standard 16-2016 Section 6.1.1.4.
    ``Intermediate compressor speed (intermediate)'' means a compressor 
speed higher than the low compressor speed at which the measured 
capacity is higher than the capacity at low compressor speed by one 
third of the difference between Capacity4, the measured 
cooling capacity at test condition 4 in Table 1 of this appendix, and 
Capacity1, the measured cooling capacity with the full 
compressor speed at test condition 1 in Table 1 of this appendix, with 
a tolerance of plus 5 percent (designs with non-discrete speed stages) 
or the next highest inverter frequency step (designs with discrete 
speed steps), achieved by following the instructions certified by the 
manufacturer.
    ``Low compressor speed (low)'' as the compressor speed specified by 
the manufacturer at which the unit operates at low load test 
conditions, such that Capacity4, the measured cooling 
capacity at test condition 4 in Table 1 of this appendix, is no less 
than 47 percent and no greater than 57 percent of Capacity1, 
the measured cooling capacity with the full compressor speed test 
condition 1 in Table 1 of this appendix.

E. Active Mode Testing

    The following sections describe amendments and other considerations 
regarding the active mode testing provisions of appendix F.
1. Cooling Mode
    The DOE room AC test procedure uses a calorimeter test method to 
determine the cooling capacity and associated electrical power input of 
a room AC. See Sections 3.1 and 4.1 of appendix F, as amended. Under 
this approach, the test unit is installed between two chambers, one 
representing the indoor side and the other representing the outdoor 
side, which are both maintained at constant conditions by 
reconditioning equipment. The room AC operates in cooling mode, 
transferring heat from the indoor side to the outdoor side, while the 
reconditioning equipment counteracts the effects of the room AC to 
maintain constant test chamber conditions. The room AC cooling capacity 
is determined by measuring the required energy inputs to the 
reconditioning equipment.
a. Test Setup and Air Sampling
    In the June 2020 NOPR, DOE discussed concerns about whether the 
measured calorimeter chamber temperature reading is representative of 
conditions at the test unit condenser and evaporator inlet, which may 
be affected by recirculation from the condenser and evaporator exhaust, 
respectively, thereby potentially reducing test repeatability and 
reproducibility. 85 FR 35700, 35715 (Jun. 11, 2020). DOE noted that the 
size, capability, and orientation of components within calorimeter test 
chambers may vary significantly, and that third-party laboratories 
extensively analyze their chambers and testing apparatus to maintain 
consistent and accurate air sampling measurements. DOE also understood 
that temperature gradients and unique airflow patterns can result from 
the interaction of a chamber reconditioning apparatus and the room AC 
under test, and that these interactions are particular to and dependent 
upon factors such as chamber size and shape, chamber equipment 
arrangement, size of reconditioning apparatus, and others, as noted in 
ANSI/ASHRAE Standard 16-2016 Section 8.2.7. Therefore, in the June 2020 
NOPR, DOE contended that universal requirements for air sampling 
instrumentation and thermocouple placement could potentially reduce 
test accuracy and reproducibility. As discussed in section III.B.2 of 
this document, DOE proposed to update the reference to ANSI/ASHRAE 
Standard 16 to the most current 2016 version, which includes additional 
clarification on best practices for air sampler and thermocouple 
placement. Id.
    DOE received no comments on the test setup and air sampling 
discussion and proposals from the June 2020 NOPR. For the reasons 
discussed in the preceding paragraph, DOE is updating the reference to 
ANSI/ASHRAE

[[Page 16464]]

Standard 16 to the most current 2016 version, which includes additional 
clarification on best practices for air sampler and thermocouple 
placement.
b. Air-Enthalpy Test
    In the June 2020 NOPR, as discussed in section III.B.2 of this 
document, DOE proposed to adopt the use of the calorimeter test method 
specified in ANSI/ASHRAE Standard 16-2016 for determining the cooling 
mode performance in appendix F. ANSI/ASHRAE Standard 16-2016 
additionally permits an air-enthalpy test method (also referred to as a 
psychrometric test method), in which a technician places instruments in 
or near the evaporator air stream to measure the rate of cooled air 
added to the conditioned space. DOE conducted testing to investigate 
any differences in test results between air-enthalpy and calorimeter 
approaches and found a wide range of discrepancies between the two, for 
both cooling capacity and efficiency. DOE expected that obtaining more 
accurate results would require specialized test equipment that is 
limited in availability and costly to design, develop, and produce and, 
hence, DOE did not propose to include an air-enthalpy test approach for 
determining cooling mode performance of room ACs. 85 FR 35700, 35715 
(Jun. 11, 2020).
    The California IOUs agreed with DOE's conclusion to exclude the 
air-enthalpy test procedure in ANSI/ASHRAE Standard 16-2016. The 
California IOUs noted that DOE's testing, shown in the June 2020 NOPR, 
demonstrated that this method was unrepresentative and inconsistent, 
and remedying these deficiencies would be unduly burdensome. 
(California IOUs, No. 14 at pp. 5-6)
    Based on DOE's investigative testing data, DOE maintains its 
proposal to not allow the use of the air-enthalpy method for 
determining room AC cooling mode performance.\34\
---------------------------------------------------------------------------

    \34\ Although DOE incorporates by reference ANSI/ASHRAE Standard 
16-2016, which includes an optional air-enthalpy method, only those 
sections in ANSI/ASHRAE Standard 16-2016 that apply to the 
calorimeter method are referenced in Appendix F.
---------------------------------------------------------------------------

c. Side Curtain Heat Leakage and Infiltration Air
i. Non-Louvered (Through-The-Wall) Room Air Conditioners
    In the June 2020 NOPR, DOE proposed to specify in appendix F that 
non-louvered room ACs, which are designed for through-the-wall 
installation, must be installed using a compatible wall sleeve (per 
manufacturer instructions), with the provided or manufacturer-required 
rear grille, and with the included trim frame and other manufacturer-
provided installation materials. 85 FR 35700, 35716 (Jun. 11, 2020).
    The California IOUs supported DOE's language on the use of 
manufacturer-provided wall sleeves. However, the California IOUs 
expressed concern that it may not be apparent to laboratories that they 
should not use additional material beyond that supplied by the 
manufacturer. The California IOUs suggested adding the following 
sentence to the proposed appendix F to 10 CRF Part 430: ``No sealing or 
insulation material other than that provided by the manufacturer shall 
be installed between the wall sleeve and the cabinet of the room air 
conditioner.'' (California IOUs, No. 14 at p. 6) DOE understands the 
concern about test laboratories using additional sealing and insulation 
material between the unit and the wall sleeve. As discussed in the June 
2020 NOPR, DOE determined that testing non-louvered room ACs, with the 
provided or manufacturer-required rear grille, and with the included 
trim frame and other manufacturer-provided installation materials 
maximized repeatability and reproducibility. 85 FR 35700, 35716 (Jun. 
11, 2020). To address the concern that test laboratories might provide 
additional sealing or insulation for a non-louvered room AC, DOE is 
clarifying in this final rule that these units should only be tested 
using the manufacturer-provided materials.
    Therefore, DOE is modifying its proposal from the June 2020 NOPR in 
this final rule, specifying in appendix F that non-louvered room ACs, 
which are designed for through-the-wall installation, must be installed 
using a compatible wall sleeve (per manufacturer instructions), with a 
provided or manufacturer-required rear grille, and with only the 
included trim frame and other manufacturer-provided installation 
materials.
ii. Louvered (Window) Room Air Conditioners
    In the June 2020 NOPR, DOE proposed, consistent with Sections 
6.1.1.4 and Section 8.4.2 of ANSI/ASHRAE Standard 16-2016, not to 
require installing louvered room ACs with the manufacturer-provided 
installation materials, including side curtains, and instead to require 
testing with the partition wall sealed to the unit. 85 FR 35700, 35717 
(Jun. 11, 2020).
    AHAM agreed with DOE's proposal to not require the use of 
manufacturer-provided installation materials in appendix F for louvered 
room ACs. AHAM cited previous DOE testing which showed that using 
manufacturer-provided materials included in the retail packaging led to 
only a 2.5-percent increase in cooling capacity, while not using 
manufacturer-provided installation materials led to a 4.7-percent 
reduction in cooling capacity. AHAM stated that this testing did now 
show consistent or significant change in cooling capacity. (AHAM, No. 
13 at p. 6)
    The California IOUs and Joint Commenters asserted the need for DOE 
to capture the effects of real-world installations of room AC units. 
(California IOUs, No. 14 at p. 6; Joint Commenters, No. 15 at pp. 5-6) 
The California IOUs commented that with the requirement for indoor and 
outdoor test rooms to have virtually no pressure differential, the 
inclusion of side curtains would not have a significant effect in 
laboratory testing. The California IOUs also stated that repeatability 
of testing is likely to decrease with side curtains included in the 
operational test. However, the California IOUs also asserted that 
testing with side curtains during only the operational test of window 
room AC units is unlikely to be representative of an average-use cycle. 
The California IOUs commented that the consumer incurs energy losses 
during all hours when the room AC is installed, not just while the 
compressor is on. The California IOUs further commented that the method 
for calculating the annual cost of operation assumes that the unit is 
installed for at least 5,865 hours annually, with only 750 hours of 
compressor operation, and thus including energy losses from side 
curtains is important to ensure a fair comparison between room ACs with 
side curtains and competing products that do not incur side curtain 
losses, such as through-the-wall room ACs and mini-split air 
conditioners. The California IOUs recommended that DOE evaluate energy 
losses due to side curtains regardless of the mode of operation and 
determine a constant representative adjustment factor to account for 
the losses based on the size of the window room AC in the CEER. 
(California IOUs, No. 14 at p. 6) The Joint Commenters cited laboratory 
performance testing of louvered units in which the National Renewable 
Energy Laboratory found that standard testing simulations do not 
account for leakage in operation due to manufacturer-provided 
installation materials. According to the Joint Commenters, leakage from 
the manufacturer-provided

[[Page 16465]]

materials was equivalent to a 27-42 square inch hole in the wall, and 
an improved installation has the potential to reduce this leakage by 
65-85 percent. The Joint Commenters commented that, in the preliminary 
2020-06 Technical Support Document (``TSD''), DOE explained that 
because DOE's investigative testing was conducted with no pressure 
difference between the rooms, the tests were not able to measure the 
real-world impacts of infiltration.\35\ The Joint Commenters asserted 
that the test procedure does not capture potentially significant 
inefficiencies in typical installations. The Joint Commenters 
encouraged DOE to investigate how the test procedure could capture the 
effects of real-world installations of room AC units, which would 
provide an incentive to manufacturers to offer improved installation 
materials such that leakage is reduced. The Joint Commenters further 
stated that, in addition to saving energy, reducing leakage would also 
improve cooling performance by reducing the amount of hot air entering 
from outdoors, which ultimately would improve consumer comfort. (Joint 
Commenters, No. 15 at pp. 5-6)
---------------------------------------------------------------------------

    \35\ 2020-06 Technical Support Document: Energy Efficiency 
Program For Consumer Products And Commercial And Industrial 
Equipment: Room Air Conditioners (EERE-2014-BT-STD-0059-0013).
---------------------------------------------------------------------------

