Energy Conservation Program: Test Procedure for VRF Multi-Split Systems, 70644-70687 [2021-26288]
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70644
Federal Register / Vol. 86, No. 235 / Friday, December 10, 2021 / Proposed Rules
DEPARTMENT OF ENERGY
10 CFR Parts 429 and 431
[EERE–2021–BT–TP–0019]
RIN 1904–AE43
Energy Conservation Program: Test
Procedure for VRF Multi-Split Systems
Office of Energy Efficiency and
Renewable Energy, Department of
Energy.
ACTION: Notice of proposed rulemaking
and request for comment.
AGENCY:
The U.S. Department of
Energy (‘‘DOE’’) proposes to amend the
test procedure for variable refrigerant
flow multi-split air conditioners and
heat pumps (‘‘VRF multi-split systems’’)
to incorporate by reference the latest
version of the industry test standard.
DOE also proposes to adopt the
integrated energy efficiency ratio metric
in its test procedures for VRF multi-split
systems. Additionally, DOE proposes to
adopt provisions in the updated
industry test procedure relevant to
certification and enforcement, including
a controls verification procedure. DOE
welcomes written comment from the
public on any subject within the scope
of this document (including topics not
specifically raised in this proposal), as
well as the submission of data and other
relevant information.
DATES:
Comments: DOE will accept written
comments, data, and information
regarding this notice of proposed
rulemaking (NOPR) on or before
February 8, 2022. See section V, ‘‘Public
Participation,’’ for details.
Meeting: DOE will hold a webinar on
Thursday, January 20, 2022, from 1:00
p.m. to 4:00 p.m. See section V, ‘‘Public
Participation,’’ for webinar registration
information, participant instructions,
and information about the capabilities
available to webinar participants.
ADDRESSES: Interested persons are
encouraged to submit comments using
the Federal eRulemaking Portal at
www.regulations.gov. Follow the
instructions for submitting comments.
Alternatively, interested persons may
submit comments, identified by docket
number EERE–2021–BT–TP–0019, by
any of the following methods:
1. Federal eRulemaking Portal:
www.regulations.gov.
2. Email: to
VRFMultisplitACHP2021TP0019@
ee.doe.gov. Include docket number
EERE–2021–BT–TP–0019 in the subject
line of the message. No telefacsimiles
(‘‘faxes’’) will be accepted. For detailed
instructions on submitting comments
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and additional information on this
process, see section V of this document
‘‘Public Participation.’’
Although DOE has routinely accepted
public comment submissions through a
variety of mechanisms, including the
Federal eRulemaking Portal, email,
postal mail or hand delivery/courier, the
Department has found it necessary to
make temporary modifications to the
comment submission process in light of
the ongoing corona virus 2019 (COVID–
19) pandemic. DOE is currently
suspending receipt of public comments
via postal mail and hand delivery/
courier. If a commenter finds that this
change poses an undue hardship, please
contact Appliance Standards Program
staff at (202) 586–1445 to discuss the
need for alternative arrangements. Once
the COVID–19 pandemic health
emergency is resolved, DOE anticipates
resuming all of its regular options for
public comment submission, including
postal mail and hand delivery/courier.
Docket: The docket, which includes
Federal Register notices, public
meeting/webinar attendee lists and
transcripts, comments, and other
supporting documents/materials, is
available for review at
www.regulations.gov. All documents in
the docket are listed in the
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.
The docket web page can be found at:
www.regulations.gov/docket/EERE2021-BT-TP-0019. The docket web page
contains instructions on how to access
all documents, including public
comments, in the docket. See section V
‘‘Public Participation’’ for information
on how to submit comments through
www.regulations.gov.
FOR FURTHER INFORMATION CONTACT:
Ms. Catherine Rivest, U.S. Department
of Energy, Office of Energy Efficiency
and Renewable Energy, Building
Technologies Office, EE–5B, 1000
Independence Avenue SW, Washington,
DC 20585–0121. Telephone: (202) 586–
7335. Email:
ApplianceStandardsQuestions@
ee.doe.gov.
Mr. Eric Stas, U.S. Department of
Energy, Office of the General Counsel,
GC–33, 1000 Independence Avenue SW,
Washington, DC 20585. Telephone:
(202) 586–5827. Email: Eric.Stas@
hq.doe.gov.
DOE has submitted the collection of
information contained in the proposed
rule to OMB for review under the
Paperwork Reduction Act, as amended.
(44 U.S.C. 3507(d)) Comments on the
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information collection proposal shall be
directed to the Office of Information and
Regulatory Affairs, Office of
Management and Budget, Attention:
Sofie Miller, OIRA Desk Officer by
email: sofie.e.miller@omb.eop.gov.
For further information on how to
submit a comment, review other public
comments and the docket, or participate
in the webinar, contact the Appliance
and Equipment Standards Program staff
at (202) 287–1445 or by email:
ApplianceStandardsQuestions@
ee.doe.gov.
DOE
proposes to maintain and update
previously approved incorporations by
reference and incorporate by reference
the following industry standard into
parts 429 and 431:
AHRI Standard 1230, (‘‘AHRI 1230–
2021’’), ‘‘Performance Rating of Variable
Refrigerant Flow (VRF) Multi-Split AirConditioning and Heat Pump
Equipment;’’ approved 2021.
ANSI/AHRI 1230–2010, 2010
Standard for Performance Rating of
Variable Refrigerant Flow (VRF) MultiSplit Air-Conditioning and Heat Pump
Equipment,’’ approved August 2, 2010
and updated by addendum 1 in March
2011, (AHRI 1230–2010).
Copies of AHRI 1230–2021 and AHRI
1230–2010 can be obtained from the
Air-Conditioning, Heating, and
Refrigeration Institute, 2311 Wilson
Blvd., Suite 400, Arlington, VA 22201
(703) 524–8800, or online at:
www.ahrinet.org/search-standards.aspx.
DOE proposes to amend the
previously approved incorporation by
reference for the following industry
standard in part 431:
ANSI/American Society of Heating,
Refrigerating and Air-Conditioning
Engineers (ASHRAE) Standard 37–2009,
‘‘Methods of Testing for Rating
Electrically Driven Unitary AirConditioning and Heat Pump
Equipment,’’ ASHRAE approved June
24, 2009.
Copies of ANSI/ASHRAE 37–2009
can be obtained from the American
National Standards Institute, 25 W 43rd
Street, 4th Floor, New York, NY 10036,
(212) 642–4800, or online at:
webstore.ansi.org/.
See section IV.M of this document for
a further discussion of these standards.
SUPPLEMENTARY INFORMATION:
Table of Contents
I. Authority and Background
A. Authority
B. Background
II. Synopsis of the Notice of Proposed
Rulemaking
III. Discussion
A. Scope of Applicability
B. General Comments
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C. Proposed Organization of the VRF
Multi-Split System Test Procedure
D. Industry Standards
1. Updates to AHRI 1230
2. ASHRAE 37
E. Metrics
1. IEER
2. Test Conditions Used for Efficiency
Metrics
F. Test Method
1. Setting Indoor Airflow and External
Static Pressure
2. Condenser Head Pressure Controls
3. Indoor Unit Operation During Part-Load
Tests
4. Transient Testing: Oil Recovery Mode
5. Secondary Methods for Capacity
Measurement
6. Heat Recovery
G. Specific Components
H. Controls Verification Procedure
1. Background
2. Purpose and Description
3. Critical Parameter Definition
4. Critical Parameter Variation and Budget
Method
5. Validation of Certified Critical
Parameters
6. Determination of Alternate Critical
Parameters
7. When the CVP Is Conducted
I. Allowable Critical Parameter Adjustment
1. Adjustment of Certified Critical
Parameter Values
2. Adjustment of Alternate Critical
Parameter Values
J. Certification, Compliance and
Enforcement
1. Represented Values
2. Certification Reporting Requirements
3. Models Required for AEDM Validation
4. Manufacturer Involvement
5. Certified Critical Parameter Operational
Settings
6. Enforcement Sampling Plan
K. Test Procedure Costs
L. Reserved Appendices for Test
Procedures for Commercial Air
Conditioning and Heating Equipment
M. Compliance Date
IV. Procedural Issues and Regulatory Review
A. Review Under Executive Order 12866
B. Review Under the Regulatory Flexibility
Act
C. Review Under the Paperwork Reduction
Act of 1995
D. Review Under the National
Environmental Policy Act of 1969
E. Review Under Executive Order 13132
F. Review Under Executive Order 12988
G. Review Under the Unfunded Mandates
Reform Act of 1995
H. Review Under the Treasury and General
Government Appropriations Act, 1999
I. Review Under Executive Order 12630
J. Review Under Treasury and General
Government Appropriations Act, 2001
K. Review Under Executive Order 13211
L. Review Under Section 32 of the Federal
Energy Administration Act of 1974
M. Description of Materials Incorporated
by Reference
V. Public Participation
A. Participation in the Webinar
B. Procedure for Submitting Prepared
General Statements for Distribution
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C. Conduct of the Webinar
D. Submission of Comments
E. Issues on Which DOE Seeks Comment
VI. Approval of the Office of the Secretary
I. Authority and Background
Commercial package air conditioning
and heating equipment is included in
the list of ‘‘covered equipment’’ for
which DOE is authorized to establish
and amend energy conservation
standards and test procedures. (42
U.S.C. 6311(1)(B) through (D))
Commercial package air conditioning
and heating equipment includes
variable refrigerant flow multi-split air
conditioners and heat pumps (‘‘VRF
multi-split systems’’). DOE’s energy
conservation standards and test
procedure for VRF multi-split systems
are currently prescribed at 10 CFR
431.97 and 10 CFR 431.96, respectively.
The following sections discuss DOE’s
authority to establish the test procedure
for VRF multi-split systems and relevant
background information regarding
DOE’s consideration of the test
procedure for this equipment.
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 C 2 of EPCA,
Public Law 94–163 (42 U.S.C. 6311–
6317, as codified), added by Public Law
95–619, Title IV, section 441(a),
established the Energy Conservation
Program for Certain Industrial
Equipment, which sets forth a variety of
provisions designed to improve energy
efficiency. This equipment includes
small, large, and very large commercial
package air conditioning and heating
equipment, which includes VRF multisplit systems, the subject of this NOPR.
(42 U.S.C. 6311(1)(B)–(D))
The energy conservation program
under EPCA consists essentially of four
parts: (1) Testing, (2) labeling, (3)
Federal energy conservation standards,
and (4) certification and enforcement
procedures. Relevant provisions of
EPCA include definitions (42 U.S.C.
6311), energy conservation standards
(42 U.S.C. 6313), test procedures (42
U.S.C. 6314), labeling provisions (42
U.S.C. 6315), and the authority to
require information and reports from
manufacturers (42 U.S.C. 6316).
The Federal testing requirements
consist of test procedures that
1 All references to EPCA in this document refer
to the statute as amended through the Energy Act
of 2020, Public Law 116–260 (Dec. 27, 2020).
2 For editorial reasons, upon codification in the
U.S. Code, Part C was redesignated Part A–1.
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manufacturers of covered equipment
must use as the basis for: (1) Certifying
to DOE that their equipment complies
with the applicable energy conservation
standards adopted pursuant to EPCA (42
U.S.C. 6316(b); 42 U.S.C. 6296), and (2)
making representations about the
efficiency of that equipment (42 U.S.C.
6314(d)). Similarly, DOE uses these test
procedures to determine whether the
equipment complies with relevant
standards promulgated under EPCA.
Federal energy efficiency
requirements for covered equipment
established under EPCA generally
supersede State laws and regulations
concerning energy conservation testing,
labeling, and standards. (42 U.S.C
6316(a) and (b); 42 U.S.C 6297) DOE
may, however, grant waivers of Federal
preemption for particular state laws or
regulations, in accordance with the
procedures and other provisions of
EPCA. (42 U.S.C. 6316(b)(2)(D))
Under 42 U.S.C. 6314, EPCA sets forth
the criteria and procedures DOE must
follow when prescribing or amending
test procedures for covered equipment.
EPCA requires that any test procedures
prescribed or amended under this
section must be reasonably designed to
produce test results which reflect energy
efficiency, energy use or estimated
annual operating cost of a given type of
covered equipment during a
representative average use cycle and
requires that test procedures not be
unduly burdensome to conduct. (42
U.S.C 6314(a)(2))
With respect to VRF multi-split
systems, EPCA requires that the test
procedures shall be those generally
accepted industry testing procedures or
rating procedures developed or
recognized by the Air-Conditioning,
Heating, and Refrigeration Institute
(‘‘AHRI’’) or the American Society of
Heating, Refrigerating, and AirConditioning Engineers (‘‘ASHRAE’’), as
referenced in ASHRAE/IES Standard
90.1, ‘‘Energy Standard for Buildings
Except Low-Rise Residential Buildings’’
(‘‘ASHRAE Standard 90.1’’). (42 U.S.C
6314(a)(4)(A)) Further, if such an
industry test procedure is amended,
DOE must amend its test procedure to
be consistent with the amended
industry test procedure unless it
determines, by a rule published in the
Federal Register and supported by clear
and convincing evidence, that the
amended test procedure would be
unduly burdensome to conduct or
would not produce test results that
reflect the energy efficiency, energy use,
and estimated operating costs of that
equipment during a representative
average use cycle. (42 U.S.C.
6314(a)(4)(B))
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EPCA also requires that, at least once
every 7 years, DOE evaluate test
procedures for each type of covered
equipment, including VRF multi-split
systems, to determine whether amended
test procedures would more accurately
or fully comply with the requirements
for the test procedures to not be unduly
burdensome to conduct and be
reasonably designed to produce test
results that reflect energy efficiency,
energy use, and estimated operating
costs during a representative average
use cycle. (42 U.S.C 6314(a)(1))
In addition, if the Secretary
determines that a test procedure
amendment is warranted, the Secretary
must publish proposed test procedures
in the Federal Register, and afford
interested persons an opportunity (of
not less than 45 days duration) to
present oral and written data, views,
and arguments on the proposed test
procedures. (42 U.S.C 6314(b)) If DOE
determines that test procedure revisions
are not appropriate, DOE must publish
in the Federal Register its
determination not to amend the test
procedures. (42 U.S.C. 6314(a)(1)(A)(ii))
DOE is proposing amendments to the
test procedures for VRF multi-split
systems in satisfaction of its statutory
obligations under EPCA.
B. Background
DOE’s existing test procedure for VRF
multi-split systems appears at 10 CFR
431.96 (‘‘Uniform test method for the
measurement of energy efficiency of
commercial air conditioners and heat
pumps’’). The Federal test procedure for
VRF multi-split systems was last
amended in a final rule for standards
and test procedures for certain
commercial heating, air conditioning,
and water heating equipment published
on May 16, 2012 (‘‘May 2012 Final
Rule’’). 77 FR 28928. With regard to
VRF multi-split systems, the May 2012
Final Rule adopted the test procedure
American National Standards Institute
(‘‘ANSI’’)/AHRI Standard 1230–2010
‘‘2010 Standard for Performance Rating
of Variable Refrigerant Flow (VRF)
Multi-Split Air-Conditioning and Heat
Pump Equipment,’’ approved August 2,
2010 and updated by Addendum 1 in
March 2011 (‘‘ANSI/AHRI 1230–2010’’).
77 FR 28928, 28945–28946; see 10 CFR
431.96, Table 1. Specifically, the DOE
test procedure for VRF multi-split
systems was modified to reference
ANSI/AHRI 1230–2010 with Addendum
1, but omitting sections 5.1.2 and 6.6. 77
FR 28928, 28990–28991. The May 2012
Final Rule also adopted additional
requirements, listed in 10 CFR
431.96(c)–(f), for measuring the energy
efficiency ratio (‘‘EER’’) and coefficient
of performance (‘‘COP’’) for air-cooled
VRF multi-split systems with a cooling
capacity between 65,000 Btu/h and
760,000 Btu/h and water-source VRF
multi-split systems with a cooling
capacity less than 760,000 Btu/h. Id.
These additional requirements specify
provisions for equipment set-up and
provide for limited involvement of
manufacturer representatives during
testing. 77 FR 28928, 28991.
In 2016,3 ASHRAE Standard 90.1 was
updated, but the 2016 update did not
make changes to the test procedure
references in ASHRAE Standard 90.1–
2013 for VRF multi-split systems. On
July 25, 2017, DOE published a request
for information (‘‘RFI’’) (‘‘July 2017
ASHRAE TP RFI’’) to collect
information and data to consider
amendments to DOE’s test procedures
for commercial package air conditioning
and heating equipment with the test
procedure updates included in ASHRAE
Standard 90.1–2016. 82 FR 34427. As
part of the July 2017 ASHRAE TP RFI
DOE requested comment on the VRF
multi-split systems test procedure,
under the 7-year lookback requirement.
82 FR 34427, 34429. DOE identified
several issues that might have warranted
modifications to the applicable VRF
multi-split systems test procedure, in
particular concerning incorporation by
reference of the most recent version of
the relevant industry standard(s);
efficiency metrics and calculations; and
clarification of test methods. 82 FR
34427, 34427.
DOE received a number of comments
regarding VRF multi-split systems from
interested parties in response to the July
2017 ASHRAE TP RFI, which covered
multiple categories of equipment. Table
I–1 lists the commenters that provided
comments relevant to VRF multi-split
systems, along with each commenter’s
abbreviated name used throughout this
NOPR. Discussion of the relevant
comments, and DOE’s responses, are
provided in the appropriate sections of
this document.
TABLE I–1—INTERESTED PARTIES PROVIDING COMMENT ON VRF MULTI-SPLIT SYSTEMS IN RESPONSE TO THE JULY 2017
ASHRAE TP RFI
Name
Abbreviation
Type
Air-Conditioning, Heating, and Refrigeration Institute ..................................................................................
Appliance Standards Awareness Project, Alliance to Save Energy, American Council for an Energy-Efficient Economy, Northwest Energy Efficiency Alliance, and Northwest Power and Conservation Council.
Carrier Corporation, part of United Technologies Climate, Controls & Security Business .........................
Goodman Global, Inc ...................................................................................................................................
Trane Technologies ......................................................................................................................................