    DOE is not aware of an industry-accepted method to evaluate heat 
losses to the outdoors during the room AC representative use cycle or 
during times when the room AC is installed but not operating, or of any 
data quantifying the magnitude of these losses.
    DOE has preliminarily investigated applying a pressure difference 
between the indoor and outdoor chambers during the standard appendix F 
test procedure, as the Joint Commenters suggested. While it was 
possible to create a pressure difference between the rooms, temperature 
and humidity within the chamber did not stabilize and the resulting 
test data did not meet the tolerance requirements from ASHRAE 16-2016 
required in appendix F. Furthermore, for some larger-capacity units, it 
was difficult for the chamber to maintain the pressure difference 
throughout the rating test period given the air flow interaction 
between the unit operation and the chamber reconditioning equipment. It 
is therefore unclear how the influence of infiltration air could be 
measured within the DOE test procedure for room ACs, given the 
difficulties associated with testing using a fixed pressure difference 
between the indoor and outdoor test chambers.
    Therefore, as proposed, DOE is not requiring in this final rule 
installation of louvered room ACs with the manufacturer-provided 
installation materials, including side curtains, and instead is 
requiring the partition wall be sealed to the unit during testing, as 
specified in Section 6.1.1.4 of ANSI/ASHRAE Standard 16-2016. 
Accordingly, as discussed above, DOE is not adopting a test to 
evaluate, or a constant representative adjustment factor to account 
for, heat losses to the outdoors during the room AC representative use 
cycle or during times when the room AC is installed but not operating 
and is not adopting a test requiring a pressure differential between 
the indoor and outdoor chambers at this time.
d. Test Conditions
Multiple Test Conditions
    In the June 2020 NOPR, DOE did not propose additional cooling mode 
test conditions for single-speed room ACs because a test procedure that 
measures performance at both peak temperature conditions and a less 
extreme temperature would require a new overall weighted metric, room 
AC performance has historically been based on peak performance under 
elevated outdoor temperature conditions and peak performance would not 
be clearly portrayed by a weighted metric, and information about 
variable-speed room ACs is too limited to justify the expected 
substantial increase in test burden, utility impacts, and consumer 
confusion associated with measuring performance at reduced outdoor 
temperature test conditions for all room ACs. 85 FR 35700, 35723 (Jun. 
11, 2020).
    AHAM agreed with maintaining a single test condition for single-
speed room ACs. (AHAM, Public Meeting Transcript, No. 12 at pp. 50-53) 
ASAP, the California IOUs, and NEAA stated that testing only at the 95 
[deg]F outdoor test condition may not provide an accurate relative 
ranking of different single-speed room AC units as they are likely to 
have varying efficiency and performance at lower temperature 
conditions. (ASAP, Public Meeting Transcript, No. 12 at pp. 11-12; 
California IOUs, Public Meeting Transcript, No. 12 at pp. 30-33) NEAA 
suggested that single-speed room AC units be given the option to test 
at multiple test conditions to allow better single-speed options to 
demonstrate improved performance, while not requiring all products to 
retest. (NEAA, No. 16 at p. 3)
    The California IOUs encouraged DOE to amend the room AC test 
procedure to improve representativeness and facilitate product 
comparison with air conditioners tested under appendix M1 to 10 CFR 
part 430. The California IOUs stated that DOE's proposal to create a 
part-load test for room ACs with variable-speed compressors recognizes 
that testing single-speed room ACs only at full capacity is 
unrepresentative of an average-use cycle. The California IOUs stated 
that, in their experience, using different test procedures and energy 
consumption calculations for equipment that provides the same consumer 
utility, in this case, space conditioning, has the potential to create 
market distortions. The California IOUs further stated that the rest of 
the air conditioning industry has moved towards testing at part load, 
and recommended that DOE consider a consistent approach for room 
ACs.\36\ To minimize market confusion, the California IOUs suggested 
that the room AC test procedure should be as similar as possible for 
the test procedure for central air conditioners and heat pumps, 
including measuring part-load performance for room ACs, as defined for 
central air conditioners and heat pumps in appendix M1 to 10 CFR part 
430. The California IOUs stated that aligning test procedures and 
energy efficiency metrics for room ACs with a cooling capacity greater 
than or equal to 9,000 Btu/h and central air conditioners and heat 
pumps would enhance consumers' ability to choose the product that best 
fits their needs. The California IOUs further stated that, because many 
room AC manufacturers also make products that fall under appendix M1 to 
10 CFR part 430 and are familiar with the test procedure, the 
transition to a test procedure for room ACs aligned with appendix M1 
would be relatively easy. (California IOUs, No. 14 at pp. 1-3)
---------------------------------------------------------------------------

    \36\ Based on the context of the California IOUs' comment, it is 
understood that the California IOUs are referring to how appendix M1 
accounts for operation at reduced cooling loads and not load-based 
testing as discussed above.
---------------------------------------------------------------------------

    While certain single-speed room ACs may perform differently under 
reduced outdoor temperature test conditions, requiring two or more 
tests for every single-speed room AC, either by testing at multiple 
test conditions or aligning the room AC test procedure with appendix 
M1, would at least double the test burden on manufacturers of single-
speed room ACs that represent the vast majority of the market. A 
voluntary reduced outdoor temperature test would require a revision of 
the test procedure and the CEER metric to account for a multiple-
condition single-speed room AC test. Such an option may be

[[Page 16466]]

confusing to consumers who are trying to compare single-speed room ACs 
with metrics that are not directly comparable. Additionally, because 
single-speed units cannot cycle on and off during a reduced outdoor 
temperature test (i.e., because the chamber conditions are held 
constant throughout the test), the reduced outdoor temperature test 
alone would not be representative of the single-speed room AC's real 
world operation, and cycling would need to additionally be considered. 
Aligning the room AC test procedure with the appendix M1 test procedure 
would greatly increase the test burden on manufacturers for typically 
inexpensive and seasonal units. Therefore, in this final rule, DOE is 
not establishing multiple test conditions for single-speed room ACs or 
adopting provisions to align the room AC test procedure with the 
central air conditioner test procedure at appendix M1.
Cooling Test Alternatives
    DOE is aware of two approaches to measure part-load performance of 
a room AC, dynamic-cooling-load testing and constant-cooling-load 
testing. In both a dynamic-cooling-load test and a constant-cooling-
load test, the chamber indoor cooling load was provided at a specified 
rate or value throughout testing instead of maintaining specific 
temperature conditions within the test chamber. In the June 2020 NOPR, 
DOE explored a constant-cooling-load test and concluded that increased 
test burden, reduced repeatability and reproducibility, and a current 
lack of industry consensus on a constant-cooling-load or dynamic-
cooling-load test procedure outweighed potential benefits. 85 FR 35700, 
35723 (Jun. 11, 2020). Thus, in the June 2020 NOPR, DOE did not propose 
a constant-cooling-load or dynamic-cooling-load test for room ACs. Id.
    AHAM agreed with DOE's initial conclusion that the potential 
benefits of constant-cooling-load or dynamic-cooling-load tests do not 
justify the increase in test burden or the negative impact on 
repeatability and reproducibility. According to AHAM, DOE's testing 
demonstrated that conducting a constant-cooling-load test in a 
calorimeter test chamber would impact the repeatability and 
reproducibility--at cooling loads less than 75 percent of the tested 
unit cooling capacity, the indoor wet-bulb temperature variation in 
DOE's test sample sometimes exceeded 0.3 [deg]F. AHAM cited that DOE 
also observed challenges with the test chamber--the chamber controls 
were not capable of automatically achieving a specific cooling load 
condition. Additionally, AHAM commented that this type of testing would 
significantly increase test burden. (AHAM, No. 13 p. 6)
    ASAP, Joint Commenters, NEAA, and the California IOUs disagreed 
with DOE's initial conclusion and proposal in the June 2020 NOPR and 
urged DOE to use a load-based test to better represent real-world 
efficiency of both single-speed and variable-speed units. (ASAP, Public 
Meeting Transcript, No. 12 at p. 1; Joint Commenters, No. 15 at pp. 3-
4; NEAA, No. 16 at pp. 4-5) ASAP commented that using a load-based test 
procedure for all room ACs would provide the most representative 
efficiency ratings and accurate information for customers. (ASAP, 
Public Meeting Transcript, No. 12 at p. 1) The Joint Commenters noted 
that, for single-speed units, a load-based test would capture the 
impact of cycling losses. The Joint Commenters further noted that, for 
variable-speed units, load-based testing would capture the impact of 
control strategies that determine compressor and fan speed operation 
and would ensure that the test procedure reflects the real-world 
operation of these units. (Joint Commenters, No. 15 at pp. 3-5) NEAA 
commented that its initial load-based testing of ductless heat pumps 
indicated that controls can dramatically affect performance and 
suggested the same effects could be found with room ACs. (NEAA, No. 16 
at pp. 4-5)
    DOE acknowledges that a constant-cooling-load or dynamic-cooling-
load test for all room ACs has the potential to be more representative 
of real-world operation. However, a load-based test would reduce 
repeatability and reproducibility due to limitations in current test 
chamber capabilities, as discussed in the June 2020 NOPR, which would 
negatively impact the representativeness of the results and potentially 
be unduly burdensome. 85 FR 35700, 35723-35726 (Jun. 11, 2020). 
Therefore, based on DOE's investigative testing and to maintain test 
procedure alignment with AHAM RAC-1-2020, in this final rule DOE 
maintains its proposal not to include a constant-cooling-load or 
dynamic-cooling-load test for room ACs in appendix F.
e. Power Factor
    In the June 2020 NOPR, DOE did not propose requirements for 
measuring and reporting the power factor \37\ for room ACs. 85 FR 
35700, 35726 (Jun. 11, 2020). Based on investigative testing DOE found 
that there was no significant difference between the actual power drawn 
by a room AC and the apparent power supplied to the unit, meaning the 
additional burden of measuring and reporting the power factor would 
outweigh any benefits this information would provide. Id. The 
California IOUs agreed that the results--an average power factor of 
0.97 on 23 units--do not provide evidence that warrants the inclusion 
of power factor in the test procedure. However, the California IOUs 
commented that variable-speed motor controllers often have lower power 
factors compared to direct-on-line motors used in single-speed room ACs 
\38\ and requested that DOE indicate whether the room ACs tested 
included representative variable-speed compressor room ACs. If not, the 
California IOUs requested that DOE consider conducting power factor 
testing of variable-speed room ACs and reporting the results. 
(California IOUs, No. 14 at p. 5)
---------------------------------------------------------------------------

    \37\ The power factor of an alternating current electrical power 
system is defined as the ratio of the real power flowing to the load 
to the apparent power in the circuit. A load with a low power factor 
draws more electrical current than a load with a high power factor 
for the same amount of useful power transferred. The higher currents 
associated with low power factor increase the amount of energy lost 
in the electricity distribution system.
    \38\ Greenberg, S. (1988). Technology Assessment: Adjustable-
Speed Motors and Motor Drives. Lawrence Berkeley National 
Laboratory. LBNL Report #: LBL-25080. Retrieved from https://escholarship.org/uc/item/41z9k3q3.
---------------------------------------------------------------------------

    None of the 23 units DOE tested during the power factor 
investigation for the June 2020 NOPR were variable-speed units. To 
date, DOE has been unable to gather power factor data for variable-
speed room ACs due to instrumentation limitations. In the absence of 
data that suggest that variable-speed power factors are significantly 
different than single-speed power factors, DOE is not adopting a power 
factor measurement or reporting requirements for room ACs at appendix F 
in this final rule.
2. Heating Mode
    When a reverse cycle room AC is in heating mode, the indoor 
evaporator coil switches roles and becomes the condenser coil, 
providing heat to the indoor room. The outdoor condenser unit also 
switches roles to serve as the evaporator and discharges cold air to 
the outdoors. Appendix F does not include a method for measuring room 
AC energy consumption in heating mode.
    In the June 2020 NOPR, DOE did not propose a heating mode test 
procedure for room ACs based on the lack of data of room AC used for 
heating and given the potential concerns raised by stakeholders that 
combining cooling mode and heating mode performance

[[Page 16467]]

into a single metric may limit a consumer's ability to recognize the 
mode-specific performance and compare performance with room ACs that 
only provide cooling, and may lead to a reduction in cooling mode 
efficiency. 85 FR 35700, 35726 (Jun. 11, 2020).
    AHAM supported DOE's proposal, noting that there are insufficient 
data to support developing a test to measure heating mode as current 
data suggest it is not a significant operating mode for room ACs. AHAM 
stated that national, statistically significant consumer use data must 
be used to justify changes in order to satisfy the requirements of the 
Data Quality Act. In urging DOE to adopt AHAM RAC-1-2020 (formerly AHAM 
RAC-1-2019), which does not include a heating mode test, AHAM further 
agreed with DOE's proposal. (AHAM, Public Meeting Transcript, No. 12 at 
pp. 9-10; AHAM, No. 13 at pp. 2, 7)
    For the reasons discussed, and in the June 2020 NOPR, DOE is not 
establishing a heating mode test procedure for room ACs in appendix F.
3. Off-Cycle Mode
    Single-speed room ACs typically operate with a compressor on-off 
control strategy, where the compressor runs until the room temperature 
drops below a consumer-determined setpoint, then ceases to operate 
(i.e., the unit operates in off-cycle mode \39\) until the room 
temperature rises above the setpoint, at which time the compressor 
starts again. The points at which the compressor stops and restarts 
depend on the setpoint temperature defined by the user and the deadband 
\40\ programmed by the manufacturer. During the period in which the 
compressor remains off (i.e., off-cycle mode), the fan may operate in 
different ways depending on manufacturer implementation: (1) The fan 
ceases operation entirely; (2) the fan continues to operate for a short 
period of time after the setpoint is reached and then stops until the 
compressor is reactivated; (3) the fan continues to operate 
continuously for a short period of time, after which it cycles on and 
off periodically until the compressor is reactivated; or (4) the fan 
continues to operate continuously until the compressor is 
reactivated.\41\
---------------------------------------------------------------------------

    \39\ ``Off-cycle mode'' is distinct from ``off mode,'' in which 
a room AC not only ceases compressor and fan operation but also may 
remain in that state for an indefinite time, not subject to restart 
by thermostat or temperature sensor signal.
    \40\ The term ``deadband'' refers to the range of ambient air 
temperatures around the setpoint for which the compressor remains 
off, and above which cooling mode is triggered on.
    \41\ Unlike air circulation mode, off-cycle mode is not user-
initiated and only occurs when the ambient temperature has satisfied 
the setpoint.
---------------------------------------------------------------------------