Lennox International Inc ...............................................................................................................................
Mitsubishi Electric Cooling & Heating, a division of Mitsubishi Electric US, Inc .........................................
National Comfort Institute .............................................................................................................................
Pacific Gas and Electric Company, Southern California Gas Company, San Diego Gas and Electric,
and Southern California Edison (collectively, California Investor-Owned Utilities).
AHRI ........................................
Joint Advocates .......................
IR.
EA.
Carrier ......................................
Goodman .................................
Trane .......................................
Lennox .....................................
Mitsubishi .................................
NCI ..........................................
CA IOUs ..................................
M.
M.
M.
M.
M.
IR.
U.
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EA: Efficiency/Environmental Advocate; IR: Industry Representative; M: Manufacturer; U: Utility.
3 No publication date is printed on ASHRAE
Standard 90.1–2016, but ASHRAE issued a press
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release on October 26, 2016, which is available at
www.ashrae.org/news/2016/ashrae-ies-publish-
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2016-energy-efficiency-standard. Last accessed
April 30, 2021.
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A parenthetical reference at the end of
a comment quotation or paraphrase
provides the location of the item in the
public record.4
In September 2017, AHRI published
an update to ANSI/AHRI 1230, i.e.,
ANSI/AHRI 1230–2014 with Addendum
1 (although published in 2017, the
update uses a 2014 designation).
On April 11, 2018, DOE published in
the Federal Register a notice of its
intent to establish a negotiated
rulemaking working group (‘‘Working
Group’’) under the Appliance Standards
and Rulemaking Federal Advisory
Committee (‘‘ASRAC’’), in accordance
with the Federal Advisory Committee
Act 5 and the Negotiated Rulemaking
Act,6 to negotiate the proposed test
procedure and amended energy
conservation standards for VRF multisplit systems. 83 FR 15514. The purpose
of the Working Group was to discuss
and, if possible, reach consensus on a
proposed rule regarding the test
procedure and energy conservation
standards for VRF multi-split systems,
as authorized by EPCA. Id. at 83 FR
15514.
The Working Group comprised 21
voting members including
manufacturers, energy efficiency
advocates, utilities, and trade
organizations.7 On October 1, 2019, the
Working Group reached consensus on a
term sheet (‘‘VRF TP Term Sheet’’) that
includes the following
recommendations, which highlight the
most substantial changes: (Docket No.
EERE–2018–BT–STD–0003–0044)
1. VRF multi-split systems should be rated
with the Integrated Energy Efficiency Ratio
(‘‘IEER’’) metric to allow consumers to make
consistent comparisons with rooftop air
conditioner ratings.
2. The amended test procedure should not
be required until the compliance date of
amended energy conservation standards.
3. The Federal test procedure for VRF
multi-split systems should be consistent with
the September 20, 2019 draft version of AHRI
1230, with additional amendments to be
implemented after the conclusion of ASRAC
negotiations.
(Id at pp. 1, 3)
The additional recommended
amendments are discussed further in
section III of this NOPR.
On May 18, 2021, AHRI published an
updated industry standard for VRF
multi-split systems AHRI Standard
1230, ‘‘2021 Standard for Performance
Rating of Variable Refrigerant Flow
(VRF) Multi-Split Air-Conditioning and
Heat Pump Equipment’’ (‘‘AHRI
Standard 1230–2021’’), which in turn
references ANSI/ASHRAE Standard 37–
2009 (including Errata Sheet issued
October 3, 2016) ‘‘Methods of Testing
for Rating Electrically Driven Unitary
Air-Conditioning and Heat Pump
Equipment’’ (‘‘ANSI/ASHRAE 37–
2009’’) for additional test setup and
methodology specifications. AHRI
standard 1230–2021 is discussed in
further detail in section III.D.1 of this
NOPR.
II. Synopsis of the Notice of Proposed
Rulemaking
In this NOPR, DOE proposes to
update § 431.96, ‘‘Uniform test method
for the measurement of energy
efficiency of commercial air
conditioners and heat pumps,’’ to align
the relevant references to the most
recent version of the industry test
procedure as follows: (1) Incorporate by
reference AHRI 1230–2021 and ANSI/
ASHRAE 37–2009 (including Errata
Sheet issued October 3, 2016); and (2)
establish provisions for determining
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IEER for VRF multi-split systems. DOE
further proposes to add new appendices
D and D1 to subpart F of part 431, both
entitled ‘‘Uniform test method for
measuring the energy consumption of
variable refrigerant flow multi-split air
conditioners and heat pumps (other
than air-cooled with rated cooling
capacity less than 65,000 Btu/h),’’
(‘‘appendix D’’ and ‘‘appendix D1’’,
respectively). The current DOE test
procedure for VRF multi-split systems
would be relocated to appendix D
without change, and the new test
procedure adopting AHRI 1230–2021
would be established in appendix D1 for
determining IEER. Compliance with
appendix D1 would not be required
until such time as compliance is
required with amended energy
conservation standards for VRF multisplit systems that rely on IEER, should
DOE adopt such standards.
In this NOPR, DOE also proposes to
update its certification, compliance, and
enforcement (‘‘CCE’’) provisions for VRF
multi-split systems, to provide
information that is necessary for testing
VRF multi-split systems consistent with
the updated industry test procedure
AHRI 1230–2021. Most significantly,
these proposed changes include the
incorporation of the controls
verification procedure (‘‘CVP’’) from
AHRI 1230–2021 into DOE’s productspecific enforcement provisions at 10
CFR 429.134, as well as accompanying
certification requirements at 10 CFR
429.43. DOE is also proposing to amend
the sampling size requirements for
enforcement from a maximum sample
size of not more than four units to
require testing of two units.
DOE’s proposed actions are
summarized in Table II–1 and addressed
in detail in section III of this document.
TABLE II–1—SUMMARY OF CHANGES IN PROPOSED TEST PROCEDURE RELATIVE TO CURRENT TEST PROCEDURE
Current DOE test procedure
Incorporates by reference ANSI/
AHRI 1230–2010.
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Includes provisions for determining
EER.
Does not include VRF-specific provisions for determination of represented values in 10 CFR
429.43.
Proposed test procedure
Attribution
Incorporates by reference in a new Appendix D1 AHRI 1230–2021
and ANSI/ASHRAE 37–2009 (including Errata Sheet issued October 3, 2016).
Includes provisions for determining both EER and IEER .....................
Updates to the applicable industry
test procedures.
Includes provisions in 10 CFR 429.43 specific to VRF multi-split systems to determine represented values for units approved for use
with multiple refrigerants, and determine represented values for different indoor unit combinations.
4 The parenthetical reference provides a reference
for information located in a docket related to DOE’s
rulemaking to develop test procedure for VRF
multi-split systems. As noted, the July 2017
ASHRAE TP RFI addressed multiple different
equipment categories and is available under docket
number EERE–2017–BT–TP–0018. As this NOPR
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addresses only VRF multi-split systems, it has been
assigned a separate docket number i.e., EERE–2021–
BT–TP–0019). The references are arranged as
follows: (Commenter name, comment docket ID
number, page of that document).
5 5 U.S.C. App. 2, Public Law 92–463.
6 5 U.S.C. 561–570, Public Law 104–320.
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Updates to the applicable industry
test procedures.
Establish VRF-specific provision
for determination of represented
values.
7 A complete list of the ASRAC VRF Working
Group members is available at: www.energy.gov/
eere/buildings/appliance-standards-andrulemaking-federal-advisory-committee#Variable%
20Refrigerant%20Flow%20Multi-Split%
20Air%20Conditioners%20and%20
Heat%20Pumps%20Working%20Group.
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TABLE II–1—SUMMARY OF CHANGES IN PROPOSED TEST PROCEDURE RELATIVE TO CURRENT TEST PROCEDURE—
Continued
Current DOE test procedure
Proposed test procedure
Attribution
Includes certification requirements
in 10 CFR 429.43 consistent with
testing to EER per AHRI 1230–
2010.
Does not include VRF-specific enforcement provisions in 10 CFR
429.134.
Adopts reporting requirements consistent with new test requirements
of AHRI 1230–2021, including tested combination, certified critical
parameter values, and instructions for conducting the controls
verification procedure (‘‘CVP’’).
Adopts product-specific enforcement provisions for VRF multi-split
systems including: Verification of cooling capacity, configuration of
unit under test, manufacturer involvement in assessment or enforcement testing, provisions for when DOE would conduct a CVP,
and how CVP results would affect critical parameters used in IEER
enforcement testing by DOE.
Specifies VRF-specific AEDM validation criteria that are dependent
on indoor unit combinations offered by the manufacturer.
Establish reporting requirements
consistent with updated industry
test method.
Specifies an enforcement testing sample size of 2 units, with compliance based on the arithmetic mean of the sample.
Establish VRF-specific provision
for enforcement sampling plan.
Does not provide VRF-specific instruction for validating alternative
methods for determining energy
efficiency and energy use
(‘‘AEDM’’) at 10 CFR 429.70.
Requires selection of not more than
4 samples for DOE enforcement
testing following the sampling
plan in 10 CFR 429.110.
DOE has tentatively determined that
the proposed amendments described in
section III of this NOPR regarding the
establishment of appendix D would not
alter the measured efficiency of VRF
multi-split systems, or require retesting
solely as a result of DOE’s adoption of
the proposed amendments to the test
procedure, if made final. DOE has
tentatively determined that the
proposed amendments regarding the test
procedure in proposed appendix D1
would alter measured efficiency if made
final and that such amendments are
consistent with the updated industry
test procedure. Further, use of the
updated industry test procedure
provisions as proposed and the
proposed amendments to representation
requirements in 10 CFR 429.43 and 10
CFR 429.70 would not be required until
the compliance date of amended
standards in terms of IEER.
Additionally, DOE has tentatively
determined that the proposed
amendments, if made final, would not
increase the cost of testing relative to
the updated industry test procedure.
Discussion of DOE’s proposed actions
are addressed in detail in section III of
this NOPR.
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III. Discussion
DOE’s test procedure for VRF multisplit systems is set forth at § 431.96.
DOE’s current regulations require that
manufacturers test VRF multi-split
systems using ANSI/AHRI 1230–2010
with Addendum 1, except for Sections
5.1.2 and 6.6. See Table 1 at 10 CFR
431.96. DOE’s current test procedure
also requires that manufacturers adhere
to certain additional requirements listed
in 10 CFR 431.96(c) through (f), which
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specify additional provisions for
equipment set-up and provide for
limited involvement of manufacturer
representatives during testing.
In the following sections, DOE
discusses in detail relevant test
procedure issues and proposes changes
to the current DOE test procedure for
VRF multi-split systems. DOE is
generally proposing amendments such
that the Federal test procedure is
consistent with AHRI 1230–2021 and
changes to the current certification,
compliance and enforcement (‘‘CCE’’)
regulations for VRF multi-split systems,
also consistent with the updated
industry test standard.
A. Scope of Applicability
This rulemaking applies to variable
refrigerant flow multi-split air
conditioners and heat pumps. DOE
defines variable refrigerant flow multisplit air conditioners and heat pumps as
units of commercial package air
conditioning and heating equipment
that are configured as a split system air
conditioner or heat pump incorporating
a single refrigerant circuit, with one or
more outdoor units, at least one
variable-speed compressor or an
alternate compressor combination for
varying the capacity of the system by
three or more steps, and multiple indoor
fan coil units, each of which is
individually metered and individually
controlled by an integral control device
and common communications network
and which can operate independently in
response to multiple indoor thermostats.
10 CFR 431.92. Variable refrigerant flow
implies three or more steps of capacity
control on common, inter-connecting
piping. 10 CFR 431.92. VRF multi-split
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Establish provisions for DOE testing of VRF multi-split systems.
Establish AEDM instructions specific to VRF multi-split systems.
heat pumps use reverse cycle
refrigeration as its primary heating
source and may include second
supplemental heating by means of
electrical resistance, steam, hot water, or
gas. Id.
DOE is not proposing to amend the
current scope of the Federal test
procedure for VRF multi-split systems.
DOE’s test procedure regulations for
commercial air conditioners and heat
pumps at 10 CFR 431.96 include test
procedures that apply to air-cooled VRF
multi-split air conditioners, air-cooled
VRF multi-split heat pumps, and watersource VRF multi-split heat pumps,8 all
with cooling capacity less than 760,000
Btu/h. Table 1 of 10 CFR 431.96. Singlephase, air-cooled VRF multi-split air
conditioners and heat pumps with
cooling capacity less than 65,000 Btu/h
are subject to DOE’s consumer product
regulations for central air conditioners,
and test procedures for these products
are specified in appendices M and M1
to subpart B of 10 CFR part 430. Test
procedures for three-phase, air-cooled
VRF multi-split systems with cooling
capacity less than 65,000 Btu/h are not
addressed in this NOPR and will instead
be addressed in a separate test
procedure rulemaking for air-cooled,
three-phase, small commercial package
air conditioning and heating equipment
with a cooling capacity of less than
65,000 Btu/h.
B. General Comments
In response to the July 2017 ASHRAE
TP RFI, DOE received several general
8 The EPCA definition for ‘‘commercial package
air conditioning and heating equipment’’
specifically excludes ground water source
equipment. (42 U.S.C. 6311(8)(A)).
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comments not specific to any one
equipment category or test procedure.
This section addresses those comments.
NCI recommended that DOE follow
the development of ASHRAE 221P,
‘‘Test Method to Measure and Score the
Operating Performance of an Installed
Constant Volume Unitary HVAC
System,’’ and consider where it may be
appropriately applied within EPCA test
procedures. (NCI, No. 4 at pp. 1–2) NCI
stated that it has collected data
indicating that typical split systems and
packaged units serving residential and
small commercial buildings typically
deliver 50 percent to 60 percent of the
rated capacity to the occupied zone,
thereby making laboratory tests
unrepresentative of field performance.
Id.
DOE notes that ASHRAE Standard
90.1 does not reference ANSI/ASHRAE
Standard 221–2020, ‘‘Test Method to
Field-Measure and Score the Cooling
and Heating Performance of an Installed
Unitary HVAC System’’ 9 as the
applicable test procedure for VRF multisplit systems. NCI also did not provide
data on field performance or any
correlations between field performance
and laboratory test performance for VRF
multi-split systems for DOE to consider.
Furthermore, ASHRAE 221–2020 does
not provide a method to determine the
efficiency of VRF multi-split systems.
As discussed, DOE is proposing to
incorporate by reference AHRI 1230–
2021, the most recently published
version of the industry test procedure
recognized by ASHRAE Standard 90.1
for VRF multi-split systems.
The CA IOUs commented that while
the July 2017 ASHRAE TP RFI
expressed interest in reducing burden to
manufacturers, DOE already took steps
to reduce this burden by allowing
alternative energy efficiency or energy
use determination methods (‘‘AEDMs’’).
(CA IOUs, No. 7 at pp. 1–2). The CA
IOUs stated that there are no further
opportunities to streamline test
procedures to limit testing burden. Id. at
2. Additionally, the CA IOUs
emphasized the importance of accurate
efficiency ratings for its incentive
programs and customer knowledge,
referencing the statutory provision that
test procedures must produce results
that are representative of the product’s
energy efficiency. Id.
Lennox stated that it generally
supports DOE meeting the statutory
requirements to design test procedures
to measure energy efficiency during an
average use cycle, but requested that
9 Available at https://webstore.ansi.org/
Standards/ASHRAE/
ANSIASHRAEStandard2212020.
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DOE also consider overall impacts to
consumers and manufacturers. (Lennox,
No. 8 at pp. 1–2) Lennox also stated
that, in commercial applications,
predicting actual energy use from a
single metric is difficult, and such a
metric better serves as a point of
comparison. Id. Lennox suggested that
DOE strike a balance between evaluating
equipment in a meaningful way without
introducing unwarranted regulatory
burden from overly complex test
procedures or calculations that provide
little value to consumers. Id.
In response to the CA IOUs and
Lennox, DOE notes that its approach to
test procedures is governed by EPCA’s
requirements. As discussed, EPCA
prescribes that the test procedures for
commercial package air conditioning
and heating equipment must be those
generally accepted industry testing
procedures or rating procedures
developed or recognized by industry as
referenced in ASHRAE Standard 90.1.
(42 U.S.C. 6314(a)(4)(A)) If such an
industry test procedure is amended,
DOE must update its test procedure to
be consistent with the amended
industry test procedure, unless DOE
determines by a rule published in the
Federal Register and supported by clear
and convincing evidence that the
amended test procedure would not meet
the requirements in 42 U.S.C. 6314(a)(2)
and (3) related to representative use and
test burden. (42 U.S.C. 6314(a)(4)(B) and
(C)) In establishing or amending its test
procedures, DOE must develop test
procedures that are reasonably designed
to produce test results which reflect
energy efficiency, energy use, and
estimated operating costs of a type of
industrial equipment during a
representative average use cycle and
that are not unduly burdensome to
conduct. (42 U.S.C 6314(a)(2)) DOE’s
considerations of these requirements in
relation to individual test method issues
are discussed within the relevant
sections of this NOPR.
The Joint Advocates stated that there
a number of ambiguities in industry test
procedures and that DOE should
address these ambiguities in order to
provide a level playing field for
manufacturers and to ensure that any
verification or enforcement testing is
consistent with the manufacturer’s own
testing. (Joint Advocates, No. 9 at p. 2)
DOE has evaluated the industry test
standard in the context of the statutory
criteria regarding representativeness of
the measured energy efficiency and test
burden. To the extent there are
provisions in the relevant industry test
procedure that may benefit from further
detail, such provisions are discussed in
the previous sections of this document.