    In the June 2020 NOPR, DOE did not propose a definition or test 
procedure for off-cycle mode. 85 FR 35700, 35728 (Jun. 11, 2020) 
Through investigative testing, DOE found that average power use in off-
cycle mode was relatively low (i.e., approximately 10 percent or less) 
compared to the average power used in cooling mode. Id. Thus, DOE 
initally determined that the additional 2-hour test burden that would 
be required to establish a test procedure for off-cycle mode would 
outweigh the benefits of measuring off-cycle mode power for room ACs. 
Id.
    AHAM agreed with DOE's proposal, commenting that EPCA requires test 
procedures to measure only a representative average use cycle/period of 
use, not every possible mode. AHAM further commented that the cooling 
cycle continues to be the most representative average use cycle for 
this purpose, with no data on the prevalence of consumer use of off-
cycle mode. (AHAM, No. 13 at p. 7)
    The California IOUs, the Joint Commenters, and NEAA disagreed with 
DOE's proposal, stating the exclusion of off-cycle mode testing would 
result in non-representative efficiency ratings. (California IOUs, No. 
14 at pp. 4-5; Joint Commenters, No. 15 at p. 3; NEAA, No. 16 at pp. 3-
4) The California IOUs commented that ENERGY STAR finds off-cycle power 
consumption sufficiently important to require qualifying room ACs to 
enable Energy Saver Mode (``ESM'') by default when the unit is switched 
on. The California IOUs expressed concern that assuming all room ACs 
typically operate in ESM may be unwarranted. (California IOUs, No. 14 
at pp. 4-5) The Joint Commenters commented that room AC units with 
continuous fan operation can consume close to 240 kilowatt-hours per 
year of energy in off-cycle mode alone, pointing to its prevalence and 
importance in testing. (Joint Commenters, No. 15 at p. 3) NEAA stated 
that, while more data are needed on the number of hours spent in off-
cycle and recirculation mode, these modes have the potential to account 
for a significant percentage of annual energy use. For example, NEAA 
commented that if a unit in the 6,000-7,900 Btu/h capacity range spent 
25 percent of the amount of time in the off-cycle mode than it does in 
compressor mode (i.e., 187.5 hours, DOE estimates 750 compressor hours 
per year on average), the off-cycle mode would account for 9 percent of 
annual energy use for an average continuous operation fan. NEAA further 
commented that if this same room AC spent the same number of hours in 
off-cycle hours as in compressor mode, the off-cycle mode would account 
for 37 percent of its annual energy use. (NEAA, No. 16 at pp. 3-4) The 
California IOUs, the Joint Commenters, and NEAA urged DOE to capture 
off-cycle mode power consumption, including fan operation, to provide a 
better representation of actual efficiency in the field and more 
accurate information to consumers. (California IOUs, No. 14 at pp. 4-5; 
Joint Commenters, No. 15 at p. 3; NEAA, No. 16 at pp. 3-4) The 
California IOUs specifically requested that DOE investigate consumer 
use of ESM compared to always-on fan operation modes, and determine the 
proportion of operating hours where the fan runs with the compressor 
off in order to accurately determine average power consumption during 
off-cycle mode and to include that power consumption in the test 
procedure. The California IOUs also requested that DOE create a 
definition for ``off-cycle mode''. (California IOUs, No. 14 at pp. 4-5)
    EPCA requires that the test procedures be reasonably designed to 
produce test results which measure the energy efficiency of room air 
conditioners during a representative average use cycle or period of use 
and not be unduly burdensome to conduct. (42 U.S.C. 6293(b)(2)) EPCA 
does not require the test procedure to evaluate every mode of 
operation. DOE notes that there are insufficient available data on the 
amount of time room ACs spend in off-cycle mode to support a conclusion 
that a test procedure capturing such operation would be representative 
of an average use cycle. Furthermore, as discussed in the June 2020 
NOPR, DOE found that energy consumption in off-cycle mode was 
relatively low, approximately 10 percent or less, of the power used 
during cooling mode. 85 FR 35700, 35728 (Jun. 11, 2020). While DOE 
understands that units with continuous fan modes during off-cycle mode 
may consume a higher percentage of energy relative to cooling mode, the 
units in DOE's test sample that operated the fan continuously during 
off-cycle mode were older models which are no longer in production and 
are not likely prevalent on the market.
    Because of the lack of data regarding operation in off-cycle, DOE 
is not adopting test procedures to address this mode.

[[Page 16468]]

F. Standby Modes and Off Mode

    Section 1.5 of appendix F defines inactive mode as a mode that 
facilitates the activation of active mode by remote switch (including 
by remote control) or internal sensor, or provides continuous status 
display. Section 1.6 of appendix F defines off mode as a mode distinct 
from inactive mode in which a room AC is connected to a mains power 
source and is not providing any active or standby mode function and 
where the mode may persist for an indefinite time. An indicator that 
only shows the user that the product is in the off position is included 
within the classification of an off mode. Section 1.7 of appendix F 
defines standby mode as any mode where a room AC is connected to a 
mains power source and offers one or more of the following user-
oriented or protective functions which may persist for an indefinite 
time: (a) To facilitate the activation of other modes (including 
activation or deactivation of active mode) by remote switch (including 
remote control), internal sensor, or timer; or (b) continuous 
functions, including information or status displays (including clocks) 
or sensor-based functions.
1. Referenced Standby Mode and Off Mode Test Standard
    In the January 2011 Final Rule, DOE amended the room AC test 
procedure by incorporating provisions from IEC Standard 62301 First 
Edition for measuring standby mode and off mode power. 76 FR 971, 979-
980 (Jan. 6, 2011). At that time, DOE reviewed the IEC Standard 62301 
First Edition and concluded that it would generally apply to room ACs, 
with some clarifications, including allowance for testing standby mode 
and off mode in either the test chamber used for cooling mode testing, 
or in a separate test room that meets the specified standby mode and 
off mode test conditions. 76 FR 971, 986.
    On January 27, 2011, IEC published IEC Standard 62301 Second 
Edition, an internationally accepted test procedure for measuring 
standby power in residential appliances, which included various 
clarifications to IEC Standard 62301 First Edition. Provisions from IEC 
Standard 62301 Second Edition are currently referenced in DOE test 
procedures for multiple consumer products for which standby mode and 
off mode energy use are measured (e.g., dehumidifiers, portable ACs, 
dishwashers, clothes washers, clothes dryers, conventional cooking 
products, microwave ovens).
    Based on its previous determinations for similar consumer products, 
DOE has determined that use of IEC Standard 62301 Second Edition for 
measuring the standby mode and off mode energy use for room ACs would 
improve the accuracy and representativeness of the test measurements 
and would not be unduly burdensome, compared to IEC Standard 62301 
First Edition. 80 FR 45801, 45822 (Jul. 31, 2015); 81 FR 35241, 35242 
(Jun. 1, 2016); 77 FR 65942, 55943 (Oct. 31, 2012); 80 FR 46729, 46746 
(Aug. 5, 2015); 78 FR 49607, 49609 (Aug. 14, 2013); 85 FR 50757, 50758 
(Aug. 8, 2020); 78 FR 4015, 4016 (Jan. 18, 2013). Accordingly, DOE 
references relevant paragraphs of IEC Standard 62301 Second Edition in 
appendix F in place of those from IEC Standard 62301 First Edition, as 
follows:
a. Power Measurement Uncertainty
    In the June 2020 NOPR, DOE proposed to reference the power 
equipment specifications from Section 4.4 of IEC Standard 62301 Second 
Edition for determining standby mode and off mode power in appendix F. 
85 FR 35700, 35729 (Jun. 11, 2020). DOE received no comments on these 
proposals from the June 2020 NOPR. For the reasons discussed on the 
June 2020 NOPR and in this document, DOE is requiring in this final 
rule that the power equipment specifications from Section 4.4 of IEC 
Standard 62301 Second Edition be used for determining standby mode and 
off mode power in appendix F.
b. Power Consumption Measurement Procedure
    In the June 2020 NOPR, DOE proposed to adopt through reference the 
sampling method from Section 5.3.2 of IEC Standard 62301 Second Edition 
to determine standby mode and off mode average power in appendix F. DOE 
initially determined the proposed update to the sampling method for all 
standby mode and off mode testing would not increase test burden, 
because power meters that can measure, store, and output readings at 
the required proposed sampling rate and accuracy for the sampling 
method are already widely used by test laboratories. DOE also initially 
determined that the power consumption measured with the sampling method 
would not substantively vary from that measured with the direct meter 
or average reading methods. 85 FR 35700, 35729 (Jun. 11, 2020).
    DOE received no comments on the proposal discussed above. For the 
reasons discussed on the June 2020 NOPR and in this document, DOE is 
adopting and referencing the sampling method from Section 5.3.2 of IEC 
Standard 62301 Second Edition to determine standby mode and off mode 
average power in appendix F.

G. Network Functionality

    Network functionality on room ACs may enable functions such as 
communicating with a network to provide real-time information on the 
temperature conditions in the room or receiving commands via a remote 
user interface such as a smartphone. DOE has observed that network 
features on room ACs are designed to operate in the background while 
the room AC performs other functions. These network functions may 
operate continuously during all operating modes, and therefore may 
impact the power consumption in all operating modes.
    DOE declined to adopt provisions to account for energy consumption 
associated with network functionality in the January 2011 Final Rule 
due to the lack of information about room ACs with network 
functionality. 76 FR 971, 983-984 (Jan. 6, 2011). On September 17, 
2018, DOE published a request for information (``RFI'') on the emerging 
smart technology appliance and equipment market. 83 FR 46886. In that 
RFI, DOE sought information to better understand market trends and 
issues in the emerging market for appliances and commercial equipment 
that incorporate smart technology. DOE's intent in issuing the RFI was 
to ensure that DOE did not inadvertently impede such innovation in 
fulfilling its statutory obligations in setting efficiency standards 
for covered products and equipment.
    In the June 2020 NOPR, DOE requested comment on the same issues 
presented in the emerging smart technologies RFI, as they may be 
applicable to room ACs and on the proposal to specify that all network 
or connectivity settings must be disabled during testing. 85 FR 35700, 
35730 (Jun. 11, 2020).
    AHAM and GEA supported DOE's proposal to test units with network 
capabilities with network settings disabled for all operating modes. 
AHAM noted this proposal is in accordance with AHAM RAC-1-2020, AHAM 
commented that there is not yet adequate consumer use data to justify 
amending the room AC test procedure. AHAM further stated that they are 
aware that some consumers do not even connect their network-enabled 
appliances to use the available features. AHAM recommended that DOE 
ensure that the room AC test procedure does not prematurely address new 
designs

[[Page 16469]]

which may not yet have an average use or be in common use, which could 
stifle innovation. Similarly, GEA commented that regulating the already 
small energy consumption of connected features risks stifling 
innovation, including the further development of energy saving 
features. (AHAM, No. 13 at pp. 8; GEA at No. 18, pp. 2) GEA reiterated 
these sentiments in comments on the energy conservation standards 
(``ECS'') Preliminary Analysis. (GEA, Preliminary Analysis, No. 26 at 
p. 2)
    ASAP, the Joint Commenters, and NEAA expressed concern that testing 
units with network capabilities with network settings disabled for all 
operating modes would significantly underrepresent energy consumption. 
They asserted that this would result in non-representative efficiency 
ratings. ASAP commented that units with network capabilities may 
consume additional power continuously in all operating modes. (ASAP, 
Public Meeting Transcript, No. 12 at pp. 12, 80-81; Joint Commenters, 
No. 15 at p. 3; NEAA, No. 16 at pp. 5-6)
    As stated in the June 2020 NOPR, DOE is not aware of any data 
regarding how often consumers use these features or how much energy the 
features consume during an average representative use cycle, and 
commenters did not provide any such data. Absent consumer usage data, 
DOE is unable at this time to evaluate potential test procedure 
provisions related to network capabilities.
    Similarly, DOE declined to adopt provisions to account for energy 
consumption associated with network functionality in the January 2011 
Final Rule due to the lack of information about room ACs with network 
functionality. 76 FR 971, 983-984 (Jan. 6, 2011). The test procedure 
adopted, however, did not affirmatively require that network 
capabilities of units under test be disabled. As a result, due to the 
growth in the number of network-enabled models of room ACs on the 
market, it has become increasingly likely that the test procedure 
adopted in January 2011 Final Rule may unintentionally capture energy 
use attributable to network functions. The amendment adopted in this 
rule precludes this possibility by reinforcing the intent of the 
January 2011 Final Rule.
    While there are a number of connected room ACs on the market with 
varying implementations of connected features, DOE is not aware of any 
data available, nor did interested parties provide any such data, 
regarding the consumer use of connected features. Without this data, 
DOE is unable to establish a representative test configuration for 
assessing the energy consumption of connected functionality for room 
ACs. DOE therefore maintains its proposal to test room ACs with network 
capabilities disabled. DOE is specifying in Section 3.1.4 of appendix F 
that units with network capabilities must be tested with the network 
settings disabled, and that those network settings remain disabled for 
all tested operating modes (i.e., cooling mode, standby mode, and off 
mode).

H. Demand Response

    The current U.S. Environmental Protection Agency's (``EPA's'') 
ENERGY STAR Product Specification for Room Air Conditioners Version 4.1 
\42\ specifies optional criteria for room ACs designed to provide 
additional functionality to consumers, such as alerts and messages, 
remote control and energy information, as well as demand response 
(``DR'') capabilities, which support the inclusion of room ACs in smart 
grid applications (hereafter ``connected room ACs''). These 
capabilities are network capabilities, as they require the room AC 
maintain communication continuously or intermittently with a server; 
however, DR functionality is a unique subset that enables smart grid 
communication and active modified operation in response to DR signals 
from an electric utility.
---------------------------------------------------------------------------

    \42\ The ENERGY STAR Certification Criteria V4.1 is available at 
https://www.energystar.gov/sites/default/files/ENERGY%20STAR%20Version%204.0%20Room%20Air%20Conditioners%20Program%20Requirements.pdf.
---------------------------------------------------------------------------

    On June 7, 2017, DOE and EPA published the final ENERGY STAR 
Program Requirements Product Specification for Room Air Conditioners: 
Test Method to Validate Demand Response (hereafter the ``June 2017 
ENERGY STAR Test Method''). This test method validates that a unit 
complies with ENERGY STAR's DR requirements, which are designed to 
reduce energy consumption upon receipt of a DR signal. However, DOE 
notes that the June 2017 ENERGY STAR Test Method does not measure the 
total energy consumption or average power while a unit responds to a DR 
signal. DOE noted in the June 2020 NOPR that no connected room ACs were 
available at that time on the market that complied with the full set of 
ENERGY STAR Version 4.1 connected criteria, and therefore, the energy 
consumption could not be determined for a range of products and 
manufacturers. 85 FR 35700, 35731 (Jun. 11, 2020). DOE also stated that 
there is little available information indicating the frequency of 
received DR signals that are specified in the ENERGY STAR connected 
criteria, and as a result, it is not possible to determine annual 
energy use attributed to DR signals. Id. Given the issues raised in the 
September 17, 2018 emerging smart technologies RFI, the lack of 
available connected room ACs on the market, and the lack of energy 
consumption and usage data regarding the DR signals, DOE did not 
propose to amend its room AC test procedure to measure energy 
consumption while a connected room AC is responding to a DR signal. Id.
    AHAM supported DOE's proposal, stating that products are 
continuously evolving with new features and with greater functionality. 
AHAM stated that these new features, including connectivity, are in the 
early stages of development and consumers are only beginning to use and 
understand them. AHAM commented that there are not yet adequate 
consumer use data to justify amending the room AC test procedure to 
include energy consumption while a connected room AC responds to a DR 
signal. AHAM further commented that consumer use and understanding of 
new technologies continues to evolve and to inform manufacturers' 
designs. As DOE evaluates potential changes, AHAM recommended that DOE 
be mindful that it will take time before many new features, designs, 
and technologies lend themselves to a ``representative average'' 
consumer use. AHAM further recommended that DOE ensure that the room AC 
test procedure does not prematurely address new designs which may not 
yet have an average use or be in common use, as doing so could stifle 
innovation. (AHAM, No. 13 at p. 8) AHAM reiterated these points in 
comments on the ECS Preliminary Analysis. (AHAM, Preliminary Analysis, 
No. 19 at pp. 15-16)
    DOE continues to find that there are insufficient consumer usage 
data to support amending the room AC test procedure to include 
connected energy consumption, and that the test procedure should not 
prematurely address new technologies absent sufficient average use 
data. Therefore, DOE is not amending the DOE test procedure for room 
ACs to include energy consumption while a connected room AC responds to 
a DR signal.

I. Combined Energy Efficiency Ratio

    The room AC energy efficiency metric, CEER, accounts for the 
cooling provided by the room AC in cooling mode as a function of the 
total energy consumption in cooling mode and inactive mode or off mode. 
In the June 2020 NOPR, DOE proposed to maintain

[[Page 16470]]

the current CEER calculations for single-speed room ACs, given the 
proposals discussed above. 85 FR 35700, 35731 (Jun. 11, 2020).
    AHAM supported DOE's proposal to maintain the current CEER 
calculations for single-speed room ACs, stating that there was no need 
to or justification for amending the CEER calculations at this time. 
(AHAM, No. 13 at p. 8).
    NEAA supported implementing a seasonal metric for all room ACs that 
would represent the performance at multiple outdoor temperature 
conditions, similar to the seasonal energy efficiency ratio (``SEER'') 
metric used for central air conditioners. NEAA suggested that in the 
near-term to reduce test burden, single-speed equipment should be 
allowed to use the current test procedure and to calculate a seasonal 
rating using a PAF. NEAA recommended that DOE maintain the peak CEER 
metric as a voluntary reporting metric. NEAA noted that this peak-load 
efficiency can continue to be used by utility programs and energy 
modelers but would not be the basis for energy conservation standards. 
(NEAA, No. 16 at p. 3; see also NEAA, Preliminary Analysis, No. 24 at 
pp. 3-4)
    DOE is not amending the energy efficiency metric for room ACs. 
While DOE recognizes the utility of a single test approach for all room 
ACs, as discussed in section III.E.1 of this document, DOE has 
determined that testing single-speed room ACs at multiple outdoor 
temperature conditions would result in an unwarranted increase in test 
burden on manufacturers. While this increase in test burden could be 
mitigated using NEEA's suggestion to test single-speed room ACs using 
the current test procedure and applying a PAF, DOE notes that this 
approach would require the recertification of all room ACs currently on 
the market, and for most models would likely change the cooling 
capacity and efficiency, both of which are metrics that are familiar to 
consumers and are used as a basis for purchasing decisions. Thus, a 
fundamental change to the cooling capacity and CEER metric, by adopting 
multiple test conditions or applying an adjustment factor for all 
single-speed room ACs would result in recertification costs and 
potential consumer confusion. Based on this reasoning, DOE is 
proceeding with its proposal to maintain the current CEER calculations 
for single-speed room ACs.

J. Certification and Verification Requirements

    In the June 2020 NOPR, DOE proposed to update the sampling plan and 
certification reporting requirements in 10 CFR 429.15(a)(2)(ii) and 
(b)(2) to conform the current metric by requiring the reporting of the 
CEER metric and to remove references to the previous performance 
metric, EER. 85 FR 35700, 35731(Jun. 11, 2020). For variable-speed room 
ACs, DOE proposed to require additional reporting of cooling capacity 
and electrical input power for each of the three additional test 
conditions as part of a supplemental PDF that would be referenced 
within the manufacturer's certification report. Id. DOE received no 
comments on the proposed changes to 10 CFR 429.15. DOE is amending the 
certification requirements as proposed to conform the reporting 
requirements to the current CEER metric and removing references to the 
previous performance metric, EER. For variable-speed room ACs, DOE 
requires the additional reporting of cooling capacity and electrical 
input power for each of the three additional test conditions as part of 
a supplemental PDF that would be referenced within the manufacturer's 
certification report.

K. Reorganization of Calculations in 10 CFR 430.23

    Previously, 10 CFR 430.23(f) contained instructions for determining 
a room AC's estimated annual operating cost, with calculations 
described for the average annual energy consumption, combined annual 
energy consumption, EER, and CEER.
    In the June 2020 NOPR, DOE proposed to remove the obsolete EER 
calculation. 85 FR 35700, 35731 (Jun. 11, 2020).
    The California IOUs expressed concern with DOE removing the EER 
calculation and metric, as doing so would prevent manufacturers from 
showing information if they so choose. The California IOUs supported 
its removal as long as DOE continues to require reporting of the full-
load capacity and power consumption, which is a substitute for EER. 
With the retention of the full-load capacity and power consumption 
metrics, the California IOUs stated that consumers are unlikely to be 
harmed, as knowing power consumption and efficiency at full load is 
essential to consumers in hot climates. Alternatively, the California 
IOUs recommended that DOE require reporting of the EER metric in the 
Compliance Certification Management System (``CCMS'') database, but 
that it not be the metric for energy conservation standards. 
(California IOUs, Public Meeting Transcript, No. 12 at pp. 72-75) AHAM 
commented that everything that is recorded is an additional burden and, 
in this case, continuing to report the EER metric in the CCMS database 
would be an unnecessary, additional burden. (AHAM, Public Meeting 
Transcript, No. 12 at p. 74)
    DOE agrees that requiring manufacturers to report the EER metric 
would be an unnecessary, additional burden on manufacturers. DOE also 
notes that maintaining the EER metric in public-facing materials may be 
confusing to consumers but that consumers will still have access to 
similarly important information through the full-load capacity and 
power consumption metrics that are currently reported to DOE and listed 
in the CCMS. Therefore, DOE is proceeding with its proposal from the 
June 2020 NOPR to remove the obsolete EER calculation and maintain the 
requirement to report full-load capacity and power consumption.
    In the June 2020 NOPR, DOE further proposed moving the CEER 
calculation from 10 CFR 430.23(f) to appendix F, to mitigate potential 
confusion, harmonize with the approach used for other products, and 
improve the readability of the calculations previously in 10 CFR 
430.23(f) and appendix F. 85 FR 35700, 35731 (Jun. 11, 2020). 
Similarly, DOE proposed removing the calculations for average annual 
energy consumption in cooling mode and combined annual energy 
consumption from 10 CFR 430.23(f) and instead adding calculations for 
annual energy consumption for each operating mode in appendix F. Id. 
DOE also proposed to include in 10 CFR 429.15(a)(3) through (5),10 CFR 
429.15 (b)(3), and 10 CFR 430.23(f) instructions to round cooling 
capacity to the nearest 100 Btu/h, electrical input power to the 
nearest 10 W, and CEER to the nearest 0.1 British thermal units per 
watt-hour (``Btu/Wh''), to provide consistency in room AC capacity, 
electrical input power, and efficiency representations. Id.
    In the June 2020 NOPR, DOE similarly proposed to establish 
instructions in appendix F to round cooling capacity to the nearest 100 
Btu/h, electrical input power to the nearest 10 W, and CEER to the 
nearest 0.1 Btu/Wh, to provide consistency in room AC capacity, 
electrical input power, and efficiency representations. Id. DOE also 
proposed to revise the estimated annual operating cost calculation to 
reference the annual energy consumption for each operating mode as 
calculated in appendix F, as opposed to the annual energy

[[Page 16471]]

consumption calculation previously located in 10 CFR 430.23. Id.
    AHAM understood DOE's proposal to be that rounding would take place 
on both the tested and reported values and opposed such an approach. 
AHAM stated that rounding both the tested and reported values would add 
too much variation; for example, it could add 1 percent error just due 
to rounding for an 8,000 Btu/h unit. AHAM further commented that there 
is a significant difference in results if only the mean is rounded 
versus both the individual test measurements and the mean being 
rounded. Accordingly, AHAM instead proposed rounding should take place 
only on the rated values (i.e., the cooling capacity) and that rounding 
should be to the hundreds of Btu/h because it is clearer to communicate 
round numbers to retailers and consumers. (AHAM, No. 13 at p. 9)
    DOE agrees with AHAM that rounding both the tested and reported 
values may introduce too much variance in the rated values. In the June 
2020 NOPR, DOE proposed to include rounding instructions to provide 
consistency in room AC capacity, electrical input power, and efficiency 
representations when conducting the test. 85 FR 35700, 35731 (Jun. 11, 
2020). While consistency in rounding between reported values and tested 
values is important, the accuracy of reported values outweighs concerns 
about consistency with the rounding for tested values. The proposed 
rounding instructions at 10 CFR 429.15 will ensure that there is 
consistency in reported results, while not affecting the accuracy of 
those reported values. Therefore, DOE is removing the proposed rounding 
instructions from 10 CFR 430.23(f) but maintaining the rounding 
instructions proposed in for 10 CFR 429.15.

L. Effective Date, Compliance Date and Waivers

    The effective date for the adopted test procedure amendment 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 that amended test procedure, 
beginning 180 days after publication of the test procedure final rule 
in the Federal Register. (42 U.S.C. 6293(c)(2)) EPCA provides an 
allowance for individual manufacturers to petition DOE for an extension 
of the 180-day period if the manufacturer would experience undue 
hardship in meeting the 180-day deadline. (42 U.S.C. 6293(c)(3)) To 
receive such an extension, a manufacturer must file a petition with DOE 
no later than 60 days before the end of the 180-day period and detail 
how the manufacturer will experience undue hardship. Id.
    Upon the compliance date of test procedure provisions in this final 
rule any waivers that had been previously issued and are in effect that 
pertain to issues addressed by such provisions are terminated. 10 CFR 
430.27(h)(2) (2020). Recipients of any such waivers are required to 
test products subject to the waiver according to the amended test 
procedure as of the compliance date of the amended test procedure. The 
amendments adopted in this document pertain to issues addressed by 
waivers and interim waivers granted to LG (Case No. 2020-011), Midea 
(Case No. 2020-017), and GEA (Case No. 2020-004). This final rule also 
addresses issues identified in pending waivers for Danby (Case No. 
2020-019),\43\ Electrolux (Case No. 2020-016),\44\ MARS (Case No. 2020-
021),\45\ and Perfect Aire (Case No. 2020-018).\46\ Per 10 CFR 
430.27(l), the publication of this final rule eliminates the need for 
the continuation of granted waivers. Publication of this final rule 
also eliminates the need for the pending petitions for waivers which 
have been requested for certain room AC models with variable-speed 
capabilities, as this final test procedure incorporates testing and 
certification requirements for variable-speed room ACs. However, these 
petitions are in ``pending'' status until DOE communicates a denial to 
the petitioners.
---------------------------------------------------------------------------

    \43\ The Danby waiver docket can be found at https://beta.regulations.gov/docket/EERE-2020-BT-WAV-0036/document.
    \44\ The Electrolux waiver docket can be found at https://beta.regulations.gov/document/EERE-2020-BT-WAV-0033-0001.
    \45\ The MARS waiver docket can be found at https://beta.regulations.gov/docket/EERE-2020-BT-WAV-0038/document.
    \46\ The Perfect Aire waiver docket can be found at https://beta.regulations.gov/docket/EERE-2020-BT-WAV-0034.
---------------------------------------------------------------------------