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C. Proposed Organization of the VRF
Multi-Split System Test Procedure
DOE is proposing to relocate and
centralize the current test procedure for
VRF multi-split systems to a new
appendix D to subpart F of part 431. As
proposed, appendix D would not amend
the current test procedure. The test
procedure as provided in proposed
appendix D would continue to reference
ANSI/AHRI 1230–2010 with Addendum
1 and provide for determining EER and
COP. The proposed appendix D would
centralize the additional test provisions
currently applicable under 10 CFR
431.96, i.e., optional break-in period for
tests conducted using AHRI 1230–2010
(10 CFR 431.96(c)); refrigerant line
length corrections for tests conducted
using AHRI 1230–2010 (10 CFR
431.96(d); additional provisions for
equipment set-up (10 CFR 431.96(e);
and manufacturer involvement in
assessment or enforcement testing for
variable refrigerant flow systems (10
CFR 431.96(f)). As proposed, VRF multisplit systems would be required to be
tested according to appendix D until
such time as compliance is required
with an amended energy conservation
standard that relies on the IEER metric,
should DOE adopt such a standard.
Pursuant to EPCA, DOE is also
proposing to amend the test procedure
for VRF multi-split systems by adopting
AHRI 1230–2021 in a new appendix D1
to subpart F of part 431. DOE proposes
to adopt the updated version of AHRI
1230, including the IEER metric, as
discussed in the following sections. As
proposed, VRF multi-split systems
would not be required to test according
to the test procedure in proposed
appendix D1 until such time as
compliance is required with an
amended energy conservation standard
that relies on the IEER metric, should
DOE adopt such a standard.
D. Industry Standards
1. Updates to AHRI 1230
As discussed, DOE’s current test
procedure for VRF multi-split systems
incorporates by reference ANSI/AHRI
1230–2010, excluding Sections 5.1.2
and 6.6. See Table 1 at 10 CFR 431.96.
In September 2017, AHRI published an
updated version of AHRI Standard
1230—AHRI Standard 1230–2014 with
Addendum 1 ‘‘2014 Standard for
Performance Rating of Variable
Refrigerant Flow (VRF) Multi-Split AirConditioning and Heat Pump
Equipment’’ (AHRI 1230–2014 with
Addendum 1). Based on a comparison
of the 2014 version and ANSI/AHRI
1230–2010, the edits changed the scope
of the VRF certification program and
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VRF-specific definitions, and added
appendices for unit configuration for
capacity above 65,000 Btu/h and
development of supplemental testing
instructions. DOE tentatively concludes
that the changes in the 2014 version do
not substantively affect testing for EER
(the current Federal metric). Therefore,
DOE has tentatively determined that its
current test procedure, which references
ANSI/AHRI 1230–2010, is consistent
with AHRI 1230–2014 with Addendum
1.
As discussed in section I.B, the VRF
TP Term Sheet recommended that DOE
adopt the 2019 draft version of AHRI
1230, but with several additional
changes to be implemented, including:
• A hierarchy of instructions for how
to set up the unit under test, and a
clarification that ‘‘as-shipped’’ settings
should be used as a last resort when
instructions are not provided in the
supplemental testing instructions
(‘‘STI’’) and/or the manufacturer’s
installation instructions (‘‘MII’’).
• Equations and example calculations
of adjustments to measured results for
steady-state tests if sensible heat ratio
(‘‘SHR’’) 10 limits are not met at the 100
percent full load and/or 75 percent part
load cooling test points.
• Further definition of the draft CVP,
including definition of time periods for
determining critical parameter
validation and allowable critical
parameter tolerances using
manufacturer-provided data. (Docket
No. EERE–2018–BT–STD–0003–0044 at
p. 2)
After the VRF ASRAC Working Group
meetings in 2019, DOE provided
technical support in an AHRI 1230
Technical Committee to address the
outstanding items identified in the VRF
TP Term Sheet. On the last item—
determining critical parameter
tolerances—DOE compiled anonymized,
aggregated test data to share with the
committee. In a presentation to the
AHRI 1230 Technical Committee on
September 10, 2020, DOE shared data
on the variability of critical parameter
results as measured during different
CVP runs, as well as data on how the
measured IEER changed in response to
changes in critical parameters. (EERE–
2018–BT–STD–0003–0063) DOE
presented options that could be
considered to express the maximum
10 Cooling load is composed of both sensible and
latent portions. The sensible load is the energy
required to reduce the temperature of the incoming
air, without any phase change. The latent load is
the energy required to change the moisture in the
air from water vapor into a liquid phase as it
condenses on the cooling coil. Sensible heat ratio
is a ratio of the sensible cooling capacity to the total
cooling capacity at a given test condition.
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allowable variation in critical
parameters as a ‘‘budget’’ (see section
III.H.4 of this NOPR for description of
the critical parameter budget method).
The AHRI 1230 Technical Committee
incorporated a budget of 70 points (a
measure of critical parameter variation,
as discussed in section III.H.4 of this
NOPR) in AHRI 1230.
Following the completion of the AHRI
1230 Technical Committee meetings, in
May 2021, AHRI published AHRI 1230–
2021, which supersedes AHRI 1230–
2014 with Addendum 1. The 2019 draft
considered by the Working Group
incorporated preliminary versions of the
CVP, provided example calculations for
IEER, and added other new provisions
to clarify how the test procedure should
be conducted. The changes
recommended in the VRF TP Term
Sheet were incorporated into AHRI
1230–2021. The following list includes
substantive changes in AHRI 1230–2021
as compared to AHRI 1230–2010
currently used for certification:
1. Air-cooled VRF multi-split systems
with cooling capacity less than 65,000
Btu/h were removed from the scope of
the industry test standard. These
systems are addressed by AHRI 210/
240–2023 ‘‘Performance Rating of
Unitary Air-conditioning & Air-source
Heat Pump Equipment.’’
2. Maximum SHR limits of 0.82 and
0.85 were added for full load and 75
percent part-load conditions,
respectively.
3. A CVP was added that verifies that
the values certified in the STI for setting
critical parameters during steady-state
testing are within the range of critical
parameters that would be used by the
system’s native controls at the same
conditions. A 70-point budget was also
added as the criteria for critical
parameter validation during the CVP.
4. A hierarchy was added indicating
which sources of manufacturer’s
instructions to use during testing in the
case of conflicting information among
different sources.
5. Provisions were updated for
refrigerant piping length requirements
and for the correction factors applied in
the case of excess refrigerant piping
length used during testing.
6. For water-source equipment, the
maximum water flow rate was reduced
and part-load entering water
temperatures were modified.
7. New provisions were added to
specify test methods and conditions for
cases in which condenser head pressure
controls result in unstable operation in
part-load cooling tests.
8. The provisions for tested
combinations, which specify the indoor
unit combination to be used for testing,
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were updated to remove ‘‘highest sales
volume’’ requirements and replaced
with a specific hierarchy based on
‘‘indoor unit model family’’—e.g., wallmounted, compact 4-way ceiling
cassette, mid-static ducted.
9. A maximum airflow rate of 55
standard cubic feet per minute (‘‘scfm’’)
per 1000 Btu/h was added for nonducted indoor units, and the maximum
airflow rate was increased for ducted
indoor units from 37.5 scfm per 1000
Btu/h to 42 scfm per 1000 Btu/h.
10. Test tolerances for indoor air
entering wet-bulb temperatures were
increased. Specifically, the indoor wetbulb temperature operating tolerance
was increased from 1 °F to 1.8 °F. The
indoor wet-bulb temperature condition
tolerance was also increased from
0.30 °F to 0.36 °F. Additionally, the
operating tolerance for external static
pressure (‘‘ESP’’) for ducted units was
changed from 0.05 in H2O to 10 percent
of the ESP reading.
11. Appendix D to ANSI/AHRI 1230–
2010 with Addendum 1, ‘‘Test
Requirements,’’ was amended in ANSI/
AHRI 1230–2021 and redesignated as
Appendix E, ‘‘ANSI/ASHRAE Standard
37–2009 Clarifications/Exceptions.’’
This appendix provides additional
instruction and exceptions to the use of
ANSI/ASHRAE 37–2009.
12. Informative appendices were
added that show example calculations
for IEER and the CVP ‘‘budget’’ method,
which calculates the variation between
measured critical parameter values and
STI-reported critical parameter values.11
DOE is proposing to adopt the
updated version of AHRI 1230,
including the IEER metric, as described
further in section III.E of this NOPR.
DOE proposes to incorporate by
reference AHRI 1230–2021 in a new
appendix D1 to subpart F of part 431,
which would become required for use
starting on the compliance date for any
amended energy conservation standards
based on IEER. DOE reviewed AHRI
1230–2021 to determine whether it
meets the requirements of EPCA for
incorporation by reference as part of the
Federal test method for determining
compliance with minimum energy
conservation standards. DOE has
tentatively determined that the changes
in AHRI 1230–2021 better reflect the
field performance of VRF multi-split
systems and provide additional
clarification for testing provisions.
Specifically, in the proposed test
procedure for VRF multi-split systems
in the proposed appendix D1, DOE is
proposing to reference the following
11 See section III.H.4 of this NOPR for further
discussion of the CVP budget method.
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sections from AHRI 1230–2021: Section
3 (except 3.10), Section 5 (except 5.1.2),
Section 6 (except 6.3.3 and 6.5), Section
11, and Section 12. DOE is also
proposing to reference appendix E from
AHRI 1230–2021 but is not proposing to
reference the other appendices. DOE
proposes to exclude the remaining
sections from its test procedure for VRF
multi-split systems because they are
either (1) informative appendices not
needed in the DOE test procedure, (2)
procedures specific to the AHRI
verification program that are not
warranted for a DOE test procedure, or
(3) sections for which DOE is proposing
modifications as discussed in the
following sections of this NOPR, and
listed as excepted previously.
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2. ASHRAE 37
ANSI/ASHRAE 37–2009, which
provides a method of test for many
categories of air conditioning and
heating equipment, is referenced for
testing VRF multi-split systems by
ANSI/AHRI 1230–2010, ANSI/AHRI
1230–2014 with Addendum 1, and
AHRI 1230–2021. In particular,
appendix E of AHRI 1230–2021
provides additional instruction and
exceptions regarding the application of
the test methods specified in ANSI/
ASHRAE 37–2009 to VRF multi-split
systems. As stated, ANSI/ASHRAE 37–
2009 is referenced in ANSI/AHRI 1230–
2010, which is currently the referenced
industry test standard in the DOE test
procedure for VRF multi-split systems.
To reflect the use of ANSI/ASHRAE 37–
2009 in conducting testing according to
AHRI 1230–2021, DOE is proposing to
incorporate by reference ANSI/ASHRAE
37–2009 in its test procedure for VRF
multi-split systems. Specifically, in the
proposed appendix D1, DOE is
proposing to reference all sections of
ANSI/ASHRAE 37–2009 except
Sections 1, 2, and 4. Specific issues
discussed in the July 2017 ASHRAE TP
RFI pertaining to ANSI/ASHRAE 37–
2009, and the related comments, are
addressed in section III.F of this NOPR.
On October 3, 2016, ASHRAE
published an errata sheet for ANSI/
ASHRAE 37–2009 that corrected the
total heating capacity equations for the
outdoor liquid coil method in section
7.6.5.1 of the test standard.12 Therefore,
DOE proposes to incorporate by
reference ANSI/ASHRAE 37–2009
including the Errata sheet published on
October 3, 2016 in the proposed
appendix D1.
12 www.ashrae.org/standards-research--
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E. Metrics
1. IEER
DOE currently prescribes energy
conservation standards for air-cooled
VRF multi-split systems with cooling
capacity greater than or equal to 65,000
Btu/h and water-source VRF multi-split
heat pumps in terms of the EER metric
for cooling-mode operation and in terms
of the COP metric for heating-mode
operation. Both EER and COP capture
the system performance at single, fullload operating points in cooling and
heating mode (i.e., single outdoor air
temperatures for air-cooled systems and
single entering water temperatures for
water-source systems). Neither metric
provides a seasonal or load-weighted
measure of energy efficiency.
In contrast, the IEER metric factors in
the efficiency of operating at full-load
conditions as well as part-load
conditions of 75-percent, 50-percent,
and 25-percent of full-load capacity. In
general, the IEER metric provides a
more representative measure of field
performance by weighting the full-load
and part-load efficiencies by the average
amount of time equipment spends
operating at each load. The IEER metric
was first introduced into ASHRAE 90.1
for commercial air-cooled, water-cooled,
and evaporatively-cooled air
conditioning and heat pump equipment
in the 2008 Supplement to Standard
90.1–2007, effective January 1, 2010.
ASHRAE Standard 90.1–2010 included
minimum efficiency levels in terms of
both EER and IEER for air-cooled VRF
multi-split systems. ASHRAE Standard
90.1–2016 added IEER levels for watersource VRF multi-split heat pump
systems, including systems with cooling
capacity less than 65,000 Btu/h, in
addition to the specified EER levels.
On January 15, 2016, DOE published
a direct final rule for energy
conservation standards for air-cooled
commercial unitary air conditioners
(air-cooled CUACs, or ACUACs), which
amended the energy conservation
standards for ACUACs and changed the
cooling efficiency metric from EER to
IEER, with compliance required starting
January 1, 2018. 81 FR 2420. VRF multisplit systems provide space heating and
cooling to commercial buildings in a
similar range of climatic conditions as
ACUACs. In this NOPR, DOE has
initially determined that IEER
represents the efficiency of VRF multisplit systems operating in the field more
accurately than EER because cooling
loads do not require operation at fullload for the vast majority of cooling
hours.
As discussed in the July 2017
ASHRAE TP RFI, manufacturers already
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test and rate VRF multi-split systems
using the IEER metric in the AHRI
Directory of Certified Product
Performance for VRF multi-split
systems.13 82 FR 34427, 34445. The
publication of IEER ratings for most
units on the market and the inclusion of
minimum efficiency levels and test
procedures in terms of IEER for VRF
multi-split systems in ASHRAE
Standard 90.1 and AHRI Standard 1230
indicates that IEER is an industryaccepted and widely-used metric for
measuring efficiency of VRF multi-split
systems. In the July 2017 ASHRAE TP
RFI, DOE requested comment on any
issues it should consider regarding
potentially using IEER as an efficiency
metric for air-cooled VRF multi-split
systems with a cooling capacity greater
than or equal to 65,000 Btu/h and watersource VRF multi-split systems. 82 FR
34427, 34445–34446.
In response to the July 2017 ASHRAE
TP RFI, AHRI, Lennox, Mitsubishi,
Trane, Goodman, Carrier, the CA IOUs,
and the Joint Advocates all supported
using an IEER metric for VRF multi-split
systems. (AHRI, No. 11 at p. 31; Lennox,
No. 8 at p. 6; Mitsubishi, No. 10 at p.
1; Trane, No. 12 at p. 2; Goodman, No.
14 at p. 5; Carrier, No. 6 at p. 17; CA
IOUs, No. 7 at p. 4; Joint Advocates, No.
9 at p. 6) AHRI, Goodman, and Carrier
further commented that IEER should
replace EER as the Federal metric, and
not be used as an additional metric.
(AHRI, No. 11 at p. 31; Goodman, No.
14 at p. 5; Carrier, No. 6 at p. 17) AHRI
and Goodman asserted that EPCA
requires DOE to establish a single
performance standard or a single design
requirement. (AHRI, No. 11 at p. 31;
Goodman, No. 14 at p. 5) The Joint
Advocates commented that VRF multisplit systems should be regulated based
on both EER and IEER, while the CA
IOUs commented that the IEER metric is
appropriate as a national standard as
long as the EER value at each of the test
points is individually published. (Joint
Advocates, No. 9 at p. 6; CA IOUs, No.
7 at p. 4) The Joint Advocates further
commented that regulating based on
both EER and IEER would have no
impact on test burden because
manufacturers are already rating their
equipment for both. (Joint Advocates,
No. 9 at p. 6) CA IOUs also commented
that the highest ambient test point
required by DOE’s test procedure (95 °F
outdoor air dry-bulb temperature) is not
representative of VRF multi-split
systems operating conditions in the hot
and dry western climate, and
13 The AHRI directory for VRF multi-split systems
is available at: www.ahridirectory.org/
NewSearch?programId=72&searchTypeId=3.
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recommended adding a hot-dry
condition test point in IEER. (CA IOUs,
No. 7 at p. 4)
During the proceedings of the ASRAC
negotiated rulemaking process, the
Working Group discussed the
appropriateness of rating VRF
equipment using an IEER metric at the
test points prescribed in ANSI/AHRI
1230–2010. (Docket No. EERE–2018–
BT–STD–0003–0051 at pp. 13–14) The
Working Group also discussed the
potential for adding new test points to
the IEER metric, including the proposal
to add a hot-dry condition test point for
IEER, which was also suggested by the
CA IOUs in their response to the 2017
ASHRAE TP RFI. (EERE–2018–BT–
STD–0003–0051; CA IOUs, No. 7 at p.
4) Ultimately, the Working Group did
not adopt a hot-dry condition test point
in its recommendations. The VRF TP
Term Sheet states that VRF multi-split
systems should be rated with the IEER
metric to allow consumers to make
consistent comparisons with other
products using the IEER metric. (Docket
No. EERE–2018–BT–STD–0003–0044 at
p. 1) Additionally, during a presentation
delivered by DOE at the September 20,
2019 Working Group meeting, AHRI
indicated that they would submit a
letter to the docket stating that the AHRI
certification program would continue to
use both EER and IEER cooling metrics
for VRF multi-split systems. (Docket No.
EERE–2018–BT–STD–0003–0052 at p.
72).
In this NOPR, DOE is proposing to
adopt the relevant provisions in AHRI
1230–2021 to determine IEER for VRF
multi-split systems. As noted, the
energy conservation standards for VRF
multi-split systems are in terms of EER.
Testing according to the DOE test
procedure to determine EER would
continue to be required until such time
as the energy conservation standards are
amended to rely on IEER, should DOE
adopt such changes to the standards.
Requiring both EER and IEER would
result in multiple standards applicable
to the cooling function of a VRF multisplit systems. However, EPCA directs
DOE to establish an amended uniform
national standard for the relevant
ASHRAE equipment at the minimum
level specified in the amended
ASHRAE/IES Standard 90.1. (42 U.S.C.
6313(a)(6)(A)(ii)(I)) EPCA’s use of
‘‘uniform national standard’’ and
‘‘minimum level’’ appears to prohibit
DOE from establishing more than one
standard applicable to the cooling
function of a VRF multi-split system. Id.
Based on the discussion in the
preceding paragraphs, DOE initially
finds, that pursuant to 42 U.S.C.
6314(a)(4)(B)), there is a lack of clear
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and convincing evidence to establish a
test procedure for IEER other than as
specified in AHRI 1230–2021.
Consistent with DOE’s proposal to
adopt IEER in its test procedure for VRF
multi-split systems, DOE also proposes
to amend the current definition for
‘‘Integrated Energy Efficiency Ratio, or
IEER’’ at § 431.92 to differentiate
between ACUACs and VRF multi-split
systems. Both systems would use the
IEER efficiency metric, but the
applicable test procedures are in
separate sections of the CFR.
Specifically, DOE proposes to amend
the definition of ‘‘Integrated Energy
Efficiency Ratio, or IEER’’ at 10 CFR
431.92 to clarify that IEER is measured
per the test procedure in appendix A to
subpart F of part 431 for ACUACs and
per the proposed test procedure at
appendix D1 for VRF multi-split
systems.
Issue 1: DOE requests feedback on its
proposal to adopt IEER as determined
under AHRI 1230–2021 in the Federal
test procedure for VRF multi-split
systems. DOE also seeks comment on its
proposed amendment to the definition
for IEER at § 431.92 to distinguish
between the test procedures for
ACUACs and VRF multi-split systems.
DOE notes that AHRI 1230–2021 also
provides test methods and calculations
for measuring simultaneous cooling and
heating efficiency (‘‘SCHE’’). ASHRAE
Standard 90.1–2019 does not include
efficiency levels for VRF multi-split
systems in terms of SCHE, and the VRF
TP Working Group did not consider or
analyze the SCHE metric (and thus it
was not included in the VRF TP Term
Sheet). Further, SCHE is a distinctly
different metric from other efficiency
metrics for VRF multi-split systems, as
SCHE combines cooling and heating
performance into a single metric. For
these reasons DOE is not proposing to
include SCHE in its updated test
procedure for VRF multi-split systems.
2. Test Conditions Used for Efficiency
Metrics
AHRI 1230–2021 provides a number
of test conditions for a variety of tests
referred to in the industry test
procedure as ‘‘standard rating tests’’ and
‘‘performance operating tests.’’ DOE is
proposing to specify in the test
procedure for VRF multi-split systems
which test conditions would be required
for compliance with standards, were
DOE to amend the energy conservation
standards based on AHRI 1230–2021,
and to specify additional test conditions
that would be included in the DOE test
procedure for making optional
representations of efficiency.
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a. Air-Cooled VRF Multi-Split Systems
Table 9 of AHRI 1230–2021 specifies
test conditions for standard rating and
performance operating tests for aircooled VRF multi-split systems. Were
DOE to amend the applicable energy
conservation standards based on AHRI
1230–2021, the relevant ratings for
cooling tests would be those referred to
as ‘‘standard rating conditions’’ in AHRI
1230–2021. To clarify this, DOE
proposes to specify in section 3.1 of the
proposed appendix D1 that the cooling
test conditions used for compliance
would be the ‘‘Standard Rating
Conditions, Cooling’’ and ‘‘Standard
Rating Part-Load Conditions (IEER)’’
conditions specified in Table 9 of AHRI
1230–2021.
For heating mode tests of air-cooled
VRF multi-split systems, AHRI 1230–
2021 includes ‘‘Standard Rating
Conditions’’ for both a ‘‘High
Temperature Steady-state Test for
Heating’’ and a ‘‘Low Temperature
Steady-state Test for Heating’’
(conducted at 47 °F and 17 °F outdoor
air dry-bulb temperatures, respectively).
Were DOE to amend the applicable
energy conservation standards based on
AHRI 1230–2021, the relevant ratings
would be those referred to as ‘‘High
Temperature Steady-state Test for
Heating’’ in AHRI 1230–2021 and
measured at 47 °F. To clarify this, DOE
proposes to specify in section 4.1 of
appendix D1 that the heating test
conditions used for compliance would
be the ‘‘Standard Rating Conditions
(High Temperature Steady-state Test for
Heating)’’ conditions specified in Table
9 of AHRI 1230–2021. Additionally,
DOE proposes to also include the lowtemperature (17 °F) heating test
condition specified in Table 9 of AHRI
1230–2021 (referred to as ‘‘Low
Temperature Steady-state Test for
Heating’’) in the proposed test
procedure, and specify in section 4.1.1
of appendix D1 that representations of
COP at this low-temperature heating
condition are optional.
b. Water-Source VRF Multi-Split
Systems
Tables 10 and 11 of AHRI 1230–2021
specify test conditions for cooling mode
and heating mode tests, respectively, for
water-source VRF multi-split systems.
These tables include conditions for both
standard rating and performance
operating tests. Furthermore, both tables
specify test conditions for three
different applications of water-source
VRF multi-split systems: Water loop
heat pumps, ground-water heat pumps,
and ground-loop heat pumps. Were DOE
to amend the energy conservation
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standards based on AHRI 1230–2021,
the relevant ratings for cooling and
heating tests would be those referred to
as ‘‘standard rating conditions’’ for
‘‘water loop heat pumps’’ in AHRI
1230–2021. To clarify this, DOE
proposes to specify in section 3.2 of the
proposed appendix D1 that the test
conditions used for compliance would
be the ‘‘Part-load Conditions (IEER)’’
conditions specified for ‘‘Water Loop
Heat Pumps’’ in Table 10 of AHRI 1230–
2021 for cooling mode tests and the
‘‘Standard Rating Test’’ conditions
specified for ‘‘Water Loop Heat Pumps’’
in Table 11 of AHRI 1230–2021 for heat
pump heating mode tests.
DOE also proposes to include cooling
and heating mode test conditions
specified for ‘‘Ground-loop Heat
Pumps’’ in Tables 10 and 11 in the DOE
test procedure for optional
representations for water-source VRF
multi-split systems. Specifically, DOE
proposes to specify in section 4.2.1 of
appendix D1 that representations of EER
made using the ‘‘Standard Rating Test’’
conditions specified for ‘‘Ground-loop
Heat pumps’’ in Table 10 of AHRI 1230–
2021 and representations of COP made
using the ‘‘Standard Rating Test’’
conditions specified for ‘‘Ground-loop
Heat Pumps’’ in Table 11 of AHRI 1230–
2021 are optional.
The EPCA definition for ‘‘commercial
package air conditioning and heating
equipment’’ specifically excludes
ground-water-source equipment (42
U.S.C. 6311(8)(A)). Therefore, DOE is
not proposing to include test conditions
in the proposed Federal test procedure
for making optional representations of
cooling and heating efficiency for watersource VRF multi-split systems in the
‘‘Ground-water Heat Pump’’ application.
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F. Test Method
This section discusses certain issues
related to testing VRF multi-split
systems, several of which were
identified by DOE in the July 2017
ASHRAE TP RFI and subsequently
addressed in AHRI 1230–2021.
Additionally, several of the issues raised
by DOE in the July 2017 ASHRAE TP
RFI and by commenters relate to
changes to the 2019 draft version of
AHRI 1230 recommended by the VRF
TP Term Sheet. These VRF TP Term
Sheet recommendations have also been
addressed in AHRI 1230–2021.
Therefore comments received regarding
these issues are briefly summarized but
are otherwise addressed by referencing
the relevant language in AHRI 1230–
2021.
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1. Setting Indoor Airflow and External
Static Pressure
The performance of a VRF multi-split
system can be significantly affected by
variation in ESP or operation with an
indoor airflow that is different from the
intended or designed airflow. In the July
2017 ASHRAE TP RFI, DOE raised
several issues associated with setting
indoor airflow and ESP for VRF multisplit systems. 82 FR 34427, 34446.
These issues are addressed in Section
6.3.1 of AHRI 1230–2021, and DOE is
not proposing any deviations from those
provisions. These issues are discussed
in the following sections.
a. Indoor Airflow and ESP Settings for
Different Capacity Ranges
DOE noted in the July 2017 ASHRAE
TP RFI that a 2015 draft version of AHRI
1230 contained one set of instructions
for setting the indoor air flow rates for
systems with capacities less than 65,000
Btu/h (section 6.3.3.1) and another set
for systems with capacities larger than
65,000 Btu/h (section 6.4.1). 82 FR
34427, 34446. It was not clear to DOE
why alternate approaches are required
for different systems, because the indoor
units generally do not differ by system
capacity. Id. Therefore, DOE requested
comment on whether there should be a
consistent approach for setting indoor
airflow and ESP across all capacity
ranges of VRF multi-split systems. Id. In
response, Lennox commented that the
airflow and ESP requirements for VRF
multi-split systems with cooling
capacity above and below 65,000 Btu/h
should be the same. (Lennox, No. 8 at
p. 8). Carrier commented that the
different approach for setting indoor
airflow rates across capacity ranges was
being addressed by AHRI in drafting
AHRI 1230. (Carrier, No. 6 at p. 19)
AHRI commented that a more recent
draft of AHRI 1230 contained new
requirements for airflow, and that the
test requirements would be different for
part-load conditions but consistent for
full-load conditions. (AHRI, No. 11 at
pp. 34–35).
AHRI 1230–2021 includes updated
provisions in Section 6.3.1 for setting
indoor airflow and ESP that apply to aircooled VRF multi-split systems with
cooling capacity greater than or equal to
65,000 Btu/h and to all water-cooled
VRF multi-split systems. Air-cooled
VRF multi-split systems with rated
cooling capacity less than 65,000 Btu/h
are not within the scope of AHRI 1230–
2021, and are instead within the scope
of a different industry test procedure
(AHRI 210/240–2023). Therefore, test
procedures for three-phase, air-cooled
VRF multi-split systems with cooling
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capacity less than 65,000 Btu/h are not
being considered in this NOPR. Those
will be addressed in a separate test
procedure rulemaking for air-cooled,
three-phase, small commercial package
air conditioning and heating equipment
with a cooling capacity of less than
65,000 Btu/h. DOE is not proposing any
deviations from Section 6.3.1 of AHRI
1230–2021 regarding setting indoor
airflow and ESP.
b. Test Setup for Non-Ducted Indoor
Units
DOE explained in the July 2017
ASHRAE TP RFI that if a common duct
is used for the combined discharge
airflow of multiple individual units, the
airflow for each individual unit cannot
be verified. 82 FR 34427, 34447. Even if
the ESP is set to zero in an attempt to
replicate operation without ducting,
based on a measurement of downstream
pressure in a discharge duct this does
not always guarantee that flow is
identical to free discharge conditions,
due to sensitivity of such in-duct
pressure measurements to the air
movement in the duct. Id. Finally,
specification of unusually high air flows
for testing of free discharge in indoor
units may boost measured performance
inconsistent with field operation. Id.
DOE requested comment on how to
confirm airflow for each indoor unit
individually, or when there is deviation
from free-discharge operation, when
there is a common duct for multiple
individual units. Id.
In response, AHRI, Carrier,
Mitsubishi, and Goodman commented
that it is not feasible nor economically
justified to confirm airflow of individual
indoor units when a common duct is
used. (AHRI, No. 11 at p. 35; Carrier,
No. 6 at p. 20; Mitsubishi, No. 10 at p.
2; Goodman, No. 14 at p. 7) Specifically,
AHRI stated that it is currently
infeasible to confirm airflow for
multiple individual indoor units.14
(AHRI, No. 11 at p. 35) AHRI stated that
the third-party laboratory that it uses for
its certification program is only
equipped with one code tester (i.e.,
airflow-measuring apparatus) per test
room. (Id.) AHRI suggested, however,
that the use of thermocouple grids on
every outlet on each unit and
temperature checks on indoor liquid
and indoor gas per unit, combined with
static pressure taps, helps identify any
potential deviation from free-discharge
14 AHRI stated that it is currently not feasible to
test VRF products with up to 12 indoor units. Given
DOE’s awareness that industry has the capability to
test VRF multi-split systems with up to 12 indoor
units, DOE interprets AHRI’s comment as referring
to the infeasibility of confirming the airflow of
individual indoor units.
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operation on any unit. (Id.) Lennox
commented that the test protocol for
testing non-ducted indoor units does
not guarantee zero static pressure at the
inlet and outlet of each indoor unit;
however, solving this issue is not easy
due to laboratory limitations. (Lennox,
No. 8 at p. 8) Lennox suggested that
improvement to the test method could
be made to measure airflow at each
indoor unit, but that would require
larger and more test rooms. (Id.) Lennox
noted that experience has indicated that
the common duct may show a lower
airflow measurement compared to
measuring airflow of each non-ducted
indoor unit independently. (Id. at pp. 8–
9)
Section 6.3.1.3 of AHRI 1230–2021
allows the use of a common duct to
connect multiple indoor units to a
single airflow-measuring apparatus. To
ensure that the tests for non-ducted
indoor units are being conducted under
conditions that reflect operation absent
the use of a common duct, AHRI 1230–
2021 specifies that a static pressure tap
be placed in the center of each face of
each discharge chamber that connects
each indoor unit to the common duct,
and that the static pressure difference
between each discharge chamber
measurement and intake opening of the
equipment under test be zero. DOE
tentatively surmises that the approach
provided in AHRI 1230–2021 represents
industry consensus regarding the most
appropriate and representative
configuration for testing non-ducted
indoor units. As discussed, DOE is not
proposing any deviations from the
provisions in Section 6.3.1 of AHRI
1230–2021 regarding setting indoor
airflow and ESP.
c. Maximum Airflow Rate
Increasing the airflow rates at which
indoor units of VRF multi-split systems
are tested generally improves measured
performance. Testing at an unusually
high airflow rate may boost performance
in a manner inconsistent with field
operation. As part of the July 2017
ASHRAE TP RFI, DOE requested
comment on whether there should be an
upper limit of airflow per capacity for
all non-ducted VRF indoor units, such
as 55 scfm per 1,000 Btu/h, which was
the limit included in the 2015 draft
version of AHRI 1230. 82 FR 34427,
34447.
In response, AHRI, Carrier, and
Goodman all expressed support for an
airflow limit of 55 scfm per 1,000 Btu/
h for non-ducted units, stating that such
an upper limit would prevent
manufacturers from running higher
airflows for rating purposes that are not
typical for actual use. (AHRI, No. 11 at
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pp. 34–35; Carrier, No. 6 at p. 20;
Goodman, No. 14 at p. 7) Lennox did
not support the 55 scfm per 1,000 Btu/
h airflow limit for non-ducted indoor
units, and commented that to align the
test procedure with field operation, VRF
multi-split systems should be tested
without an airflow limit. (Lennox, No. 8
at p. 9)
Section 6.3.1.3 of AHRI 1230–2021
includes an upper limit on airflow per
capacity for VRF multi-split systems
with non-ducted indoor units during
cooling tests. The rated airflow for each
non-ducted indoor unit must not exceed
the lower of two limits: (1) 105% of the
nominal airflow published in product
literature for that indoor unit, or (2) 55
scfm per 1,000 Btu/h of nominal indoor
unit cooling capacity. Section 6.3.1.3 of
AHRI 1230–2021 also specifies that if a
common duct is used to measure airflow
for multiple indoor units—if airflow is
not individually measured for each
indoor unit—these limits are calculated
based on the sum of nominal capacities
and nominal airflows for all of the
indoor units connected to the common
duct. Section 6.3.1.4 of AHRI 1230–2021
specifies that these same provisions (in
Section 6.3.1.3) apply for ducted indoor
units, except that the airflow limit for
ducted indoor units is 42 scfm per 1,000
Btu/h instead of 55 scfm per 1,000 Btu/
h. DOE surmises that the approach to
maximum airflow rate provided in
AHRI 1230–2021 represents the
industry consensus regarding the most
appropriate and representative
maximum airflow rate for testing VRF
multi-split systems. Therefore, DOE also
surmises that Lennox’s position on
these provisions, expressed in the
comments in response to the July 2017
ASHRAE TP RFI, changed while
developing that industry consensus
standard. As discussed, DOE is not
proposing any deviations from the
provisions in Section 6.3.1 of AHRI
1230–2021 regarding setting indoor
airflow and ESP.
2. Condenser Head Pressure Controls
Condenser head pressure controls
regulate the flow of refrigerant through
the condenser and/or adjust operation of
condenser fans/water valves to prevent
condenser pressures from dropping too
low during low-ambient operation.
When employed, these controls ensure
that the refrigerant pressure is high
enough to maintain adequate flow
through refrigerant expansion devices
such as thermostatic expansion valves.
The use of condenser head pressure
controls impacts a unit’s performance,
making it important that this feature
operate during testing because it would
operate in the field. In the July 2017
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ASHRAE TP RFI, DOE requested
comment on the appropriateness of
requiring head pressure control
activation during testing of VRF multisplit systems. 82 FR 34427, 34447.
AHRI, Mitsubishi, and Carrier stated
that head pressure controls should be
activated during the test for VRF multisplit systems, as manufacturers have
different algorithms for controlling head
pressure and VRF multi-split systems
cannot be maintained manually. (AHRI,
No. 11 at p. 35; Mitsubishi, No. 10 at p.
2, Carrier, No. 6 at p. 20) Goodman
stated that head pressure control
activation is not necessary for testing, as
all VRF multi-split systems are variable
speed, and system refrigerant pressures
are kept at appropriate levels by
controlling the compressor and outdoor
fan speed. (Goodman, No. 14 at p. 7)
Lennox stated that whether head
pressure control is activated or not will
have no impact on testing. (Lennox, No.
8 at p. 8)
DOE also requested information
regarding methods that could be added
to the test procedure for VRF multi-split
systems to be used if head pressure
controls prevent stable operation at lowambient, part-load conditions, such as
the special test provisions described in
section F7.1 of AHRI 340/360–2015 for
CUACs. 82 FR 34427, 34441, 34447.
Specifically, DOE requested comment
on whether a head pressure control
activation requirement was appropriate
for testing of VRF multi-split systems, as
well as any additional methods that
could be incorporated into the VRF
multi-split system test procedure to
calculate system efficiency if head
pressure controls prevent stable
operation at low-ambient, part-load
conditions. Id. In response, Goodman
commented that there is no need for
head pressure control activation when
testing, and, therefore, no need to
address head pressure control
instability. (Goodman, No. 14 at p. 7)
Carrier commented that VRF
manufacturers need more time to
evaluate the issue. (Carrier, No. 6 at p.