M. Test Procedure Costs, Impacts, and Other Topics

1. Test Procedure Costs and Impacts
    In this document, DOE amends the existing test procedure for room 
ACs by: (1) Referencing current versions of industry standards, as 
appropriate; (2) including test provisions to reflect the relative 
performance improvements for variable-speed room ACs compared to 
single-speed room ACs, including tests at multiple temperature 
conditions, based on the alternate test procedure from recent waivers; 
(3) updating definitions in support of the provisions for testing 
variable-speed room ACs, to ensure the test procedure is self-
contained, reflects existing test procedure terminology, and 
distinguishes between variable-speed and single-speed units; and (4) 
incorporating specifications and minor corrections to improve the test 
procedure repeatability, reproducibility, and overall readability. DOE 
has determined that the test procedure as amended by this final rule 
will not be unduly burdensome for manufacturers to conduct.
    Further discussion of the cost impacts of the test procedure 
amendments are presented in the following paragraphs.
Appendix F
    This final rule generally adopts the latest industry standard test 
procedure, AHAM RAC-1-2020, for determining the CEER for variable-speed 
room ACs, consistent with the procedure prescribed in the test 
procedure waivers. There are 10 basic models (four from LG and six from 
Midea) currently on the market subject to the test procedure waivers 
for variable-speed room ACs. 84 FR 20111 (May 8, 2019); 85 FR 31481 
(May 26, 2020). DOE expects that as many as 18 additional basic models 
will soon be introduced to the market subject to the GEA interim waiver 
for their variable-speed room ACs. 85 FR 59770 (Sep. 23, 2020). 
However, the final rule differs from those waivers in that it requires 
the use of fixed temperature conditions with a unit setpoint of 75 
[deg]F when testing at the 92 [deg]F and 95 [deg]F outdoor conditions, 
and therefore, the 28 variable-speed room AC basic models identified by 
DOE would need to be re-tested and re-certified according to this final 
rule. DOE did not identify any other manufacturers currently producing 
variable-speed room ACs that are sold in the United States.
    DOE estimates that it would require approximately 8 hours for 
manufacturers to conduct a variable-speed test for a room AC unit, as 
specified in this final rule. Additionally, DOE requires that at least 
two units must be tested per basic model. Therefore, a manufacturer 
would spend approximately 16 hours to test one variable-speed room AC 
basic model. DOE used the wage rate of a mechanical engineering 
technician from the Bureau of Labor Statistics (``BLS'') to estimate 
the wage rate of an employee performing these tests.\47\ Additionally,

[[Page 16472]]

DOE used data from the BLS to estimate the percent of wages that 
account for the total employee compensation.\48\ Using data from these 
sources, DOE estimates the hourly employer cost of an employee 
performing these test to be approximately $40.63.\49\ Using these 
estimates, DOE determines that there will be a one-time cost of 
approximately $18,202 for the 28 variable-speed room AC basic models to 
be re-tested.\50\
---------------------------------------------------------------------------

    \47\ Based on data from BLS's May 2019 publication of the 
``Occupational Employment and Wages,'' the mean hourly wage for 
mechanical engineering technologists and technicians is $28.44. See: 
https://www.bls.gov/oes/current/oes173027.htm. Last Accessed on 
November 12, 2020.
    \48\ Based on data from BLS's June 2020 publication of the 
``Employer Costs for Employee Compensation,'' wages and salary are 
70.0 percent of the total employer costs for a private industry 
worker. See: https://www.bls.gov/bls/news-release/ecec.htm#2020. 
Last Accessed on November 12, 2020.
    \49\ $28.44/0.700 = $40.63
    \50\ 28 (number of variable-speed room AC basic models 
potentially requiring re-testing) x 2 (units tested per basic model) 
x 8 (hours per test for variable-speed room ACs) x $40.63 (fully 
burdened hourly labor rate of employee performing the tests) = 
$18,202.24
---------------------------------------------------------------------------

    In addition to the re-testing costs, DOE estimates these three 
manufacturers may have to re-certify their variable-speed room AC basic 
models to DOE. DOE estimates that manufacturers spend approximately 35 
hours per manufacturer to submit a certification report to DOE, which 
may contain multiple models per report. DOE used an hourly wage rate of 
$100 for an employee to complete this certification report.\51\ 
Therefore, DOE estimates that the three manufacturers would spend 
approximately $10,500 to re-certify their variable-speed room AC basic 
models.\52\
---------------------------------------------------------------------------

    \51\ The 35-hour estimate and the $100 hourly wage estimate are 
based on information from 82 FR 57240; 57242 (December 4, 2017).
    \52\ 3 (number of manufacturers with variable-speed room ACs) x 
35 (hours per certification report) x $100 (hourly labor rate) = 
$10,500.
---------------------------------------------------------------------------

Additional Amendments
    The additional amendments adopted in this final rule (e.g., those 
applicable to the test procedure for single-speed room ACs) will not 
alter the measured energy efficiency as compared to the previous test 
procedure. The manufacturers of single-speed room ACs are able to 
continue relying on data generated under the previous test procedure 
for single-speed room ACs. The remainder of the amendments adopted in 
this final rule are as follows and will not impact test costs or 
results: (i) Modify the room AC definition in 10 CFR 430.2; (ii) adopt 
new definitions in appendix F for ``cooling mode,'' ``cooling 
capacity,'' ``combined energy efficiency ratio,'' and ``single-speed 
room air conditioner;'' (iii) update reference to ANSI/ASHRAE Standard 
16 to the most current 2016 version, which includes additional 
clarification on best practices for air sampler and thermocouple 
placement; (iv) specify in appendix F that non-louvered room ACs, which 
are designed for through-the-wall installation, must be installed using 
a compatible wall sleeve (per manufacturer instructions), with a 
provided or manufacturer-required rear grille, and with only the 
included trim frame and other manufacturer-provided installation 
materials; (v) require that the power equipment specifications from 
Section 4.4 of IEC Standard 62301 Second Edition be used for 
determining standby mode and off mode power in appendix F; (vi) adopt 
and reference the sampling method from Section 5.3.2 of IEC Standard 
62301 Second Edition to determine standby mode and off mode average 
power in appendix F; (vii) modify the certification requirements to 
conform the reporting requirements to the current CEER metric, and 
remove references to the previous performance metric, EER; and (viii) 
remove the proposed rounding instructions from the edits made to 10 CFR 
430.23(f) but maintain the rounding instructions proposed in for 10 CFR 
429.15.
    The amendments described above update referenced standards, modify 
or add definitions, and provide further instructions and clarification 
to the existing test procedures, and thus have no impact on testing 
cost.
2. Other Test Procedure Topics
    In this final rule, DOE is adopting a number of modifications to 
the Federal room AC test procedure to clarify provisions where the 
applicable industry consensus standard may either be silent or not 
fully address the matter in question. DOE has determined that the 
modifications are necessary so that the DOE test method satisfies the 
requirements of EPCA.

IV. Procedural Issues and Regulatory Review

A. Review Under Executive Order 12866

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

B. Review Under the Regulatory Flexibility Act

    The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) requires 
preparation of 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: https://energy.gov/gc/office-general-counsel.
    DOE reviewed this adopted rule under the provisions of the 
Regulatory Flexibility Act and the procedures and policies published on 
February 19, 2003. The final rule prescribes amended test procedures to 
measure the energy consumption of room ACs in cooling mode, standby 
modes, and off mode. DOE concludes that this final rule will not have a 
significant impact on a substantial number of small entities, and the 
factual basis for this certification is set forth in the following 
paragraphs.
    The Small Business Administration (``SBA'') considers a business 
entity to be small business, if, together with its affiliates, it 
employs less than a threshold number of workers specified in 13 CFR 
part 121. These size standards and codes are established by the North 
American Industry Classification System (``NAICS'') and are available 
at https://www.sba.gov/document/support--table-size-standards. Room AC 
manufacturing is classified under NAICS 333415, ``Air-Conditioning and 
Warm Air Heating Equipment and Commercial and Industrial Refrigeration 
Equipment Manufacturing.'' The SBA sets a threshold of 1,250 employees 
or fewer for an entity to be considered as a small business for this 
category. DOE used DOE's Compliance Certification Database to create a 
list of companies that sell room ACs covered by this rulemaking in the 
United States. Additionally, DOE surveyed the AHAM member directory to 
identify manufacturers of room ACs. DOE then consulted other publicly 
available data, purchased company reports from vendors such as Dun and 
Bradstreet,

[[Page 16473]]

and contacted manufacturers, where needed, to determine if they meet 
the SBA's definition of a ``small business manufacturing facility'' and 
have their manufacturing facilities located within the United States. 
Based on this analysis, DOE did not identify any small businesses that 
currently manufacture room ACs in the United States. DOE requested 
comment on its initial determination that there are no small businesses 
that manufacture room ACs in the United States. 85 FR 35700, 35733 
(Jun. 11, 2020). DOE received no comment on this issue.
    Because DOE did not identify any small businesses that manufacture 
room ACs in the United States, DOE concludes that the impacts of the 
test procedure amendments adopted in this final rule will not have a 
``significant economic impact on a substantial number of small 
entities,'' and that the preparation of an FRFA is not warranted.
    DOE has submitted 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 room ACs 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 room ACs. (See 
generally 10 CFR part 429.) The collection-of-information requirement 
for the certification and recordkeeping is subject to review and 
approval by OMB under the Paperwork Reduction Act (``PRA''). This 
requirement has been approved by OMB under OMB control number 1910-
1400. Public reporting burden for the certification is estimated to 
average 35 hours per response, including the time for reviewing 
instructions, searching existing data sources, gathering and 
maintaining the data needed, and completing and reviewing the 
collection of information.
    Notwithstanding any other provision of the law, no person is 
required to respond to, nor shall any person be subject to a penalty 
for failure to comply with, a collection of information subject to the 
requirements of the PRA, unless that collection of information displays 
a currently valid OMB Control Number.

D. Review Under the National Environmental Policy Act of 1969

    Pursuant to the National Environmental Policy Act of 1969 
(``NEPA''), DOE has analyzed this action in accordance with NEPA and 
DOE's NEPA implementing regulations (10 CFR part 1021). DOE has 
determined that this rule qualifies for categorical exclusion under 10 
CFR part 1021, subpart D, Appendix A5 because it is an interpretive 
rulemaking that does not change the environmental effect of the rule 
and meets the requirements for application of a CX. See 10 CFR 
1021.410. Therefore, DOE has determined that promulgation of this rule 
is not a major Federal action significantly affecting the quality of 
the human environment within the meaning of NEPA, and does not require 
an EA or EIS.

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. Public Law 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

[[Page 16474]]

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 https://energy.gov/gc/office-general-counsel. 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 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 https://www.energy.gov/sites/prod/files/2019/12/f70/DOE%20Final%20Updated%20IQA%20Guidelines%20Dec%202019.pdf. 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 room ACs adopted in 
this final rule incorporates testing methods contained in certain 
sections of the following commercial standards: AHAM RAC-1-2020, ANSI/
ASHRAE Standard 16-2016, ANSI/ASHRAE Standard 41.1-2013, ANSI/ASHRAE 
Standard 41.2-1987 (RA 1992), ANSI/ASHRAE Standard 41.3-2014, ANSI/
ASHRAE Standard 41.6-2014, ANSI/ASHRAE Standard 41.11-2014, and IEC 
Standard 62301 Second Edition. DOE has evaluated these standards and is 
unable to conclude whether it fully complies with the requirements of 
section 32(b) of the FEAA (i.e., whether it was developed in a manner 
that fully provides for public participation, comment, and review.) DOE 
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 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

    In this final rule, DOE incorporates by reference the industry 
standard published by AHAM, titled ``AHAM RAC-1-2020, `Room Air 
Conditioners' (AHAM RAC-1-2020).'' AHAM RAC-1-2020 establishes standard 
methods for measuring performance and includes sections on definitions, 
test conditions, tests for standard measurements, performance tests, 
and safety which apply to room air conditioners.
    Copies of AHAM RAC-1-2020 can be purchased from the Association of 
Home Appliance Manufacturers at 1111 19th Street NW, Suite 402, 
Washington, DC 20036, 202-872-5955, or by going to https://www.aham.org.
    In this final rule, DOE incorporates by reference the industry test 
standard published by ASHRAE, titled ``ANSI/ASHRAE 16-2016 (``ANSI/
ASHRAE 16-2016''), Method of Testing for Rating Room Air Conditioners 
and Packaged Terminal Air Conditioners.'' The amendments in this final 
rule include updated general references to ANSI/ASHRAE Standard 16-
2016, that address all areas of testing including installation, test 
setup, instrumentation, test conduct, data collection, and 
calculations. Specifically, the test procedure codified by this final 
rule references section 5.6.2 ``Electrical Instruments'' of ANSI/ASHRAE 
16-

[[Page 16475]]

2016, which provides requirements of accuracy for instruments used for 
measuring all electrical inputs to the calorimeter compartments.
    In this final rule, DOE incorporates by reference the industry test 
standards published by ASHRAE, titled ``Standard Method for Temperature 
Measurement,'' ANSI/ASHRAE Standard 41.1-2013, ``Standard Methods for 
Air Velocity and Airflow Measurement,'' ANSI/ASHRAE Standard 41.2-1987 
(RA 1992), ``Standard Methods for Pressure Measurement,'' ANSI/ASHRAE 
Standard 41.3-2014, ``Standard Methods for Humidity Measurement,'' 
ANSI/ASHRAE Standard 41.6-2014, and ``Standard Methods for Power 
Measurement,'' ANSI/ASHRAE Standard 41.11-2014. These standards are 
industry-accepted test procedures that prescribe methods and 
instruments for measuring temperature, air velocity, pressure, 
humidity, and power, respectively. These standards are cited by ANSI/
ASHRAE Standard 16-2016, which this final rule incorporates by 
reference.
    Copies of the ASHRAE Standards may be purchased from the American 
Society of Heating and Air-Conditioning Engineers at 1255 23rd Street 
NW, Suite #825, Washington, DC 20037, (202) 833-1830, or by going to 
https://webstore.ansi.org/.
    In this final rule, DOE incorporates by reference the industry 
standard by IEC, titled ``IEC 62301 Household electrical appliances--
Measurement of standby power,'' (Edition 2.0, 2011-01) for appendix F. 
Specifically, the test procedure codified by this final rule references 
Section 5, Paragraph 5.3.2 ``Sampling Method'' of IEC 62301, which 
provides test conditions, testing equipment, and methods for measuring 
standby mode and off mode power consumption, and Section 4.4 ``Power 
measuring instruments'' of IEC 62301, which provides specifications for 
determining standby mode and off mode power in appendix F. The 
amendments in this final rule include updating general references to 
IEC 62301 from the First Edition to the Second Edition and adopting a 
new standby power test approach.
    Copies of IEC Standard 62301 may be purchased from the 
International Electrotechnical Commission at 3 rue de Varemb[eacute], 
P.O. Box 131, CH-1211, Geneva 20, Switzerland, or by going to https://webstore.iec.ch/ and https://www.webstore.ansi.org.