20)
Section 5.2 of AHRI 1230–2021
specifies that units with head pressure
controls have those controls enabled
and operating in automatic control
mode during testing, set at factory
settings or per manufacturer installation
instructions. Section 5.2.2 of AHRI
1230–2021 also includes a head
pressure control time average test, to be
used if head pressure controls prevent a
unit from achieving ‘‘Stable Conditions’’
as defined by the test standard. Sections
5.2.3 and 5.2.4 provide additional
direction for achieving stability, and are
to be used if the tolerances for the head
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pressure control time average test
cannot be met. Absent any indication
that activation of condenser head
pressure controls results in test results
that are unrepresentative or that such
activation is unduly burdensome, DOE
proposes adopting the AHRI 1230–2021
provisions specifying activation of head
pressure controls during testing, with
the additional clarification (in section
5.1 of the proposed appendix D1) that
head pressure controls are to be set per
manufacturer installation instructions or
per factory settings if no instructions are
provided. DOE is not proposing any
additional deviations from the head
pressure controls provisions in Section
5.2 of AHRI 1230–2021.
3. Indoor Unit Operation During PartLoad Tests
When VRF multi-split systems
operate at low cooling loads in field
applications, typically only certain
zones require cooling. Therefore, at low
cooling loads VRF indoor units serving
zones with no cooling or heating load
typically turn off. In the July 2017
ASHRAE TP RFI, DOE requested
information and data on the field
operating states of indoor units of VRF
multi-split systems when operating at
low compressor speeds, near 25-percent
load. 82 FR 34427, 34446.
Commenters generally responded that
applications vary greatly with load
characteristics, so there is not one
operation mode that is representative of
all field scenarios, and therefore
manufacturers should not be required to
turn off any indoor units during the test.
(AHRI, No. 11 at pp. 33–34; Goodman,
No. 14 at p. 6; Mitsubishi, No. 10 at p.
2; Carrier, No. 6 at pp. 18–19; Lennox,
No. 8 at p. 7) Additionally, they
commented that shutting off indoor
units would require retesting and would
add burden and variability to the test
procedure. (Id.)
Section 5.10 of AHRI 1230–2021
requires that the number of indoor units
that are thermally active during fullload and part-load tests be in
accordance with the STI, and that at
least half of the total indoor units—as
calculated per the total capacity of the
connected indoor units—remain
thermally inactive for the 25 percent
load test. Furthermore, section 5.10
requires the following for thermally
inactive indoor units: (1) Forced air
circulation through the units shall be
prevented (e.g., by blocking the inlet
and outlet); and (2) the indoor unit
control settings shall be set to ‘‘OFF’’
(e.g., by using remote or wireless
thermostat). DOE surmises that AHRI’s
and industry’s original positions on
these provisions regarding inactive
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indoor units, as set forth in the
comments in response to the July 2017
ASHRAE TP RFI, changed while
developing the industry consensus
standard in AHRI 1230–2021. DOE is
not proposing any deviations from the
provisions regarding indoor units that
are thermally active in Section 5.10 of
AHRI 1230–2021.
4. Transient Testing: Oil Recovery Mode
VRF multi-split systems may
periodically operate in an oil recovery
mode to return oil from the refrigeration
loop to the compressor. When
undergoing oil recovery, the
compressor(s) may increase operating
speed, electronic expansion valves may
open wider than normal, and indoor
fans may be turned off, to allow more
liquid refrigerant mass flow in the
system. The higher refrigerant velocity
helps to entrain the compressor oil that
was blocked in the indoor refrigerant
lines and return it to the compressor(s).
The current DOE test procedure for
VRF multi-split systems specifies
through reference to ANSI/AHRI 1230–
2010 that oil recovery mode should be
activated if the system is designed to
initiate the oil recovery mode more
frequently than every two hours, but the
test procedure does not specify a
transient test method or other
provisions specific to testing a unit with
oil recovery. In the July 2017 ASHRAE
TP RFI, DOE requested comment on the
impact of oil recovery mode on power
input and heating/cooling provided to
space. 82 FR 34427, 34446 (July 25,
2017). DOE also requested comment on
whether any VRF multi-split systems
operate in oil recovery mode more
frequently than every two hours of
continuous operation. Id. For such
systems, DOE requested comment on
whether and how the test method
should address the transient operation
occurring during and after oil recovery.
Id. In addition, DOE requested comment
on the performance variation associated
with oil level and whether all
measurements should be made within a
certain time after the last oil recovery.
Id. AHRI, Mitsubishi, Goodman, and
Lennox all commented that they did not
support the incorporation of oil
recovery into the test procedure. (AHRI,
No. 11 at p. 34; Mitsubishi, No. 10 at p.
2; Goodman, No. 14 at p. 6; Lennox, No.
8 at p. 8) They stated that oil recovery
seldom occurs, and only during periods
of time at very low refrigerant flow
rates, which would not be expected to
occur during testing. (Id.)
Section 5.1.3 of AHRI 1230–2021
specifies that oil recovery mode must be
activated during test, regardless of the
frequency of oil recovery cycles. If oil
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recovery occurs with a frequency that
prevents a steady state test, AHRI 1230–
2021 specifies the use of the transient
test procedure as described in Section
8.8.3 (except Section 8.8.3.3) of ANSI/
ASHRAE 37–2009, with modifications
described in Section 5.1.3.1 of AHRI
1230–2021. In light of the inclusion of
oil recovery mode provisions in AHRI
1230–2021, DOE surmises that AHRI’s
and industry’s original position on these
conditions, as set forth in the comments
in response to the July 2017 ASHRAE
TP RFI, changed while developing AHRI
1230–2021. DOE is not proposing any
deviations from the provisions regarding
oil recovery mode in Section 5.1.3 of
AHRI 1230–2021.
5. Secondary Methods for Capacity
Measurement
Section 7.2.1 of ANSI/ASHRAE 37–
2009 is referenced by AHRI 1230–2021
and specifies the indoor air enthalpy
method, plus an additional secondary
method for calculating the test
equipment capacity for all units with a
rated cooling capacity less than 135,000
Btu/h. Additionally, Section 10.1.2 of
ANSI/ASHRAE 37–2009 specifies that
the secondary capacity measurement
must agree with the primary capacity
measurement to within 6 percent for
equipment with cooling capacity less
than 135,000 Btu/h. In the July 2017
ASHRAE TP RFI, DOE requested
comment on the methods generally used
for measurement of capacity for VRF
multi-split systems and whether the
selection of methods differs between
cooling and heating tests. 82 FR 34427,
34447. DOE also requested comment on
how to standardize the selection of test
methods for measuring the capacity of
VRF multi-split systems. Id.
Commenters stated that there are
challenges associated with secondary
capacity methods for VRF multi-split
systems, such as the refrigerant enthalpy
and outdoor air enthalpy methods.
(AHRI, No. 11 at p. 36; Carrier, No. 6 at
p. 21) For example, AHRI stated that the
refrigerant enthalpy method is not
possible due to the range at which the
flow meter would need to operate, and
the fact that the presence of a metering
device in the outdoor unit of some
equipment would make it impossible to
use a refrigerant flow meter. (Id.) AHRI
further stated that the outdoor air
enthalpy method is possible, but would
require multiple code testers for testing
more than one outdoor unit, or
additional testing to cover multiple
outdoor units tested together. (Id.)
Carrier stated that for heat pump VRF
systems, the outdoor air enthalpy may
be used. (Carrier, No. 6 at p. 21) Carrier
asserted that this method would be
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straightforward for single module
systems; however, with multiple
module systems, testing would be very
complex, if not impossible because the
ability to measure air flow and capacity
from various modules has not been
achieved. (Id.) Carrier further stated that
there is no adequate secondary method
for VRF systems with heat recovery.
(Id.) Carrier asserted that neither the
refrigerant enthalpy nor outdoor air
enthalpy methods would work due to
the complexity of the refrigeration
circuits in these units. (Id.)
Section 5.1.1 of AHRI 1230–2021
requires that VRF multi-split systems be
tested in accordance with ANSI/
ASHRAE 37–2009, with additional
instruction provided in appendix E of
AHRI 1230–2021. Sections E9 and E13
of AHRI 1230–2021 include several
modifications to secondary capacity
measurement method provisions in
ANSI/ASHRAE 37–2009. Specifically,
section E9 provides that when using the
outdoor air enthalpy method as the
secondary method, secondary checks
are conducted for only the high
temperature full load tests for cooling
and heating mode. Section E13 modifies
the outdoor air enthalpy method
provisions in Section 8.6 of ANSI/
ASHRAE 37–2009—e.g., section E13
specifies that the test used for capacity
measurement for determination of
efficiency metrics is the test without the
outdoor air-side test apparatus
connected to the outdoor unit. DOE
surmises from the inclusion of these
secondary method provisions in AHRI
1230–2021 that AHRI’s and industry’s
original position on these conditions, as
set forth in the comments in response to
the July 2017 ASHRAE TP RFI, changed
during the course of developing that
industry consensus standard. DOE is not
proposing any deviations from the
provisions regarding secondary capacity
measurement in appendix E of AHRI
1230–2021.
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6. Heat Recovery
Some VRF multi-split systems include
a heat recovery control unit to control
refrigerant flow between indoor units
and provide heating and cooling to
different conditioned spaces
simultaneously. In the July 2017
ASHRAE TP RFI, DOE requested
comment on whether VRF multi-split
systems with heat recovery capability
can be operated without the heat
recovery control unit attached, and if so,
whether such systems are typically
tested for determining EER, IEER, and
COP with the heat recovery control unit
attached. 82 FR 34427, 34447. DOE also
sought data showing differences in test
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results with the heat recovery unit
attached or unattached. Id.
AHRI, Lennox, and Carrier
commented that heat recovery units
should be included during all tests for
heat recovery systems. (AHRI, No. 11 at
p. 36; Lennox, No. 8 at p. 9; Carrier, No.
6 at p. 21) AHRI and Lennox stated that
VRF heat recovery models cannot be
operated without the heat recovery unit
attached because the unit is an integral
part of the system that cannot be
removed, and, therefore, that the heat
recovery unit should be accounted for in
testing. (Id.)
Section F2.3 of AHRI 1230–2021
specifies that individual models of VRF
multi-split systems distributed in
commerce with heat recovery
components must be tested with the
heat recovery components present and
installed. Consistent with Section F2.3
of AHRI 1230–2021, DOE proposes at
§ 429.43(a)(5) to specify that for basic
models of VRF multi-split systems
distributed in commerce with heat
recovery components, the manufacturer
must determine represented values for
the basic model based on performance
of an individual model distributed in
commerce with heat recovery
components.
G. Specific Components
An ASRAC working group for certain
commercial heating, ventilating, and air
conditioning (‘‘HVAC’’) equipment
(‘‘Commercial HVAC Working
Group’’),15 which included VRF multisplit systems, submitted a term sheet
(‘‘Commercial HVAC Term Sheet’’)
providing the Commercial HVAC
Working Group’s recommendations.
(Docket No. EERE–2013–BT–NOC–0023,
No. 52) 16 The Commercial HVAC
Working Group recommended that DOE
issue guidance under current
regulations on how to test certain
equipment features when included in a
basic model, until the testing of such
features can be addressed through a test
procedure rulemaking. The Commercial
HVAC Term Sheet listed the subject
features under the heading ‘‘Equipment
Features Requiring Test Procedure
Action.’’ (Id at pp. 3–9) The Commercial
HVAC Working Group also
recommended that DOE issue an
enforcement policy stating that DOE
15 In 2013, members of ASRAC formed the
Commercial HVAC Working Group to engage in a
negotiated rulemaking effort regarding the
certification of certain commercial HVAC
equipment, including VRF multi-split systems. The
Commercial HVAC Working Group’s
recommendations are available at
www.regulations.gov under Docket No. EERE–2013–
BT–NOC–0023–0052.
16 Available at www.regulations.gov/document/
EERE-2013-BT-NOC-0023-0052.
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would exclude certain equipment with
specified features from Departmental
testing, but only when the manufacturer
offers for sale at all times a model that
is identical in all other features;
otherwise, the model with that feature
would be eligible for Departmental
testing. These features were listed under
the heading ‘‘Equipment Features
Subject to Enforcement Policy.’’ (Id. at
pp. 9–15)
On January 30, 2015, DOE issued a
Commercial HVAC Enforcement Policy
addressing the treatment of specific
features during Departmental testing of
commercial HVAC equipment. (See
www.energy.gov/gc/downloads/
commercial-equipment-testingenforcement-policies) The Commercial
HVAC Enforcement Policy stated that—
for the purposes of assessment testing
pursuant to 10 CFR 429.104, verification
testing pursuant to 10 CFR 429.70(c)(5),
and enforcement testing pursuant to 10
CFR 429.110—DOE would not test a
unit with one of the optional features
listed for a specified equipment type if
a manufacturer distributes in commerce
an otherwise identical unit that does not
include one of the optional features. (Id
at p. 1) The objective of the Commercial
HVAC Enforcement Policy is to ensure
that each basic model has a
commercially available version eligible
for DOE testing, meaning that each basic
model includes either a model without
the optional feature(s) or a model with
the optional features that is eligible for
testing. Id. The features in the
Commercial HVAC Enforcement Policy
for VRF multi-split systems, (id at p. 5),
align with the Commercial HVAC Term
Sheet’s list designated ‘‘Equipment
Features Subject to Enforcement
Policy.’’
AHRI 1230–2021 includes Appendix
F, ‘‘Unit Configuration for Standard
Efficiency Determination—Informative.’’
Section F2.4 includes a list of features
that are optional for testing. Section
F2.4 of AHRI 1230–2021 further
specifies the following general
provisions regarding testing of units
with optional features:
• If an otherwise identical model
(within the basic model) without the
feature is not distributed in commerce,
conduct tests with the feature according
to the individual provisions specified in
Section F2.4 of AHRI 1230–2021.
• For each optional feature, Section
F2.4 of AHRI 1230–2021 includes
explicit instructions on how to conduct
testing for equipment with the optional
feature present.
The optional features provisions in
AHRI 1230–2021 are generally
consistent with DOE’s Commercial
HVAC Enforcement Policy, but the
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optional features in Section F2.4 of
AHRI 1230–2021 do not align with the
list of features included for VRF multisplit systems in the Commercial HVAC
Enforcement Policy. For VRF multi-split
systems, the Commercial HVAC
Enforcement Policy specifies four
optional features—economizer, coated
coil(s), steam/hydronic heat options,
and dehumidification components. Of
these, steam/hydronic heat options and
coated coils are not included in the list
of optional features in Section F2.4.
DOE understands AHRI 1230–2021 to
represent the industry consensus
position on testing VRF multi-split
systems. As such, DOE understands the
industry consensus to be that steam/
hydronic heat options and coated coils
should not be treated as optional
features for VRF multi-split systems
and/or that VRF multi split systems are
not distributed in commerce with these
features.
The list of optional features in Section
F2.4 includes five features that are not
present in the Commercial HVAC
Enforcement Policy for VRF multi-split
systems: low ambient cooling dampers,
ventilation energy recovery systems
(‘‘VERS’’), power correction capacitors,
hail guards, and fresh air dampers.
Three of these features in Section F2.4—
low ambient cooling dampers, hail
guards, and fresh air dampers—are
included for VRF multi-split systems in
the ‘‘Equipment Features Requiring Test
Procedure Action’’ section of the
Commercial HVAC Term Sheet. The
remaining two features—power
correction capacitors and VERS—may
be included in VRF multi-split systems
distributed in commerce. Therefore,
DOE has tentatively concluded that
their inclusion as optional features for
VRF multi-split systems is appropriate.
DOE notes that the list of features and
provisions in Section F2.4 of appendix
F of AHRI 1230–2021 conflates features
that can be addressed by testing
provisions with features that warrant
enforcement relief (i.e., features that, if
present on a unit under test, could have
a substantive impact on test results and
that cannot be disabled or otherwise
mitigated). This differentiation was
central to the Commercial HVAC Term
Sheet, which as noted previously,
included separate lists for ‘‘Equipment
Features Requiring Test Procedure
Action’’ and ‘‘Equipment Features
Subject to Enforcement Policy,’’ and
remains central to providing clarity in
DOE’s regulations. Specifically, models
including features for which the impact
can be addressed by testing provisions
(e.g., UV lights, which can simply be
turned off for testing) should be subject
to testing and do not warrant
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enforcement relief (i.e., no provisions
allowing representations based on
performance of an otherwise identical
model without the feature, and DOE
compliance could be assessed based on
testing of the model containing the
feature and not based on testing of an
otherwise identical model without the
feature).
Further, Section F2.4 of AHRI 1230–
2021 does not provide provisions
specific to how DOE would conduct
enforcement testing with respect to
specific components, as opposed to how
manufacturers make representations.
Therefore, provisions more explicit than
those included in Section F2.4 of AHRI
1230–2021 are warranted to clarify (1)
how manufacturers of VRF multi-split
systems must make representations with
regards to specific components; and (2)
how DOE will conduct enforcement
testing with respect to specific
components (e.g., in which situations
DOE would test a tested combination
including individual indoor unit models
with a specific component present).
In order to provide clarity between
test procedure provisions (i.e., how to
test a specific unit) and certification and
enforcement provisions (e.g., which
model to test), DOE is not proposing to
incorporate by reference appendix F of
AHRI 1230–2021 and instead is
proposing related provisions in
appendix D1 to subpart F of part 431,
§ 429.43, and § 429.134. Specifically, in
appendix D1, DOE proposes test
provisions for specific components,
including all of the components listed
in Section F2.4 of 1230–2021. These
provisions would specify how to test a
unit with such a component (e.g., for a
unit with hail guards, remove hail
guards for testing). These proposed test
provisions are consistent with the
provisions in Section F2.4 of AHRI
1230–2021 but include revisions for
further clarity and specificity (e.g.,
adding clarifying provisions for how to
test units with modular economizers as
opposed to units shipped with
economizers installed).
In § 429.43(a)(4), DOE is proposing
provisions that would allow, in specific
cases, determination of represented
values for a tested combination of VRF
multi-split system based on
performance of a system without certain
specific components. These provisions
are generally consistent with the
Commercial HVAC Term Sheet, the
Commercial HVAC Enforcement Policy,
and Section F2.4 of AHRI 1230–2021.
However, unlike in Section F2.4 of
AHRI 1230–2021 (but consistent with
the Commercial HVAC Term Sheet and
the Commercial HVAC Enforcement
Policy) and as discussed earlier in this
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section, the components to which these
provisions apply are limited to those
components for which the test
provisions for testing a unit with these
components may result in differences in
ratings compared to testing a unit
without these components—
specifically, air economizers and
dehumidification components, which
were included in both the Commercial
HVAC Enforcement Policy for VRF
multi-split systems and appendix F of
AHRI 1230–2021.
Also, because air economizers and
dehumidification components are only
ever installed as part of the indoor units
of VRF multi-split systems, and VRF
multi-split systems contain multiple
indoor units with potentially distinct
model numbers, DOE proposes to adopt
language more specific to VRF multisplit systems than the language
contained in the Commercial HVAC
Enforcement Policy and Section F2.4 of
AHRI 1230–2021—i.e., applying the
provisions to multiple indoor unit
models and tested combinations. For
example, DOE uses the term ‘‘individual
indoor unit models’’ to account for
potential discrepancies across
individual indoor unit models that
comprise the VRF multi-split system
tested combination. This terminology
allows for individual consideration of
specific components on an indoor unitby-indoor unit basis to account for
scenarios in which one individual
indoor unit model in the tested
combination may have an ‘‘otherwise
identical’’ indoor unit model while
other individual indoor unit models in
the tested combination may not have an
‘‘otherwise identical’’ indoor unit
model.
In summary, for air economizers and
dehumidification components, DOE
proposes the following:
• If the indoor unit model(s) in a
tested combination within a basic model
include only individual indoor unit
models distributed in commerce with a
specific component, or does not include
any otherwise identical individual
indoor unit models distributed in
commerce without the specific
component, the manufacturer must
determine represented values for the
tested combination based on
performance of individual indoor unit
models with the component present
(and consistent with any relevant
proposed test procedure provisions in
appendix D1).
• If the indoor unit model(s) in a
tested combination within a basic model
include both individual indoor unit
models distributed in commerce with a
specific component and otherwise
identical individual indoor unit models
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distributed in commerce without the
specific component, the manufacturer
may determine represented values for
the tested combination based on
performance of individual indoor unit
models either with the component
present (and consistent with any
relevant proposed test procedure
provisions in appendix D1) or without
the component present.
DOE notes that in some cases,
individual indoor unit models may
include multiple of the specified
components (i.e., both an economizer
and dehumidification components) or
there may be individual indoor unit
models within a tested combination that
include various dehumidification
components that result in more or less
energy use. In these cases, the
represented values of performance must
be representative of the lowest
efficiency found within the indoor unit
model(s) in a tested combination.
Additionally, DOE is proposing at
§ 429.43(b)(4) a certification reporting
requirement for supplemental test
instructions for VRF multi-split systems
regarding specific components,
corresponding to the proposed
representation requirements for specific
components at § 429.43(a)(4).
Specifically DOE proposes that the
manufacturer must certify for which
specific components (as listed in
§ 429.43(a)(4)(i)), if any, the following
provisions are applicable: (1) The
indoor unit model(s) in a tested
combination within a basic model
include both individual indoor unit
models distributed in commerce with
the specific component and individual
indoor unit models distributed in
commerce without the specific
component; (2) at least one of the
individual indoor unit models
distributed in commerce without the
specific component is otherwise
identical to any given individual indoor
unit model distributed in commerce
with the specific component; and (3)
represented values for the tested
combination are based on performance
of individual indoor unit models
distributed in commerce without the
specific component.
Also consistent with the Commercial
HVAC Term Sheet and the Commercial
HVAC Enforcement Policy, in 10 CFR
429.143(s)(1), DOE is proposing
provisions regarding how DOE would
test tested combinations within a basic
model that include individual indoor
unit models distributed in commerce
with air economizers or
dehumidification components.
Specifically:
• If the manufacturer does not certify
in accordance with 10 CFR 429.43(b)(4)
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both that (1) indoor unit model(s) in a
tested combination within a basic model
include both individual indoor unit
models distributed in commerce with a
specific component and otherwise
identical individual indoor unit models
distributed in commerce without the
specific component and (2) represented
values for the tested combination are
based on performance of individual
indoor unit models distributed in
commerce without the specific
component; then DOE may test the
tested combination with individual
indoor unit models with the component
present (and consistent with any
relevant proposed test procedure
provisions in appendix D1).
• If the manufacturer certifies in
accordance with 10 CFR 429.43(b)(4)
both that (1) indoor unit model(s) in a
tested combination within a basic model
include both individual indoor unit
models distributed in commerce with a
specific component and otherwise
identical individual indoor unit models
distributed in commerce without the
specific component, and (2) represented
values for the tested combination are
based on performance of individual
indoor unit models distributed in
commerce without the specific
component, DOE will test the tested
combination with otherwise identical
indoor unit model(s) within the tested
combination within a basic model that
do not include the component, except in
either of the following situations. In
either of the following situations, DOE
may test the tested combination with
individual indoor unit models with the
specific component present (and
consistent with any relevant proposed
test procedure provisions in appendix
D1).
Æ DOE is not able, through
documented reasonable effort, to obtain
individual indoor unit models for
testing that do not include the
component.
Æ DOE becomes aware that the
manufacturer’s certification in
accordance with 10 CFR 429.43(b)(4)
regarding specific components is
invalid.
Were DOE to adopt the provisions in
appendix D1, § 429.43, and § 429.134 as
proposed, DOE would rescind the
Commercial HVAC Enforcement Policy
to the extent it is applicable to VRF
multi-split systems. In a separate
certification rulemaking, DOE may
consider requiring a manufacturer to
identify, in its certifications, the
otherwise identical models that do not
include specific component(s) that are
tested to support representations of
basic models that include individual
models with specific components.
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Issue 2: DOE requests comment on its
proposals in appendix D1, § 429.43, and
§ 429.134 regarding specific
components.
H. Controls Verification Procedure
Section 5.1.2.1 of AHRI 1230–2021
specifies that during steady-state
performance rating tests for cooling and
heating efficiency, VRF multi-split
systems must operate under commands
from system controls except for certain
components, referred to as ‘‘critical
parameters,’’ which are allowed to be
set by a manufacturer’s representative.
These critical parameters are (1)
compressor speed(s), (2) outdoor fan
speed(s), and (3) outdoor variable valve
positions. Settings for critical
parameters are allowed to be manually
controlled using a manufacturer control
tool, as opposed to all other components
which must operate per commands from
the system controls. The measured
performance of VRF multi-split systems
depends, in part, on the operating
positions of each of these critical
parameters. Accordingly, Section 5.1.2
of AHRI 1230–2021 states that
operational settings for each of the
critical parameters must be specified in
the STI, and that each of the critical
parameters must be allowed to be
manually adjusted (to match the STIcertified values) during testing.
AHRI 1230–2021 also includes a
normative Appendix C that specifies a
controls verification procedure (‘‘CVP’’).
The purpose of the CVP is to validate
that the observed positions of critical
parameters during the CVP are within
tolerance of the STI-certified critical
parameter values that are set by the
manufacturer in steady-state IEER
cooling tests (see section III.H.5 of this
NOPR for discussion of CVP results).
This ensures that the measured results
of the IEER test procedure are based on
critical parameter settings that are
representative of critical parameter
behavior that would be experienced in
the field.
DOE proposes to adopt the CVP that
is specified in appendix C of AHRI
1230–2021. Because the CVP is a
verification procedure, not a test
procedure used to develop represented
values, DOE is proposing to distinguish
the CVP as a validation procedure by
adopting the CVP procedure in the
product-specific enforcement provisions
for VRF multi-split systems at
§ 429.134(s). The proposed inclusion of
these provisions at § 429.134(s) would
indicate how DOE would conduct a CVP
in the event of assessment or
enforcement testing. The following subsections discuss the CVP and DOE’s
CVP-related proposals in detail.
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1. Background
DOE’s current test procedure for VRF
multi-split systems includes allowances
in 10 CFR 431.96(f) for limited
manufacturer involvement in
assessment or enforcement testing. A
manufacturer’s representative may
adjust components such as the
compressor speed, fan speeds, and valve
positions for the purposes of achieving
steady-state conditions during testing.
10 CFR 431.96(f). This adjustment
process is provided for VRF multi-split
systems because of the complexity of
VRF multi-split systems and the variety
of settings needed to perform a test. 77
FR 28928, 28946 DOE’s current
certification requirements for VRF
multi-split systems, found at
§ 429.43(b)(4), specify that the STI must
include compressor frequency set points
and required dip switch/control settings
for step or variable components.
However, DOE’s current regulations do
not require these settings to match
system behavior when the VRF multisplit system is operating under its own
controls. Further, there are no
constraints regarding the allowable
range of adjustments that a
manufacturer’s representative may make
to reach steady state. Sections 5.1.2 and
5.1.3 of ANSI/AHRI 1230–2010 allow
similar adjustments of modulating
components to achieve steady-state
conditions during ratings tests.
In October 2018, during the
negotiation meetings of the Working
Group, the CA IOUs raised concern with
the representativeness of the ANSI/
AHRI 1230–2010 method, particularly
with respect to control inputs used at
part-load test conditions. (Docket Nos.
EERE–2018–BT–STD–0003–0011 and
EERE–2018–BT–STD–0003–0013) The
CA IOUs presented field and laboratory
test data indicating decreased
performance at part-load conditions as
compared to the part-load performance
indicated by the IEER rating and
available published performance data
for that system when a VRF multi-split
system was tested under commands
from the system controls (i.e., not
manually controlled). Id. The VRF TP
Term Sheet from the Working Group
recommended that DOE adopt an
updated draft of AHRI 1230 that
included a controls verification
procedure as an appendix. (Docket No.
EERE–2018–BT–STD–0003–0044 at pp.
1–2).
2. Purpose and Description
As discussed, Appendix C of AHRI
1230–2021 establishes a CVP.17 The
17 The concept for the CVP originated from a
minimum compressor speed verification procedure
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CVP verifies whether critical parameter
settings certified in the STI,
implemented by the manufacturer’s
representative during full-load and partload steady-state cooling tests for IEER,
are within the range of settings that
would be used by the system during
operation in the field—the system’s
native controls. The behavior of each
critical parameter is monitored and
recorded throughout the duration of a
CVP.
In contrast to steady-state tests in
which test conditions are held constant,
the CVP is a dynamic cooling test
method in which certain test conditions
are intentionally varied throughout the
test. Specifically, the indoor room drybulb temperature is steadily decreased
during the CVP using the room
conditioning apparatus, in order to
determine how the VRF multi-split
system under test responds to
approaching and achieving its setpoint.
Outdoor room test conditions are held
constant during the CVP. The CVP may
be conducted at any of the four IEER
outdoor air or entering water
temperature conditions.
At the start of the CVP, the indoor
room test chamber temperature is
controlled to a manufacturer-specified
value that must be between 82 °F and
86 °F, and the VRF indoor units are set
to control to a constant indoor
temperature, 80 °F, except as explained
by Section 5.1.5 of AHRI 1230–2021.
This Section provides instructions for
adjusting the VRF indoor unit setpoints
(deviating from 80 °F) to account for set
point bias and set point offset.18 VRF
indoor units typically use the calculated
temperature difference between the
setpoint and the measured indoor air
temperature as a control parameter for
determining when to shut down and
become thermally inactive. As
discussed, the timing of the first indoor
unit becoming thermally inactive
dictates the allowable time period for
determining whether certified critical
parameter values have been validated,
so it is crucial to account for set point
provided in Japanese standard JIS B 8616:2006,
Package Air Conditioners, which is included as an
informative reference in appendix B of AHRI 1230–
2021, but not directly referenced within AHRI
1230–2021. Available at www.jsajis.org/
index.php?main_page=product_
info&cPath=2&products_id=13290.
18 AHRI 1230–2021 provides the following
definitions for these terms in sections 3.29 and 3.30,
respectively:
Set Point Bias—The difference between 80 °F and
the nominal thermostat set point required for the
thermostat to control for 80 °F sensed temperature
at the sensed location.
Set Point Offset—The difference between the
temperature indicated by a thermostat’s
temperature sensor and the actual temperature at
the sensor’s location.
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bias and offset to ensure repeatable test
results.
After setting initial indoor air
temperature, including any adjustments
to control for set point bias and offset,
the CVP proceeds by incrementally
decreasing the indoor room test
chamber temperature while the VRF
multi-split system setpoint is held
constant. As the indoor room
temperature approaches and eventually
passes below the VRF multi-split system
setpoint, the VRF multi-split system
controls should begin to register that the
cooling demand has been satisfied, and
the system will begin to ‘‘unload,’’
meaning reduce capacity.19 VRF multisplit systems typically unload by
modulating component settings,
including critical parameters, from the
values used when providing full-load
cooling capacity. During this unloading
period and up until the time that the
first indoor unit becomes thermally
inactive, critical parameters are
compared against the critical parameter
values that are certified in the STI
(validation criteria are discussed in a
following section). Once the first indoor
unit becomes thermally inactive, the
indoor room dry bulb temperature
continues decreasing until the indoor
room reaches 77 °F.
3. Critical Parameter Definition
Section 3.10 of AHRI 1230–2021
defines the term ‘‘critical parameters’’ as
‘‘Key variables affecting the measured
result,’’ meaning ‘‘[a]ny operating state
or position for a component, either set
manually or automatically by System
Controls, which significantly impacts
system performance.’’ Section 5.1.2.1 of
AHRI 1230–2021 limits the range of
critical parameters that can be manually
adjusted to compressor speed(s),
outdoor fan speed(s) and outdoor
variable valve position(s). To be more
explicit that ‘‘critical parameters’’ refers
only to those parameters specified by
Section 5.1.2.1 of AHRI 1230–2021,
DOE is proposing not to reference the
definition of critical parameters in
Section 3.10 of AHRI 1230–2021, and
instead to define the term ‘‘critical
parameter(s)’’ in section 3 of appendix
D1 as specifically referring to the
following settings of modulating
components of VRF multi-split air
conditioners and heat pumps:
Compressor speed(s), outdoor fan
speed(s) and outdoor variable valve
position(s). DOE has tentatively
concluded that the proposed change to
19 Figure C.1 in AHRI 1230–2021 displays an
example schematic of the indoor dry bulb
temperature in °F, compressor speed in Hz, and the
number of thermally active indoor units over the
duration of a CVP test.
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the definition is editorial in nature and
would not change or conflict with any
testing provisions in AHRI 1230–2021.
Issue 3: DOE requests comment on its
proposed definition for ‘‘Critical
Parameter(s)’’, which specifies the three
parameters that can be manually
controlled in testing per Section 5.1.2.1
of AHRI 1230–2021—compressor
speed(s), outdoor fan speed(s), and
outdoor variable valve position(s).
4. Critical Parameter Variation and
Budget Method
Appendix C of AHRI 1230–2021
includes methods for (1) calculating
variation of critical parameters
measured during the CVP from the
values certified by the manufacturer in
the STI (in Section C.4.4.2.3 of AHRI
1230–2021); and for (2) assessing
whether the variation of critical
parameters from certified values is
within acceptable limits (in Section C.6
of AHRI 1230–2021).
Section C.4.4.2.3 of AHRI 1230–2021
provides instructions for calculating
critical parameter variation during the
CVP, specifying that at each
measurement interval the instantaneous
positions of all critical parameters are
compared to the certified values. If
multiple components corresponding to a
single parameter are present (e.g.,
multiple compressors), the average
position across all components is
calculated at each measurement interval
when determining variation. This
difference is then divided by the
maximum value observed during a fullload cooling CVP, to arrive at a
normalized percent difference referred
to as the ‘‘Parameter Percent Difference’’
or ‘‘PPDi,t’’ in AHRI 1230–2021.
Table C3 of AHRI 1230–2021 specifies
weighting factors (referred to as
‘‘nominal point values’’), which are
multiplied by the PPDi,t for each critical
parameter. This results in a ‘‘Points’’
value (calculated per equation C4 of
AHRI 1230–2021) for each of the three
critical parameters. These nominal point
values reflect the relative sensitivity of
IEER to changes in each critical
parameter for VRF multi-split systems.
The nominal point values specified in
Table C3 of AHRI 1230–2021 are
independent of the load point and
whether the measured critical parameter
is above or below the STI-certified
value. Section C6.1.1 of AHRI 1230–
2021 specifies that the Points values for
each critical parameter are combined
into a single measure called ‘‘RSS Points
Total’’ using a root-sum-squared
calculation. RSS Points Total represents
an aggregated and normalized measure
of deviation of all critical parameters
from their certified values.
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The verification criteria specified in
Section C.6 of AHRI 1230–2021 for
critical parameters measured during the
CVP is a ‘‘budget method’’ that is
dependent on cumulative variation
across multiple critical parameters,
instead of being solely dependent on the
behavior of a single critical parameter.
The budget method specified in Section
C.6 of AHRI 1230–2021 applies a limit
to the calculated RSS Points Total
across all three critical parameters
instead of applying individual
tolerances to each individual critical
parameter.20 This method allows
manufacturers flexibility in critical
parameter control strategies while still
constraining the overall variation in
VRF multi-split system performance.
The budget method can be applied the
same way regardless of the number of
critical parameters that a manufacturer
certifies to their STI. For any critical
parameter whose value is not certified
in the STI, i.e., not designated as being
controlled during the IEER cooling tests,
the deviation in that parameter will be
calculated as zero for the duration of the
CVP.
5. Validation of Certified Critical
Parameters
As discussed in the preceding section,
AHRI 1230–2021 includes a budget
method for calculating total variation in
critical parameters from their certified
values, expressed as a point total
instead of measuring deviation
individually for each critical parameter.