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, Reporting and 
recordkeeping requirements.

10 CFR Part 430

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

Signing Authority

    This document of the Department of Energy was signed on March 8, 
2021, by Kelly Speakes-Backman, Principal Deputy Assistant Secretary 
and Acting Assistant Secretary for Energy Efficiency and Renewable 
Energy, pursuant to delegated authority from the Secretary of Energy. 
That document with the original signature and date is maintained by 
DOE. For administrative purposes only, and in compliance with 
requirements of the Office of the Federal Register, the undersigned DOE 
Federal Register Liaison Officer has been authorized to sign and submit 
the document in electronic format for publication, as an official 
document of the Department of Energy. This administrative process in no 
way alters the legal effect of this document upon publication in the 
Federal Register.

    Signed in Washington, DC, on March 11, 2021.
Treena V. Garrett,
Federal Register Liaison Officer, U.S. Department of Energy.

    For the reasons stated in the preamble, DOE amends parts 429 and 
430 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. Section 429.15 is amended by:
0
a. Removing the words ``energy efficiency ratio'' in paragraph 
(a)(2)(ii) and adding in its place the words ``combined energy 
efficiency ratio (CEER) (determined in Sec.  430.23(f)(3) for each unit 
in the sample)'';
0
b. Adding paragraphs (a)(3), (4), and (5);
0
c. Revising paragraph (b)(2); and
0
d. Adding paragraph (b)(3).
    The additions and revision read as follows:


Sec.  429.15  Room air conditioners.

    (a) * * *
    (3) The cooling capacity of a basic model is the mean of the 
measured cooling capacities for each tested unit of the basic model, as 
determined in Sec.  430.23(f)(1) of this chapter. Round the cooling 
capacity value to the nearest hundred.
    (4) The electrical power input of a basic model is the mean of the 
measured electrical power inputs for each tested unit of the basic 
model, as determined in Sec.  430.23(f)(2) of this chapter. Round the 
electrical power input to the nearest ten.
    (5) Round the value of CEER for a basic model to one decimal place.
    (b) * * *
    (2) Pursuant to Sec.  429.12(b)(13), a certification report shall 
include the following public product-specific information: The combined 
energy efficiency ratio in British thermal units per Watt-hour (Btu/
Wh)), cooling capacity in British thermal units per hour (Btu/h), and 
the electrical power input in watts (W).
    (3) Pursuant to Sec.  429.12(b)(13), a certification report for a 
variable-speed room air conditioner basic model must include 
supplemental information and instructions in PDF format that include--
    (i) The mean measured cooling capacity for the units tested at each 
additional test condition (i.e., respectively, the mean of 
Capacity2, Capacity3, and Capacity4, 
each expressed in Btu/h and rounded to the nearest 100 Btu/h, as 
determined in accordance with section 4.1.2 of appendix F of subpart B 
of part 430 of this chapter);
    (ii) The mean electrical power input at each additional test 
condition (respectively, the mean of Power2, 
Power3, and Power4, each expressed in W and 
rounded to the nearest 10 W, as determined in accordance with section 
4.1.2 of appendix F of subpart B of part 430 of this chapter); and
    (iii) All additional testing and testing set up instructions (e.g., 
specific operational or control codes or settings) necessary to operate 
the basic model under the required conditions specified by the relevant 
test procedure.

PART 430--ENERGY CONSERVATION PROGRAM FOR CONSUMER PRODUCTS

0
3. The authority citation for part 430 continues to read as follows:


[[Page 16476]]


    Authority:  42 U.S.C. 6291-6309; 28 U.S.C. 2461 note.


0
4. Section 430.2 is amended by revising the definition of ``Room air 
conditioner'' to read as follows:


Sec.  430.2  Definitions.

* * * * *
    Room air conditioner means a window-mounted or through-the-wall-
mounted encased assembly, other than a ``packaged terminal air 
conditioner,'' that delivers cooled, conditioned air to an enclosed 
space, and is powered by single-phase electric current. It includes a 
source of refrigeration and may include additional means for 
ventilating and heating.
* * * * *

0
5. Section 430.3 is amended by:
0
a. Revising paragraph (g)(1);
0
b. In paragraph (g)(6), removing ``appendix X1'' and adding in its 
place ``appendices F and X1'';
0
c. Redesignating paragraphs (g)(11) through (14) as (g)(15) through 
(18), respectively;
0
d. Redesignating paragraphs (g)(9) as (g)(12) and (g)(10) as (g)(13);
0
e. Redesignating paragraph (g)(8) as (g)(9);
0
f. Adding new paragraphs (g)(8), (10), (11), and (14);
0
g. Revising paragraph (i)(6);
0
h. In paragraph (o)(5), removing ``appendix F, and''; and
0
i. In paragraph (o)(6), adding ``F,'' before ``G''.
    The revisions and additions read as follows:


Sec.  430.3  Materials incorporated by reference.

* * * * *
    (g) * * *
    (1) ANSI/ASHRAE Standard 16-2016 (``ANSI/ASHRAE 16''), Method of 
Testing for Rating Room Air Conditioners, Packaged Terminal Air 
Conditioners, and Packaged Terminal Heat Pumps for Cooling and Heating 
Capacity, ANSI approved November 1, 2016, IBR approved for appendix F 
to subpart B.
* * * * *
    (8) ANSI/ASHRAE Standard 41.2-1987 (RA 92), (``ASHRAE 41.2-1987 (RA 
1992)''), Standard Methods for Laboratory Airflow Measurement, ANSI 
reaffirmed April 20, 1992, IBR approved for appendix F to subpart B.
* * * * *
    (10) ANSI/ASHRAE Standard 41.3-2014, (``ASHRAE 41.3-2014''), 
Standard Methods for Pressure Measurement, ANSI approved July 3, 2014, 
IBR approved for appendix F to subpart B.
    (11) ANSI/ASHRAE Standard 41.6-2014, (``ASHRAE 41.6-2014''), 
Standard Method for Humidity Measurement, ANSI approved July 3, 2014, 
IBR approved for appendix F to subpart B.
* * * * *
    (14) ANSI/ASHRAE Standard 41.11-2014, (``ASHRAE 41.11-2014''), 
Standard Methods for Power Measurement, ANSI approved July 3, 2014, IBR 
approved for appendix F to subpart B.
* * * * *
    (i) * * *
    (6) AHAM RAC-1-2020 (``AHAM RAC-1''), Energy Measurement Test 
Procedure for Room Air Conditioners, approved 2020, IBR approved for 
appendix F to subpart B.
* * * * *

0
6. Section 430.23 is amended by revising paragraph (f) to read as 
follows:


Sec.  430.23  Test procedures for the measurement of energy and water 
consumption.

* * * * *
    (f) Room air conditioners. (1) Determine cooling capacity, 
expressed in British thermal units per hour (Btu/h), as follows:
    (i) For a single-speed room air conditioner, determine the cooling 
capacity in accordance with section 4.1.2 of appendix F of this 
subpart.
    (ii) For a variable-speed room air conditioner, determine the 
cooling capacity in accordance with section 4.1.2 of appendix F of this 
subpart for test condition 1 in Table 1 of appendix F of this subpart.
    (2) Determine electrical power input, expressed in watts (W) as 
follows:
    (i) For a single-speed room air conditioner, determine the 
electrical power input in accordance with section 4.1.2 of appendix F 
of this subpart.
    (ii) For a variable-speed room air conditioner, determine the 
electrical power input in accordance with section 4.1.2 of appendix F 
of this subpart, for test condition 1 in Table 1 of appendix F of this 
subpart.
    (3) Determine the combined energy efficiency ratio (CEER), 
expressed in British thermal units per watt-hour (Btu/Wh) and as 
follows:
    (i) For a single-speed room air conditioner, determine the CEER in 
accordance with section 5.2.2 of appendix F of this subpart.
    (ii) For a variable-speed room air conditioner, determine the CEER 
in accordance with section 5.3.11 of appendix F of this subpart.
    (4) Determine the estimated annual operating cost for a room air 
conditioner, expressed in dollars per year, by multiplying the 
following two factors and rounding as directed:
    (i) For single-speed room air conditioners, the sum of 
AECcool and AECia/om, determined in accordance 
with section 5.2.1 and section 5.1, respectively, of appendix F of this 
subpart. For variable-speed room air conditioners, the sum of 
AECwt and AECia/om, determined in accordance with 
section 5.3.4 and section 5.1, respectively, of appendix F of this 
subpart; and
    (ii) A representative average unit cost of electrical energy in 
dollars per kilowatt-hour as provided by the Secretary. Round the 
resulting product to the nearest dollar per year.
* * * * *

0
7. Appendix F to subpart B of part 430 is revised to read as follows:

Appendix F to Subpart B of Part 430-Uniform Test Method for Measuring 
the Energy Consumption of Room Air Conditioners

    Note: On or after September 27, 2021, any representations made 
with respect to the energy use or efficiency of room air 
conditioners must be made in accordance with the results of testing 
pursuant to this appendix.
    Prior to September 27, 2021, manufacturers must either test room 
air conditioners in accordance with this appendix, or the previous 
version of this appendix as it appeared in the Code of Federal 
Regulations on January 1, 2020. DOE notes that, because 
representations made on or after September 27, 2021 must be made in 
accordance with this appendix, manufacturers may wish to begin using 
this test procedure immediately.

0. Incorporation by Reference

    DOE incorporated by reference the entire standard for AHAM RAC-
1, ANSI/ASHRAE 16, ANSI/ASHRAE 41.1, ASHRAE 41.2-1987 (RA 1992), 
ASHRAE 41.3-2014, ASHRAE 41.6-2014, ASHRAE 41.11-2014 and IEC 62301 
in Sec.  430.3. However, only enumerated provisions of AHAM RAC-1 
and ANSI/ASHRAE 16 apply to this appendix, as follows:

(1) ANSI/AHAM RAC-1:
    (i) Section 4--Testing Conditions, Section 4.1--General
    (ii) Section 5--Standard Measurement Test, Section 5.2--Standard 
Test Conditions: 5.2.1.1
    (iii) Section 6--Tests and Measurements, Section 6.1--Cooling 
capacity
    (iv) Section 6-- Tests and Measurements, Section 6.2--Electrical 
Input
(2) ANSI/ASHRAE 16:
    (i) Section 3--Definitions
    (ii) Section 5--Instruments
    (iii) Section 6--Apparatus, Section 6.1--Calorimeters, Sections 
6.1.1-6.1.1., 6.1.1.3a, 6.1.1.4-6.1.4, including Table 1
    (iv) Section 7--Methods of Testing, Section 7.1--Standard Test 
Methods, Section 7.1a, 7.1.1a
    (v) Section 8--Test Procedures, Section 8.1--General
    (vi) Section 8--Test Procedures, Section 8.2--Test Room 
Requirements

[[Page 16477]]

    (viii) Section 8--Test Procedures, Section 8.3--Air Conditioner 
Break-In
    (ix) Section 8--Test Procedures, Section 8.4--Air Conditioner 
Installation
    (x) Section 8 --Test Procedures, Section 8.5--Cooling Capacity 
Test
    (xi) Section 9--Data To Be Recorded, Section 9.1
    (xii) Section 10--Measurement Uncertainty
    (xiii) Normative Appendix A Cooling Capacity Calculations--
Calorimeter Test Indoor and Calorimeter Test Outdoor

If there is any conflict between any industry standard(s) and this 
appendix, follow the language of the test procedure in this 
appendix, disregarding the conflicting industry standard language.

Scope

    This appendix contains the test requirements to measure the 
energy performance of a room air conditioner.