Section C6.1.2 of AHRI 1230–2021
specifies that the certified critical
parameters are valid if at least one
measurement period of at least three
minutes and a minimum of five sample
readings exists where the average RSS
Points Total is less than or equal to 70
points. Section C6.1.3 of AHRI 1230–
2021 states that the manufacturerspecified critical parameters are invalid
if no measurement period of at least
three minutes and a minimum of five
sample readings exists where the
average RSS Points Total is less than or
equal to 70 points. As discussed in
section III.D.1 of this NOPR, the 70point threshold was developed as part
of AHRI 1230 Technical Committee
meetings in which DOE presented
anonymized and aggregated test data. As
20 In addition to recommending inclusion of a
CVP an appendix to the draft AHRI 1230, the VRF
TP Term Sheet also recommended that DOE
determine appropriate values for critical parameter
tolerances using manufacturer-provided data. DOE
subsequently conducted testing and sensitivity
analysis of several VRF multi-split systems that
were incorporated into the development of the
‘‘budget method’’ for CVP critical parameter
verification specified in section C6 of AHRI 1230–
2021.
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part of those meetings, DOE presented
its finding that a minimum point budget
of 32 points was required to account for
the lab-to-lab and test-to-test variability
observed in critical parameter behavior
between CVP runs for a single system.
(EERE–2018–BT–STD–0003–0063 at p.
23). To allow for additional variability
(e.g., sample-to-sample variability across
the same VRF multi-split system and
variability across different types of VRF
multi-split systems), DOE recommended
a 60-point budget to the Technical
Committee. (Id). The Technical
Committee ultimately agreed to provide
a 70-point budget in AHRI 1230–2021.
DOE has tentatively determined that
the language in Sections C6.1.2 and
C6.1.3 of AHRI 1230–2021 could be
construed and applied in multiple
manners, and that this could lead to
differing test burdens. The phrase ‘‘a
measurement period of at least three
minutes and a minimum of five sample
readings’’ could be understood to
indicate a measurement period with no
upper limit, potentially encompassing
the entire duration of the CVP. This
reading could be understood to require
iterative calculations of time periods of
varying lengths when validating critical
parameters during the CVP (e.g., all
three-minute periods, and all fourminute periods, and all five-minute
periods). Taken to an extreme, this
would result in thousands of
calculations. Further, the language
‘‘where the average RSS Points Total is
less than or equal to 70 points’’ does not
indicate the specific procedure for
determining the average value of RSS
Points Total—i.e., whether ‘‘average’’
refers to the average value within the
measurement period or the cumulative
average value of RSS points at the time
of measurement.
Therefore, DOE proposes to clarify
these provisions by providing additional
instructions for validating critical
parameters in § 429.134(s)(3)(ii).
Specifically, DOE proposes to specify
that the duration of the time period used
for validating critical parameters must
be whichever of the following is longer:
Three minutes or the time period
needed to obtain five sample readings
while meeting the minimum data
collection interval requirements of
Table C2 of AHRI 1230–2021. DOE also
proposes to specify that if at least one
measurement period (with the
aforementioned duration) exists before
the first indoor unit goes thermally
inactive that has an average RSS Points
Total less than or equal to 70 points,
then the certified critical parameter
values are validated.
Issue 4: DOE seeks comment on its
proposal for adding provisions at 10
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CFR 429.134(s)(3)(ii) to clarify the
language in Sections C6.1.2 and C6.1.3
of AHRI 1230–2021 for validating
critical parameters during a CVP,
particularly pertaining to the duration of
the measurement period used for
validating critical parameters.
6. Determination of Alternate Critical
Parameters
AHRI 1230–2021 indicates that
certified critical parameters shall be
consistent with a valid CVP to be used
for IEER testing. Specifically, Section
5.1.2.1 of AHRI 1230–2021 specifies that
operational settings for critical
parameters must be with RSS Points
Total ≤70 points, as defined in Section
C6 of AHRI 1230–2021. However, AHRI
1230–2021 does not explicitly provide
for alternate critical parameters for the
IEER cooling test if the certified critical
parameters are invalidated by the CVP.
If a CVP is not conducted, or if a CVP
is conducted and the manufacturerspecified critical parameters are
validated, DOE proposes that the critical
parameter values certified in the STI be
used as the initial control inputs when
conducting the IEER cooling test at the
corresponding full- or part-load cooling
condition. DOE understands this to be
consistent with Section 5.1.2 of AHRI
1230–2021. Because AHRI 1230–2021
does not explicitly address how
alternate critical parameters are to be
determined in the case of a failed CVP,
additional provisions are needed so that
alternate critical parameters are
determined in a repeatable and
representative manner. Therefore, if the
CVP invalidates the manufacturerspecified critical parameters, DOE
proposes at § 429.134(s)(3)(iii)(B) that
alternate critical parameter values
would be determined by averaging the
value for each critical parameter from a
specified time period of the CVP data,
and that these alternate critical
parameter values would be used for
IEER testing in lieu of the certified
critical parameter values. DOE proposes
to use the same procedure for
determination of measurement period
length as is proposed in
§ 429.134(s)(3)(ii)(A) and discussed in
section III.H.5 of this NOPR: The longer
of three minutes or the time period
needed to obtain five sample readings
while meeting the minimum data
collection interval requirements of
Table C2 of AHRI 1230–2021.
DOE also proposes to select the
measurement period for determining
alternate critical parameter values (with
the aforementioned duration) that has
the lower average RSS points total over
the selected period than over any other
period in the CVP having the same
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duration. If multiple such periods exist
with the same RSS Points Total, DOE
proposes to select the period closest to
(but before) the time when the first
indoor unit becomes thermally inactive
(tOff).
As described in section III.H.4 of this
NOPR, Point Total represents an
aggregated and normalized measure of
deviation of all critical parameters from
their certified values; therefore, by
selecting a time period having the
lowest average RSS Point Total, DOE
would be selecting the period from the
CVP where the alternate critical
parameter values are most similar
collectively to their certified values.
However, DOE acknowledges that other
approaches could be considered for
selecting the measurement period for
determination of alternate critical
parameters from a CVP that has
invalidated the critical parameter
settings. For example, DOE could
consider selecting the measurement
period based on the behavior of
compressor speed alone (e.g., the
measurement period when deviation
between certified and measured
compressor speed is minimized),
irrespective of other critical parameters.
DOE could also consider selecting the
measurement period based on test
chamber conditions—e.g., the
measurement period when the indoor
test chamber first passes below the VRF
multi-split system thermostat setpoint,
or the measurement period just before
the first indoor unit becomes thermally
inactive.
Issue 5: DOE seeks comment on its
proposal to specify at
§ 429.134(s)(3)(iii)(B) how, in the event
of a CVP that has invalidated the critical
parameter settings, alternate critical
parameters would be determined to use
as initial control inputs during the
corresponding IEER full- or part-load
cooling test. DOE requests feedback on
the proposed method for selecting a
measurement period on the basis of
minimized average RSS points total, and
also on its proposal for using an average
of critical parameter measurements over
the selected measurement period to
calculate alternate critical parameters.
DOE will further consider any alternate
approaches suggested by comments in
developing any final rule.
7. When the CVP Is Conducted
While appendix C of AHRI 1230–2021
details how to conduct a CVP, it does
not include instruction about the
circumstances in which a CVP must be
conducted. As noted previously in
section III.D.1, DOE is proposing to
adopt appendix C from AHRI 1230–
2021 as a product-specific enforcement
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provision, as opposed to adopting it in
proposed appendix D1. In other words,
DOE is not proposing that the CVP be
conducted as part of an IEER test per the
DOE test procedure. Instead, DOE is
proposing to include the CVP (via
reference to appendix C of AHRI 1230–
2021) as part of DOE’s product-specific
enforcement provisions for VRF multisplit systems in the proposed
§ 429.134(s).
Issue 6: DOE requests comment on its
proposal to incorporate the CVP into its
product-specific enforcement provisions
for VRF multi-split systems at
§ 429.134(s) instead of the test
procedure for VRF multi-split systems
in the proposed appendix D1.
In addition to its proposal to
incorporate the CVP into its productspecific enforcement provisions, DOE is
proposing to specify at § 429.134(s)(3)
that DOE would conduct a CVP at all of
the four IEER cooling test conditions,
consistent with the Working Group
intention for DOE to verify controls
performance. (Docket No. EERE–2018–
BT–STD–0003–0044 at p. 2) DOE also
proposes to specify that the CVP would
be performed first at the full-load
cooling condition to determine
maximum critical parameter values,
before conducting the CVP at part-load
cooling conditions because the
maximum critical parameter values are
used for calculating normalized
deviation for CVPs at part-load
conditions.
DOE also proposes to specify that the
CVP would be performed on a single
system from the two-system sample
during enforcement testing. As
discussed in section III.H.5 of this
document, DOE’s preliminary testing to
evaluate repeatability and
reproducibility of the CVP indicated
that a minimum point budget of 32
points would be required to account for
lab-to-lab and test-to-test variability
observed in a single system. A 70-point
budget could therefore accommodate an
additional 48 points due to additional
sources of variability, including sampleto-sample variability across the same
VRF multi-split system. DOE has
tentatively determined that the 70-point
budget would be sufficient to account
for all sources of variability during
testing, such that conducting the CVP
on a single system from the assessment/
enforcement sample would yield results
that are representative of both systems
in the sample.
Should alternate critical parameters
be required as a result of a CVP that has
invalidated the critical parameter
settings, DOE proposes that the alternate
critical parameters would be determined
from the CVP results of the single
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system. These alternate critical
parameters would be used for the
corresponding IEER test (as specified in
appendix D1) for all systems tested as
part of the enforcement sample. Figure
1 shows a diagram illustrating DOE’s
proposed use of the CVP in its
enforcement provisions for VRF multisplit systems.
Issue 7: DOE requests comment on its
proposed approach for conducting the
CVP during enforcement testing.
Specifically, DOE requests comment on
the proposal that DOE would conduct
the CVP for a single system during
enforcement testing in order to validate
the certified critical parameters. If
commenters believe conducting the CVP
on a single system as part of
enforcement testing is insufficient, DOE
requests test data demonstrating any
issues with repeatability and
reproducibility of the CVP that would
indicate that the 70-point budget for
critical parameter variation included in
the industry consensus test procedure
AHRI 1230–2021 is insufficient.
I. Allowable Critical Parameter
Adjustment
adjusted according to the instructions
provided in the STI—specifically, the
manufacturer may specify that any or all
of the three critical parameters are to be
adjusted in this scenario. Section
6.3.3.1.2 further specifies that when
adjusting critical parameters, the
allowable adjustment is constrained by
deviation resulting in an RSS points
total of 70 points or fewer. However,
this section does not explicitly describe
RSS points total, nor does it refer to the
provisions in Sections C4.4.2.3 and C6
that specify measurement and
calculation of RSS points total in the
context of a CVP. To remedy this, DOE
is proposing instructions for calculating
critical parameter variation (in terms of
RSS Points Total) for steady-state IEER
cooling tests for which the measured
capacity is above the target load
fraction. These proposed instructions
are consistent with the provisions in
Section C4.4.2.3 of AHRI 1230–2021 for
calculating critical parameter variation
in a CVP, except that DOE proposes to
specify that the normalized deviation is
to be measured between the certified
STI values and the adjusted critical
parameter values during steady-state
IEER cooling tests, rather than between
the certified STI values and an
instantaneous measurement of critical
parameter positions recorded during the
CVP.
DOE is proposing two other
clarifications to the provisions for
critical parameter adjustment for IEER
tests in section 5 of appendix D1. First,
DOE is proposing to clarify that upward
adjustments to compressor speed (i.e.,
when the measured cooling capacity is
too low or when the SHR is above the
allowable limit) are not constrained by
a budget on RSS Points Total. This is
consistent with AHRI 1230–2021, which
does not require an RSS Points Total
budget be used for these adjustments.
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1. Adjustment of Certified Critical
Parameter Values
Section 6.3.3 of AHRI 1230–2021
provides instructions for adjusting
critical parameters during the four
specified full- or part-load IEER cooling
test conditions in order to meet cooling
capacity targets or to adjust SHR to
below the allowable limit for the given
IEER test point. Upon review of these
provisions, DOE has tentatively
determined that several amendments are
required, and, therefore, proposes to
include provisions to specify allowable
critical parameter adjustments in
section 5.2 of appendix D1 to subpart F
of part 431.
Section 6.3.3.1.2 of AHRI 1230–2021
specifies that in cases for which the
cooling capacity is above the upper
tolerance, the critical parameters are
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Second, DOE proposes to clarify the
instructions for calculating critical
parameter variation in the scenario
where a VRF multi-split system contains
multiple components corresponding to a
single critical parameter (e.g., multiple
compressors). Specifically, DOE
proposes to replace all references to
‘‘multiple instances of a single
parameter’’ with ‘‘multiple components
corresponding to a critical parameter’’.
This proposal is consistent with AHRI
1230–2021, but clarifies the wording
because ‘‘multiple instances’’ could be
interpreted to refer to multiple time
points for a single component, rather
than multiple components at a given
time, as intended.
To the extent that the industry test
procedure does not provide the
specifications regarding adjustment of
critical parameters as proposed, DOE
tentatively finds that the industry test
procedure would not ensure that
measured results are comparative. Due
to the potential variation resulting from
the absence of the specification, the
industry test procedure would not
ensure that the results reflect the
equipment’s representative average
energy efficiency or energy use. As
such, DOE has initially determined,
supported by clear and convincing
evidence, that in the absence of the
proposed specifications for adjustment
of critical parameters the industry test
procedure would not meet the statutory
requirements of 42 U.S.C. 6314(a)(2)–
(3), and, therefore, is proposing the
supplemental specification.
Issue 8: DOE seeks comment on its
proposed provisions (to clarify similar
provisions in AHRI 1230–2021) in
section 4 of the proposed appendix D1
to subpart F of part 431 that specify
allowable adjustments to critical
parameters for IEER tests. Specifically,
DOE requests feedback on its proposal
to specify, for IEER tests for which the
tested capacity is above the target
capacity, calculation of normalized
critical parameter variation during the
adjustment process (similar to the
calculation specified for the CVP in
Section C4.4.2.3 of AHRI 1230–2021).
2. Adjustment of Alternate Critical
Parameter Values
As described in section III.H.5 of this
NOPR, in the case of critical parameter
values being invalidated by the CVP
conducted as part of DOE assessment or
enforcement testing, DOE is proposing
to clarify how alternate critical
parameters would be determined for use
as control inputs for a steady-state
cooling test conducted at the
corresponding IEER test condition
(instead of using the critical parameter
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values certified in the STI). In such a
case, it may still be necessary to adjust
the alternate critical parameter values
(determined in the CVP) in order to
meet tolerances for capacity and SHR
limits for the IEER test. Accordingly,
DOE is proposing to include provisions
at § 429.134(s)(3)(iii)(B)(3) to indicate
that in the case of invalidated critical
parameter values in which DOE
determines alternate critical parameters,
additional adjustments to the alternate
critical parameters are allowed to
comply with capacity and/or SHR
requirements. Specifically, DOE
proposes to reference the methods for
adjustment of critical parameters from
section 5.2 of appendix D1 to subpart F
of part 431 with two modifications.
First, DOE proposes that in such a case,
references in section 5.2 of appendix D1
to critical parameter values certified in
the STI would be replaced with
references to alternate critical parameter
values determined under the CVP.
Second, in such a case DOE proposes to
determine the maximum operating state
of each critical parameter (referred to as
CPMax in AHRI 1230–2021 and the
proposed regulatory text) based on the
maximum operating state observed
during a CVP conducted at 100 percent
cooling load conditions, instead of using
the information certified to the STI for
the 100 percent cooling load point.
Issue 9: DOE seeks comment on the
proposed provisions at
§ 429.134(s)(3)(iii)(B)(3) regarding
allowable adjustment (to meet
tolerances for capacity and SHR limits
for an IEER test) of alternate critical
parameter values determined by DOE in
the event of a CVP that has invalidated
the critical parameter settings.
J. Certification, Compliance and
Enforcement
1. Represented Values
a. Tested Combination
In the July 2017 ASHRAE TP RFI,
DOE noted that Section 6.2.1 of the 2015
draft version of AHRI 1230 included the
following specification for tested
combinations for systems with
capacities greater than or equal to
65,000 Btu/h: Testing with standard 4way ceiling cassette indoor units with
the smallest coil volume per nominal
capacity for non-ducted indoor units,
and testing with mid-static units for
ducted indoor units. 82 FR 34427,
34447. DOE also stated that there is a
range of ductless indoor unit styles,
which may have a range of efficiency
characteristics, and that ducted systems
may serve a range of ESPs. 82 FR 34427,
34447–34448 (July 25, 2017). DOE
requested comment and data on
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variation of system efficiency related to
indoor unit styles (both for ducted and
non-ducted indoor units). Id. at 82 FR
34448. DOE also requested data on the
most prevalent style and static pressure
classification (low-static, mid-static, or
conventional-static) of ducted units. Id.
AHRI, Carrier, Lennox, Mitsubishi,
and Goodman commented that the 4way ceiling cassette and mid-static unit
styles specified by the 2015 draft
version of AHRI 1230 for the tested
combination of non-ducted and ducted
indoor units, respectively, are the most
common. (AHRI, No. 11 at p. 36; Carrier,
No. 6 at pp. 22; Lennox, No. 8 at p.10;
Mitsubishi, No. 10 at p.3; Goodman, No.
14 at p.7) AHRI additionally stated that
it had recently surveyed its members
and confirmed that these types of indoor
units are the most prevalent in the
industry. (AHRI, No.11 at p 36)
Section 6.2 of AHRI 1230–2021
specifies tested combination
requirements for VRF multi-split
systems that generally align with the
specifications from AHRI 1230–2015
draft, with a few amendments. First,
AHRI 1230–2021 amends the
instructions for determining which
indoor units to use if the primary option
is not offered by the manufacturer.