2. Definitions

    2.1 ``Active mode'' means a mode in which the room air 
conditioner is connected to a mains power source, has been activated 
and is performing any of the following functions: Cooling or heating 
the conditioned space, or circulating air through activation of its 
fan or blower, with or without energizing active air-cleaning 
components or devices such as ultra-violet (UV) radiation, 
electrostatic filters, ozone generators, or other air-cleaning 
devices.
    2.2 ``ANSI/AHAM RAC-1'' means the test standard published 
jointly by the American National Standards Institute and the 
Association of Home Appliance Manufacturers, titled ``Energy 
Measurement Test Procedure for Room Air Conditioners,'' Standard 
RAC-1-2020 (incorporated by reference; see Sec.  430.3).
    2.3 ``ANSI/ASHRAE 16'' means the test standard published jointly 
by the American National Standards Institute and the American 
Society of Heating, Refrigerating, and Air-Conditioning Engineers 
titled ``Method of Testing for Rating Room Air Conditioners and 
Packaged Terminal Air Conditioners,'' Standard 16-2016 (incorporated 
by reference; see Sec.  430.3).
    2.4 ``ANSI/ASHRAE 41.1'' means the test standard published 
jointly by the American National Standards Institute and the 
American Society of Heating, Refrigerating, and Air-Conditioning 
Engineers titled ``Standard Method for Temperature Measurement,'' 
Standard 41.1-2013 (incorporated by reference; see Sec.  430.3).
    2.5 ``ASHRAE 41.2-1987 (RA 1992)'' means the test standard 
published jointly by the American National Standards Institute and 
the American Society of Heating, Refrigerating, and Air-Conditioning 
Engineers titled ``Standard Methods for Laboratory Airflow 
Measurement,'' Standard 41.2-1987 (RA 1992) (incorporated by 
reference; see Sec.  430.3).
    2.6 ``ASHRAE 41.3-2014'' means the test standard published 
jointly by the American National Standards Institute and the 
American Society of Heating, Refrigerating, and Air-Conditioning 
Engineers titled ``Standard Methods for Pressure Measurement,'' 
Standard 41.3-2014 (incorporated by reference; see Sec.  430.3).
    2.7 ``ASHRAE 41.6-2014'' means the test standard published 
jointly by the American National Standards Institute and the 
American Society of Heating, Refrigerating, and Air-Conditioning 
Engineers titled ``Standard Method for Humidity Measurement,'' 
Standard 41.6-2014 (incorporated by reference; see Sec.  430.3).
    2.8 ``ASHRAE 41.11-2014'' means the test standard published 
jointly by the American National Standards Institute and the 
American Society of Heating, Refrigerating, and Air-Conditioning 
Engineers titled ``Standard Methods for Power Measurement,'' 
Standard 41.11-2014 (incorporated by reference; see Sec.  430.3).
    2.9 ``Combined energy efficiency ratio'' means the energy 
efficiency of a room air conditioner in British thermal units per 
watt-hour (Btu/Wh) and determined in section 5.2.2 of this appendix 
for single-speed room air conditioners and section 5.3.12 of this 
appendix for variable-speed room air conditioners.
    2.10 ``Cooling capacity'' means the amount of cooling, in 
British thermal units per hour (Btu/h), provided to a conditioned 
space, measured under the specified conditions and determined in 
section 4.1 of this appendix.
    2.11 ``Cooling mode'' means an active mode in which a room air 
conditioner has activated the main cooling function according to the 
thermostat or temperature sensor signal or switch (including remote 
control).
    2.12 ``Full compressor speed (full)'' means the compressor speed 
at which the unit operates at full load test conditions, when using 
user settings to achieve maximum cooling capacity, according to the 
instructions in ANSI/ASHRAE Standard 16-2016.
    2.13 ``IEC 62301'' means the test standard published by the 
International Electrotechnical Commission, titled ``Household 
electrical appliances--Measurement of standby power,'' Publication 
62301 (Edition 2.0 2011-01), (incorporated by reference; see Sec.  
430.3).
    2.14 ``Inactive mode'' means a standby mode that facilitates the 
activation of active mode by remote switch (including remote 
control) or internal sensor or which provides continuous status 
display.
    2.15 ``Intermediate compressor speed (intermediate)'' means the 
compressor speed higher than the low compressor speed at which the 
measured capacity is higher than the capacity at low compressor 
speed by one third of the difference between Capacity4, 
the measured cooling capacity at test condition 4 in Table 1 of this 
appendix, and Capacity1, the measured cooling capacity 
with the full compressor speed at test condition 1 in Table 1 of 
this appendix, with a tolerance of plus 5 percent (designs with non-
discrete speed stages) or the next highest inverter frequency step 
(designs with discrete speed steps), achieved by following the 
instructions certified by the manufacturer.
    2.16 ``Low compressor speed (low)'' means the compressor speed 
at which the unit operates at low load test conditions, achieved by 
following the instructions certified by the manufacturer, such that 
Capacity4, the measured cooling capacity at test 
condition 4 in Table 1 of this appendix, is no less than 47 percent 
and no greater than 57 percent of Capacity1, the measured 
cooling capacity with the full compressor speed at test condition 1 
in Table 1 of this appendix.
     2.17 ``Off mode'' means a mode in which a room air conditioner 
is connected to a mains power source and is not providing any active 
or standby mode function and where the mode may persist for an 
indefinite time, including an indicator that only shows the user 
that the product is in the off position.
    2.18 ``Single-speed room air conditioner'' means a type of room 
air conditioner that cannot automatically adjust the compressor 
speed based on detected conditions.
    2.19 ``Standby mode'' means any product mode where the unit is 
connected to a mains power source and offers one or more of the 
following user-oriented or protective functions which may persist 
for an indefinite time:
    (a) To facilitate the activation of other modes (including 
activation or deactivation of active mode) by remote switch 
(including remote control), internal sensor, or timer. A timer is a 
continuous clock function (which may or may not be associated with a 
display) that provides regular scheduled tasks (e.g., switching) and 
that operates on a continuous basis.
    (b) Continuous functions, including information or status 
displays (including clocks) or sensor-based functions.
    2.20 ``Theoretical comparable single-speed room air 
conditioner'' means a theoretical single-speed room air conditioner 
with the same cooling capacity and electrical power input as the 
variable-speed room air conditioner under test, with no cycling 
losses considered, at test condition 1 in Table 1 of this appendix.
    2.21 ``Variable-speed compressor'' means a compressor that can 
vary its rotational speed in non-discrete stages or discrete steps 
from low to full.
    2.22 ``Variable-speed room air conditioner'' means a type of 
room air conditioner that can automatically adjust compressor speed 
based on detected conditions.

3. Test Methods and General Instructions

    3.1 Cooling mode. The test method for testing room air 
conditioners in cooling mode (``cooling mode test'') consists of 
applying the methods and conditions in AHAM RAC-1 Section 4, 
Paragraph 4.1 and for single-speed room air conditioners, Section 5, 
Paragraph 5.2.1.1, and for variable-speed room air conditioners, 
Section 5, Paragraph 5.2.1.2, except in accordance with ANSI/ASHRAE 
16, including the references to ANSI/ASHRAE 41.1, ANSI/ASHRAE 41.2-
1987 (RA 1992), ANSI/ASHRAE 41.3-2014, ANSI/ASHRAE 41.6-2014, and 
ANSI/ASHRAE 41.11-2014, all referenced therein, as defined in 
sections 2.3 through 2.8 of this appendix. Use the cooling capacity 
simultaneous indoor calorimeter and outdoor calorimeter test method 
in Section 7.1.a and Sections 8.1 through 8.5 of ANSI/ASHRAE 16, 
except as otherwise specified in this

[[Page 16478]]

appendix. If a unit can operate on multiple operating voltages as 
distributed in commerce by the manufacturer, test it and rate the 
corresponding basic models at all nameplate operating voltages. For 
a variable-speed room air conditioner, test the unit following the 
cooling mode test a total of four times: One test at each of the 
test conditions listed in Table 1 of this appendix, consistent with 
section 4.1 of this appendix.
    3.1.1 Through-the-wall installation. Install a non-louvered room 
air conditioner inside a compatible wall sleeve with the provided or 
manufacturer-required rear grille, and with only the included trim 
frame and other manufacturer-provided installation materials, per 
manufacturer instructions provided to consumers.
    3.1.2 Power measurement accuracy. All instruments used for 
measuring electrical inputs to the test unit, reconditioning 
equipment, and any other equipment that operates within the 
calorimeter walls must be accurate to 0.5 percent of the 
quantity measured.
    3.1.3 Electrical supply. For cooling mode testing, test at each 
nameplate operating voltage, and maintain the input standard voltage 
within 1 percent. Test at the rated frequency, 
maintained within 1 percent.
    3.1.4 Control settings. If the room air conditioner has network 
capabilities, all network features must be disabled throughout 
testing.
    3.1.5 Measurement resolution. Record measurements at the 
resolution of the test instrumentation.
    3.1.6 Temperature tolerances. Maintain each of the measured 
chamber dry-bulb and wet-bulb temperatures within a range of 1.0 
[deg]F.
    3.2 Standby and off modes.
    3.2.1 Install the room air conditioner in accordance with 
Section 5, Paragraph 5.2 of IEC 62301 and maintain the indoor test 
conditions (and outdoor test conditions where applicable) as 
required by Section 4, Paragraph 4.2 of IEC 62301. If testing is not 
conducted in a facility used for testing cooling mode performance, 
the test facility must comply with Section 4, Paragraph 4.2 of IEC 
62301.
    3.2.2 Electrical supply. For standby mode and off mode testing, 
maintain the electrical supply voltage and frequency according to 
the requirements in Section 4, Paragraph 4.3.1 of IEC 62301.
    3.2.3 Supply voltage waveform. For the standby mode and off mode 
testing, maintain the electrical supply voltage waveform indicated 
in Section 4, Paragraph 4.3.2 of IEC 62301.
    3.2.4 Wattmeter. The wattmeter used to measure standby mode and 
off mode power consumption must meet the resolution and accuracy 
requirements in Section 4, Paragraph 4.4 of IEC 62301.
    3.2.5 Air ventilation damper. If the unit is equipped with an 
outdoor air ventilation damper, close this damper during standby 
mode and off mode testing.

4. Test Conditions and Measurements

    4.1 Cooling mode.
    4.1.1 Temperature conditions. Establish the test conditions 
described in Sections 4 and 5 of AHAM RAC-1 and in accordance with 
ANSI/ASHRAE 16, including the references to ANSI/ASHRAE 41.1 and 
ANSI/ASHRAE 41.6-2014, for cooling mode testing, with the following 
exceptions for variable-speed room air conditioners: Conduct the set 
of four cooling mode tests with the test conditions presented in 
Table 1 of this appendix. For test condition 1 and test condition 2, 
achieve the full compressor speed with user settings, as defined in 
section 2.12 of this appendix. For test condition 3 and test 
condition 4, set the required compressor speed in accordance with 
instructions the manufacturer provided to DOE.

           Table 1--Indoor and Outdoor Inlet Air Test Conditions--Variable-Speed Room Air Conditioners
----------------------------------------------------------------------------------------------------------------
                                Evaporator inlet (indoor) air,  Condenser inlet (outdoor) air,
                                            [deg]F                          [deg]F
        Test condition         ---------------------------------------------------------------- Compressor speed
                                   Dry bulb        Wet bulb        Dry bulb        Wet bulb
----------------------------------------------------------------------------------------------------------------
Test Condition 1..............              80              67              95              75  Full.
Test Condition 2..............              80              67              92            72.5  Full.
Test Condition 3..............              80              67              87              69  Intermediate.
Test Condition 4..............              80              67              82              65  Low.
----------------------------------------------------------------------------------------------------------------

    4.1.2 Cooling capacity and power measurements. For single-speed 
units, measure the cooling mode cooling capacity (expressed in Btu/
h), Capacity, and electrical power input (expressed in watts), 
Pcool, in accordance with Section 6, Paragraphs 6.1 and 
6.2 of AHAM RAC-1, respectively, and in accordance with ANSI/ASHRAE 
16, including the references to ANSI/ASHRAE 41.2-1987 (RA 1992) and 
ANSI/ASHRAE 41.11-2014. For variable-speed room air conditioners, 
measure the condition-specific cooling capacity (expressed in Btu/
h), Capacitytc, and electrical power input (expressed in 
watts), Ptc, for each of the four cooling mode rating 
test conditions (tc), as required in Section 6, Paragraphs 6.1 and 
6.2, respectively, of AHAM RAC-1, respectively, and in accordance 
with ANSI/ASHRAE 16, including the references to ANSI/ASHRAE 41.2-
1987 (RA 1992) and ANSI/ASHRAE 41.11-2014.
    4.2 Standby and off modes. Establish the testing conditions set 
forth in section 3.2 of this appendix, ensuring the unit does not 
enter any active mode during the test. For a unit that drops from a 
higher power state to a lower power state as discussed in Section 5, 
Paragraph 5.1, Note 1 of IEC 62301, allow sufficient time for the 
room air conditioner to reach the lower power state before 
proceeding with the test measurement. Use the sampling method test 
procedure specified in Section 5, Paragraph 5.3.2 of IEC 62301 for 
testing all standby and off modes, with the following modifications: 
Allow the product to stabilize for 5 to 10 minutes and use an energy 
use measurement period of 5 minutes.
    4.2.1 If the unit has an inactive mode, as defined in section 
2.14 of this appendix, as defined in section 2.17 of this appendix, 
measure and record the average inactive mode power, Pia, 
in watts.
    4.2.2 If the unit has an off mode, as defined in section 2.17 of 
this appendix, measure and record the average off mode power, 
Pom, in watts.

5. Calculations

    5.1 Annual energy consumption in inactive mode and off mode. 
Calculate the annual energy consumption in inactive mode and off 
mode, AECia/om, expressed in kilowatt-hours per year 
(kWh/year).

AECia/om = (Pia x tia) + (Pom + tom)

Where:

AECia/om = annual energy consumption in inactive mode and 
off mode, in kWh/year.
Pia = average power in inactive mode, in watts, 
determined in section 4.2 of this appendix.
Pom = average power in off mode, in watts, determined in 
section 4.2 of this appendix.
tia = annual operating hours in inactive mode and 
multiplied by a 0.001 kWh/Wh conversion factor from watt-hours to 
kilowatt-hours. This value is 5.115 kWh/W if the unit has inactive 
mode and no off mode, 2.5575 kWh/W if the unit has both inactive and 
off mode, and 0 kWh/W if the unit does not have inactive mode.
tom = annual operating hours in off mode and multiplied 
by a 0.001 kWh/Wh conversion factor from watt-hours to kilowatt-
hours. This value is 5.115 kWh/W if the unit has off mode and no 
inactive mode, 2.5575 kWh/W if the unit has both inactive and off 
mode, and 0 kWh/W if the unit does not have off mode.

    5.2 Combined energy efficiency ratio for single-speed room air 
conditioners. Calculate the combined energy efficiency ratio for 
single-speed room air conditioners as follows:

[[Page 16479]]

    5.2.1 Single-speed room air conditioner annual energy 
consumption in cooling mode. Calculate the annual energy consumption 
in cooling mode for a single-speed room air conditioner, 
AECcool, expressed in kWh/year.

AECcool = 0.75 x Pcool

Where:

AECcool = single-speed room air conditioner annual energy 
consumption in cooling mode, in kWh/year.
Pcool = single-speed room air conditioner average power 
in cooling mode, in watts, determined in section 4.1.2 of this 
appendix.
0.75 is 750 annual operating hours in cooling mode multiplied by a 
0.001 kWh/Wh conversion factor from watt-hours to kilowatt-hours.

    5.2.2 Single-speed room air conditioner combined energy 
efficiency ratio. Calculate the combined energy efficiency ratio, 
CEER, expressed in Btu/Wh, as follows:
[GRAPHIC] [TIFF OMITTED] TR29MR21.002

Where:

CEER = combined energy efficiency ratio, in Btu/Wh.
Capacity = single-speed room air conditioner cooling capacity, in 
Btu/h, determined in section 4.1.2 of this appendix.
AECcool = single-speed room air conditioner annual energy 
consumption in cooling mode, in kWh/year, calculated in section 
5.2.1 of this appendix.
AECia/om = annual energy consumption in inactive mode or 
off mode, in kWh/year, calculated in section 5.1 of this appendix.
0.75 as defined in section 5.2.1 of this appendix.

    5.3 Combined energy efficiency ratio for variable-speed room air 
conditioners. Calculate the combined energy efficiency ratio for 
variable-speed room air conditioners as follows:
    5.3.1 Weighted electrical power input. Calculate the weighted 
electrical power input in cooling mode, Pwt, expressed in 
watts, as follows:

Pwt = [Sigma]tc Ptc x Wtc

Where:

Pwt = weighted electrical power input, in watts, in 
cooling mode.
Ptc = electrical power input, in watts, in cooling mode 
for each test condition in Table 1 of this appendix.
Wtc = weighting factors for each cooling mode test 
condition: 0.08 for test condition 1, 0.20 for test condition 2, 
0.33 for test condition 3, and 0.39 for test condition 4. tc 
represents the cooling mode test condition: ``1'' for test condition 
1 (95 [deg]F condenser inlet dry-bulb temperature), ``2'' for test 
condition 2 (92 [deg]F), ``3'' for test condition 3 (87 [deg]F), and 
``4'' for test condition 4 (82 [deg]F).

    5.3.2 Theoretical comparable single-speed room air conditioner. 
Calculate the cooling capacity, expressed in Btu/h, and the 
electrical power input, expressed in watts, for a theoretical 
comparable single-speed room air conditioner at all cooling mode 
test conditions.

Capacityss_tc = Capacity1 x (1 + 
(Mc x (95-Ttc)))
Pss_tc = P1 x (1-(Mp x (95-
Ttc)))

Where:

Capacityss_tc = theoretical comparable single-speed room 
air conditioner cooling capacity, in Btu/h, calculated for each of 
the cooling mode test conditions in Table 1 of this appendix.
Capacity1 = variable-speed room air conditioner unit's 
cooling capacity, in Btu/h, determined in section 4.1.2 of this 
appendix for test condition 1 in Table 1 of this appendix.
Pss_tc = theoretical comparable single-speed room air 
conditioner electrical power input, in watts, calculated for each of 
the cooling mode test conditions in Table 1 of this appendix.
P1 = variable-speed room air conditioner unit's 
electrical power input, in watts, determined in section 4.1.2 of 
this appendix for test condition 1 in Table 1 of this appendix.
Mc = adjustment factor to determine the increased 
capacity at lower outdoor test conditions, 0.0099 per [deg]F.
Mp = adjustment factor to determine the reduced 
electrical power input at lower outdoor test conditions, 0.0076 per 
[deg]F.
95 is the condenser inlet dry-bulb temperature for test condition 1 
in Table 1 of this appendix, 95 [deg]F.
Ttc = condenser inlet dry-bulb temperature for each of 
the test conditions in Table 1 of this appendix (in [deg]F).
tc as explained in section 5.3.1 of this appendix.

    5.3.3 Variable-speed room air conditioner unit's annual energy 
consumption for cooling mode at each cooling mode test condition. 
Calculate the annual energy consumption for cooling mode under each 
test condition, AECtc, expressed in kilowatt-hours per 
year (kWh/year), as follows:

AECtc = 0.75 x Ptc

Where:

AECtc = variable-speed room air conditioner unit's annual 
energy consumption, in kWh/year, in cooling mode for each test 
condition in Table 1 of this appendix.
Ptc = as defined in section 5.3.1 of this appendix.
0.75 as defined in section 5.2.1 of this appendix.
tc as explained in section 5.3.1 of this appendix.

    5.3.4 Variable-speed room air conditioner weighted annual energy 
consumption. Calculate the weighted annual energy consumption in 
cooling mode for a variable-speed room air conditioner, 
AECwt, expressed in kWh/year.

AECwt = [Sigma]tc AECtc x Wtc

Where:

AECwt = weighted annual energy consumption in cooling 
mode for a variable-speed room air conditioner, expressed in kWh/
year.
AECtc = variable-speed room air conditioner unit's annual 
energy consumption, in kWh/year, in cooling mode for each test 
condition in Table 1 of this appendix, determined in section 5.3.3 
of this appendix.
Wtc = weighting factors for each cooling mode test 
condition: 0.08 for test condition 1, 0.20 for test condition 2, 
0.33 for test condition 3, and 0.39 for test condition 4.
tc as explained in section 5.3.1 of this appendix.

    5.3.5 Theoretical comparable single-speed room air conditioner 
annual energy consumption in cooling mode at each cooling mode test 
condition. Calculate the annual energy consumption in cooling mode 
for a theoretical comparable single-speed room air conditioner for 
cooling mode under each test condition, AECss_tc, 
expressed in kWh/year.

AECss\tc = 0.75 x Pss\tc

Where:

AECss_tc = theoretical comparable single-speed room air 
conditioner annual energy consumption, in kWh/year, in cooling mode 
for each test condition in Table 1 of this appendix.
Pss_tc = theoretical comparable single-speed room air 
conditioner electrical power input, in watts, in cooling mode for 
each test condition in Table 1 of this appendix, determined in 
section 5.3.2 of this appendix.
0.75 as defined in section 5.2.1 of this appendix.
tc as explained in section 5.3.1 of this appendix.

    5.3.6 Variable-speed room air conditioner combined energy 
efficiency ratio at each cooling mode test condition. Calculate the 
variable-speed room air conditioner unit's combined energy 
efficiency ratio, CEERtc, for each test condition, 
expressed in Btu/Wh.

[[Page 16480]]

[GRAPHIC] [TIFF OMITTED] TR29MR21.003

Where:

CEERtc = variable-speed room air conditioner unit's 
combined energy efficiency ratio, in Btu/Wh, for each test condition 
in Table 1 of this appendix.
Capacitytc = variable-speed room air conditioner unit's 
cooling capacity, in Btu/h, for each test condition in Table 1 of 
this appendix, determined in section 4.1.2 of this appendix.
AECtc = variable-speed room air conditioner unit's annual 
energy consumption, in kWh/year, in cooling mode for each test 
condition in Table 1 of this appendix, determined in section 5.3.3 
of this appendix.
AECia/om = annual energy consumption in inactive mode of 
off mode, in kWh/year, determined in section 5.1 of this appendix.
0.75 as defined in section 5.2.1 of this appendix.
tc as explained in section 5.3.1 of this appendix.

    5.3.7 Theoretical comparable single-speed room air conditioner 
combined energy efficiency ratio. Calculate the combined energy 
efficiency ratio for a theoretical comparable single-speed room air 
conditioner, CEERss_tc, for each test condition, 
expressed in Btu/Wh.
[GRAPHIC] [TIFF OMITTED] TR29MR21.004

Where:

CEERss_tc = theoretical comparable single-speed room air 
conditioner combined energy efficiency ratio, in Btu/Wh, for each 
test condition in Table 1 of this appendix.
Capacityss_tc = theoretical comparable single-speed room 
air conditioner cooling capacity, in Btu/h, for each test condition 
in Table 1 of this appendix, determined in section 5.3.2 of this 
appendix.
AECss_tc = theoretical comparable single-speed room air 
conditioner annual energy consumption, in kWh/year, in cooling mode 
for each test condition in Table 1 of this appendix, determined in 
section 5.3.5 of this appendix.
AECia/om = annual energy consumption in inactive mode or 
off mode, in kWh/year, determined in section 5.1 of this appendix.
0.75 as defined in section 5.2.1 of this appendix.
tc as explained in section 5.3.1 of this appendix.

    5.3.8 Theoretical comparable single-speed room air conditioner 
adjusted combined energy efficiency ratio. Calculate the adjusted 
combined energy efficiency ratio, for a theoretical comparable 
single-speed room air conditioner, CEERss_tc_adj, with 
cycling losses considered, for each test condition, expressed in 
Btu/Wh.

CEERss\tc\adj = CEERss\tc x CLFtc

Where:

CEERss_tc_adj = theoretical comparable single-speed room 
air conditioner adjusted combined energy efficiency ratio, in Btu/
Wh, for each test condition in Table 1 of this appendix.
CEERss_tc = theoretical comparable single-speed room air 
conditioner combined energy efficiency ratio, in Btu/Wh, for each 
test condition in Table 1 of this appendix, determined in section 
5.3.7 of this appendix.
CLFtc = cycling loss factor for each test condition; 1 
for test condition 1, 0.956 for test condition 2, 0.883 for test 
condition 3, and 0.810 for test condition 4.
tc as explained in section 5.3.1 of this appendix.

    5.3.9 Weighted combined energy efficiency ratio. Calculate the 
weighted combined energy efficiency ratio for the variable-speed 
room air conditioner unit, CEERwt, and theoretical 
comparable single-speed room air conditioner, CEERss_wt, 
expressed in Btu/Wh.

CEERwt = [Sigma]tc CEERtc x Wtc

CEERss\wt = [Sigma]tc CEERss\tc\adj x Wtc

Where:

CEERwt = variable-speed room air conditioner unit's 
weighted combined energy efficiency ratio, in Btu/Wh.
CEERss_wt = theoretical comparable single-speed room air 
conditioner weighted combined energy efficiency ratio, in Btu/Wh.
CEERtc = variable-speed room air conditioner unit's 
combined energy efficiency ratio, in Btu/Wh, at each test condition 
in Table 1 of this appendix, determined in section 5.3.6 of this 
appendix.
CEERss_tc_adj = theoretical comparable single-speed room 
air conditioner adjusted combined energy efficiency ratio, in Btu/
Wh, at each test condition in Table 1 of this appendix, determined 
in section 5.3.8 of this appendix.
Wtc as defined in section 5.3.4 of this appendix.
tc as explained in section 5.3.1 of this appendix.

    5.3.10 Variable-speed room air conditioner performance 
adjustment factor. Calculate the variable-speed room air conditioner 
unit's performance adjustment factor, Fp.
[GRAPHIC] [TIFF OMITTED] TR29MR21.005

Where:

Fp = variable-speed room air conditioner unit's 
performance adjustment factor.
CEERwt = variable-speed room air conditioner unit's 
weighted combined energy efficiency ratio, in Btu/Wh, determined in 
section 5.3.9 of this appendix.
CEERss_wt = theoretical comparable single-speed room air 
conditioner weighted combined energy efficiency ratio, in Btu/Wh, 
determined in section 5.3.9 of this appendix.

    5.3.11 Variable-speed room air conditioner combined energy 
efficiency ratio. Calculate the combined energy efficiency ratio, 
CEER, expressed in Btu/Wh, for variable-speed air conditioners.

CEER = CEER1 x (1 + Fp)

Where:

CEER = combined energy efficiency ratio, in Btu/Wh.
CEER1 = variable-speed room air conditioner combined 
energy efficiency ratio for test condition 1 in Table 1 of this 
appendix, in Btu/Wh, determined in section 5.3.6 of this appendix.
Fp = variable-speed room air conditioner performance 
adjustment factor, determined in section 5.3.10 of this appendix.

[FR Doc. 2021-05415 Filed 3-26-21; 8:45 am]
BILLING CODE 6450-01-P

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