Instead of relying on the ‘‘highest sales
volume’’ designation for determining
the alternate indoor units to compose
the tested combination, Section 6.2.1.1
of AHRI 1230–2021 specifies the
following hierarchy of non-ducted
indoor units: Compact 4-way ceiling
cassette, three-way cassette, two-way
cassette, wall-mounted, one-way
cassette, floor-mounted, and ceilingsuspended. Section 6.2.1.2 of AHRI
1230–2021 specifies that the tested
combination must use indoor units
(with the lowest normalized coil
volume) only from the indoor unit
model family with the highest static
capabilities. Second, AHRI 1230–2021
adds tested combination instructions for
the new SDHV indoor unit model
family. Specifically, Section 6.2.1.3 of
AHRI 1230–2021 specifies that smallduct high velocity (SDHV) 21 tested
combinations must use indoor units
21 Section 3.17.3 of AHRI 1230–2021 defines the
SDHV indoor unit model family to include indoor
units that produce at least 1.2 inches water column
of ESP when operated at the full-load cooling
airflow of at least 220 scfm per rated ton of nominal
cooling capacity. These criteria align with DOE’s
definition for ‘‘small-duct high velocity system’’
included in appendices M and M1 to subpart B of
part 430, for consumer central air conditioners. The
definition in Section 3.17.3 of AHRI 1230–2021
further provides additional clarification that the
SDHV indoor unit model family is a separate indoor
unit model family type that is not one of the ducted
indoor unit model families.
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with the lowest normalized coil
volume/motor efficiency.
Although the tested combination is
relevant to determination of represented
values, rather than the method of test,
DOE has tentatively determined that the
AHRI 1230–2021 provisions regarding
tested combination are appropriate.
Therefore, for ease of use, DOE is
proposing to incorporate by reference
Section 6.2.1 of AHRI 1230–2021 in
appendix D1 to subpart F of part 431.
b. Represented Values for Indoor Unit
Combinations
DOE includes requirements for
determining represented values for all
commercial HVAC equipment
(including VRF multi-split systems) in
§ 429.43(a). Represented values for each
VRF multi-split system basic model
must be determined either through
testing in conjunction with the
applicable sampling provisions in
§ 429.43(a)(1), or through application of
an AEDM in accordance with the
provisions in § 429.43(a)(2). In addition,
DOE’s current test procedure
incorporates by reference Section 5.2 of
ANSI/AHRI 1230–2010, which includes
requirements for determining
represented values of VRF multi-split
systems through testing. However, DOE
does not currently specify in § 429.43(a)
any provisions specific to VRF multisplit systems for determining
represented values.
In considering possible options for
determining represented values for VRF
multi-split systems, DOE reviewed
AHRI 1230–2021, which includes
provisions for determining represented
values of VRF multi-split systems
through testing in Section 7. Section
7.2.5 specifies provisions pertaining to
represented values of different
combinations of indoor unit types.
Specifically, for basic models that
include only non-ducted or only ducted
indoor unit combinations, Section
7.2.5.1 states that ratings are determined
by testing at least two complete system
samples of the same combination of
indoor units. Section 7.2.5.2 states that
for manufacturers who offer both nonducted combinations and ducted
combinations, ratings are determined by
testing two or more combinations of
indoor units with each outdoor unit,
with one combination consisting of only
non-ducted indoor units and the second
combination consisting of only ducted
indoor units. Additionally, Section
7.2.5.2.3 specifies that the rating given
to any untested system with a mix of
ducted and non-ducted units is to be set
equal to the average of the ratings for the
non-ducted and ducted tested
combinations.
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As discussed in section III.J.1.a of this
NOPR, Section 6.2 of AHRI 1230–2021
includes provisions regarding tested
combinations of three overall types:
Non-ducted, ducted, and SDHV.
However, Section 7.2.5 of AHRI 1230–
2021 addresses only ducted and nonducted combinations, and does not
include provisions for determining
represented values through testing of
VRF multi-split systems with SDHV
indoor units. While Section 7.2.2 of
AHRI 1230–2021 states that mixed
ratings must be determined by the
straight average of two individual
systems’ rated values containing
homogenous kinds of indoor units,
including non-ducted, ducted, and
SDHV, Section 7.2.5 addresses mixed
ratings of only non-ducted and ducted
tested combinations.
DOE proposes to adopt requirements
at § 429.43(a)(3)(iv)(B) for determining
represented values for VRF multi-split
systems that are consistent with the
requirements from Section 7.2.5 of
AHRI 1230–2021, but with additional
detail to address SDHV indoor units and
with language more appropriate for
DOE’s certification regulations. If a basic
model includes only non-ducted indoor
units, only ducted indoor units, or only
SDHV indoor units, DOE proposes that
the manufacturer must determine the
represented values for the basic model
by testing a sample of non-ducted tested
combinations, ducted tested
combinations, or SDHV tested
combinations, as applicable, according
to the sampling plan in § 429.43(a)(1), or
by application of an AEDM as specified
in §§ 429.43(a)(2) and 429.70. If a basic
model includes more than one type of
indoor unit combination—ducted, nonducted, and/or SDHV—DOE proposes
that the manufacturer must determine
separate represented values for each
type of indoor unit combination. DOE
further proposes to specify that the
represented values must be determined
either through application of an AEDM,
following provisions from
§§ 429.43(a)(2) and 429.70), or through
testing a minimum of a single tested
combination for each type of indoor unit
combination included in that basic
model.
Additionally, DOE proposes that a
manufacturer may determine
represented values for optional ‘‘mixed’’
representations of any two required
representations (i.e., ducted, nonducted, and/or SDHV) for a basic model
by calculating the mean of the two
required representations. For example,
if a basic model includes
representations for ducted and nonducted indoor unit combinations, an
optional ‘‘mixed ducted/non-ducted’’
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representation would be determined by
averaging the ducted representation and
the non-ducted representation.
These proposals would only be
required when certifying to amended
standards in terms of IEER. DOE has
tentatively determined that the
proposed provisions would not be
unduly burdensome to manufacturers.
DOE typically requires manufacturers to
follow the sampling plan in
§ 429.43(a)(1) for all representations
based on testing (i.e., a minimum of two
test samples per represented value),
rather than distributing the sampling
plan testing requirements across a basic
model with multiple representations
(i.e., the proposed approach for
requiring only a single tested system per
representation). However, DOE has
tentatively concluded that the test
burden for VRF multi-split systems is
significantly higher than that of other
commercial AC equipment, which
warrants the proposed reduced testing
requirements for determining
represented values. VRF multi-split
systems are tested with up to twelve
indoor units connected in a single
refrigerant circuit, which requires
additional set-up and commissioning
time to install refrigerant piping and
ensure proper charge compared to
testing other kinds of commercial HVAC
equipment. This often requires VRF
multi-split systems to be tested using 2
indoor test chambers in order to
accommodate all 12 indoor units, while
other types of commercial HVAC
equipment only ever require a single
indoor test chamber.
Further, DOE understands that most
manufacturers of VRF multi-split
systems offer both ducted and nonducted indoor units for most basic
models; therefore, for most basic models
with representations based on testing,
manufacturers would still be testing at
least two samples (e.g., one with nonducted indoor units and one with
ducted indoor units). Consequently,
DOE has tentatively concluded that the
proposed reduced testing requirements
will reduce test burden while being
reasonably designed to produce test
results which reflect energy efficiency of
the VRF multi-split systems during a
representative average use cycle. Of
note, DOE’s enforcement regulations in
subpart C to part 429 apply to a basic
model, not to a representation.
Therefore, the entire basic model would
be considered non-compliant if any of
the representations for that basic model
were found to be invalid.
Issue 10: DOE requests comment on
its proposals for determining
represented values for VRF multi-split
system basic models with different
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indoor unit combinations. In particular,
DOE seeks feedback on its proposal to
allow for optional mixed
representations of any two required
representations (i.e., ducted, nonducted, and/or SDHV) for a basic model
by calculating the mean of the two
required representations.
c. Multiple Refrigerants
DOE recognizes that some commercial
package air conditioning and heating
equipment may be sold with more than
one refrigerant option (e.g., R–410A or
R–407C). Typically, manufacturers
specify a single refrigerant in their
literature for each unique model, but in
its review, DOE has identified at least
one commercial package air
conditioning and heating equipment
manufacturer that provides two
refrigerant options under the same
model number. The refrigerant chosen
by the customer in the field installation
may impact the energy efficiency of a
unit. For this reason, DOE is proposing
representation requirements applicable
to models approved for use with
multiple refrigerants. These proposals
would only be required when certifying
to amended standards in terms of IEER.
Use of a refrigerant that requires
different hardware (such as R–407C as
compared to R–410A) would represent a
different basic model, and according to
the current CFR, separate
representations of energy efficiency are
required for each basic model. In
contrast, some refrigerants (such as R–
422D, R–427A) would not require
different hardware, and a manufacturer
may consider them to be the same basic
model, per DOE’s current definition for
‘‘basic model’’ at § 431.92. In the latter
case of multiple refrigerant options that
do not require different hardware, DOE
proposes at § 429.43(a)(3)(iv)(A) that a
manufacturer must determine the
represented values (e.g., IEER, COP, and
cooling capacity) for that basic model
based on the refrigerant(s)—among all
refrigerants listed on the unit’s
nameplate—that result in the lowest
cooling efficiency. These represented
values would apply to the basic model
for all refrigerants specified by the
manufacturer as appropriate for use,
regardless of which refrigerant may
actually be used in the field.
Issue 11: DOE requests comment on
its proposal regarding representations
for VRF multi-split system basic models
approved for use with multiple
refrigerants.
d. Confidence Limit
DOE’s regulations for commercial
HVAC (including VRF multi-split
systems) at § 429.43(a)(1) include
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requirements for determining
represented values based on a sample of
tested units. Specifically, represented
values for energy efficiency of a basic
model of VRF must be less than or equal
to the mean of the sample of tested units
or the lower 95 percent confidence
limit, whichever is lower.
In a comment submitted in response
to the July 2017 ASHRAE TP RFI,
Lennox recommended that DOE
harmonize the certification criteria in 10
CFR 429.43 for ‘‘commercial air
conditioning products’’ with that for
central air conditioners, a consumer
product, in 10 CFR 429.16 that uses
only a 90 percent confidence interval.
(Lennox, No. 8 at p. 6). In particular,
Lennox stated that commercial
equipment currently has a more
stringent confidence limit of 95 percent
and asserted that current testing
technology does not support this level
of precision. (Id.) Lennox’s
recommendation for a narrower
confidence interval would decrease the
level of certainty that a tested efficiency
would be greater than the rated
efficiency, assuming the same test
sample size.
Other manufacturers did not raise
concerns regarding the confidence limit
required for sampling commercial
package air conditioners and heat
pumps (including VRF multi-split
systems), and Lennox did not provide
data regarding variability of units in
production and testing to support a
different confidence limit. Absent more
specific information or data regarding
the stringency of the confidence level,
DOE is not proposing to adopt the
suggested change.22
2. Certification Reporting Requirements
DOE specifies certification reporting
requirements for VRF multi-split
systems in 10 CFR 429.43(b).
Certification reporting requirements for
VRF multi-split systems include both
public equipment-specific information
and STI. In this NOPR, DOE is
proposing changes to certification
reporting requirements to enable testing
to the updated industry test procedure
AHRI 1230–2021 and to align with
DOE’s proposals regarding
determination of represented values for
VRF multi-split systems, discussed
previously in section III.J.1. DOE is
22 DOE notes that it has previously requested data
regarding the variability of units of small, large, and
very large air-cooled commercial package air
conditioning and heating equipment in production
and testing to enable DOE to review and make any
necessary adjustments to the specified confidence
levels. See 80 FR 79655, 79659 (Dec. 23, 2015).
However, DOE did not receive any relevant data in
response to that request.
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proposing to amend the certification
reporting requirements for VRF multisplit systems to address the IEER metric
but is not proposing amendments to the
current standards (in terms of EER).
Therefore, the certification reporting
requirement proposals would only
apply when certifying to a future IEER
standard; existing certification reporting
requirements used when certifying to
the current EER standards would not
change unless DOE conducts a
subsequent rulemaking amending the
standard to rely on the IEER metric.
a. Certification Requirements
In this NOPR, DOE proposes to amend
the reporting requirements consistent
with the proposed amendments to the
test procedure and metric. When
certifying a VRF multi-split system to
standards in terms of IEER,
manufacturers would be required to
report the following public information
in addition to the current certification
requirements:
• IEER values (replacing the current
certification requirement for EER
values).
• The rated heating capacity, in Btu/h.
• The indoor unit combination used
to determine the represented values for
an individual combination (i.e., a nonducted, ducted, SDHV, or mixed indoor
unit combination), and all outdoor and
indoor unit model numbers used to
compose the tested combination. This
proposal corresponds to the proposal
regarding represented values for indoor
unit combinations discussed in section
III.J.1.b of this NOPR.
• The refrigerant used to determine
the represented values for a basic
model, per the proposal discussed in
section III.J.1.c of this NOPR that
manufacturers must determine all
represented values for a basic model
(e.g., EER, IEER, COP, and cooling
capacity) based on the refrigerant listed
on the unit’s nameplate that results in
the lowest cooling efficiency.
Regarding heating capacity, DOE is
proposing to include rated heating
capacity in Btu/h (as measured
according to the proposed amended test
procedure in Appendix D1) as a public
reporting requirement for all VRF multisplit heat pump systems (and not for
VRF multi-split air conditioners). DOE’s
current certification reporting
requirements for VRF multi-split
systems at 10 CFR 429.43(b)(2) specify
that manufacturers must include the
rated cooling capacity (in Btu/h) and the
rated cooling efficiency (EER, in Btu/
W*h) in their public certification
reports. For VRF multi-split heat
pumps, the public certification report
must also include the rated heating
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efficiency (COP, in W/W), but the rated
heating capacity is required to be
reported as part of the STI instead of in
the public certification report. DOE is
proposing to require rated heating
capacity as part of the public
certification report instead of the STI to
align with the certification approach for
cooling capacity. As discussed in
section III.E.1, manufacturers already
test and rate VRF multi-split systems in
the AHRI Directory of Certified Product
Performance for VRF multi-split
systems.23 AHRI requires that
manufactures publicly provide the rated
heating capacity of VRF multi-split
systems at two separate outdoor
temperature conditions, including at the
47 °F outdoor temperature condition
used in the proposed DOE test
procedure. Because all VRF multi-split
system manufacturers are AHRI
members, DOE tentatively concludes
that a requirement to report the rated
heating capacity would not increase the
reporting burden.
Issue 12: DOE requests comment on
its proposed certification reporting
requirements for VRF multi-split
systems.
Manufacturers, including importers,
must use product-specific certification
templates to certify compliance to DOE.
For VRF multi-split systems, the
certification template reflects the
general certification requirements
specified at 10 CFR 429.12 and the
product-specific public certification
reporting requirements specified at
§ 429.43(b)(2). DOE is proposing to
amend the product-specific public
certification requirements for VRF
multi-split systems in this notice. To
help interested parties better appreciate
these proposed changes, a draft
certification template is included in the
docket, which can be viewed as
described in the Docket section at the
beginning of this document and will be
accessible on the DOE website.
b. Supplemental Testing Instructions
The STI generally provides
equipment-specific instruction to allow
for third-party testing of equipment.
DOE has tentatively determined that
updates in the industry test procedure
AHRI 1230–2021 require corresponding
amendments to the STI certification
requirements to test VRF multi-split
systems. DOE proposes to add or amend
the following items at § 429.43(b)(4) as
part of the required STI when certifying
a VRF multi-split system to amended
standards in terms of IEER, as these
23 The AHRI directory for VRF multi-split systems
is available at: www.ahridirectory.org/
NewSearch?programId=72&searchTypeId=3.
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items would be needed for IEER testing
per the proposed test procedure at
appendix D1:
• Identification of the indoor units to
be thermally active for each IEER test
point;
• The rated indoor airflow for the
full-load cooling, full-load heating, and
all part-load cooling tests (for each
indoor unit), in standard cubic feet per
minute (scfm);
• The indoor airflow-control setting
to be used in the full-load cooling test
and the indoor airflow control setting to
be used in the full-load heating test (for
each indoor unit);
• For water-cooled units, the rated
water flow rate in gallons per minute
(gpm);
• System start-up or initialization
procedures, including conditions and
durations;
• The duration of the compressor
break-in period. (Existing requirements
in § 431.96(c) require manufacturers to
include this information in the test data
underlying the certified ratings that
must be maintained according to 10 CFR
429.71);
• Instructions for adjustment of
critical parameters to meet capacity
targets and/or SHR limits, including
hierarchy for adjusting;
• The layout of the system set-up for
testing (previously required upon
request) including a piping diagram,
setup instructions for indoor units and
outdoor units, charging instructions, a
control wiring diagram, and
identification of the location of each
critical parameter;
• Explicitly providing that the
nominal cooling capacity and nominal
heating capacity (if applicable) in
British thermal units per hour (Btu/h)
must be certified for each outdoor unit
and indoor unit;
• Requiring testing instructions for
conducting testing for all indoor unit
combinations with distinct represented
values within a basic model, as
applicable. (This proposal corresponds
to the proposal regarding represented
values for indoor unit combinations
discussed in section III.J.1.b of this
NOPR);
• Removing the current requirement
to report compressor frequency set
points and instead require reporting
operational settings for all critical
parameters to be manually controlled
for each of the four IEER cooling test
conditions and for the COP heating test;
• Removing the reporting
requirement regarding whether the
model will operate at test conditions
without manufacturer programming,
because the proposed VRF enforcement
provisions (discussed in section III.J of
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this NOPR) allow for a manufacturer
representative to be on site for DOE
testing;
• Removing the reporting
requirement for rated static pressure,
which is unnecessary because AHRI
1230–2021 includes ESP requirements
for testing; and
• The frequency of oil-recovery
cycles.
Regarding the nominal cooling and
heating capacity, DOE is also proposing
to clarify that manufacturers must
certify the nominal cooling capacity and
nominal heating capacity (as applicable)
for each indoor unit and outdoor unit as
a part of their supplemental testing
instructions. The existing STI
requirements for VRF multi-split
systems require reporting of ‘‘nominal
cooling capacity’’ and ‘‘rated heating
capacity’’, but do not specify whether
these values need to be reported for the
entire VRF multi-split system or for
each indoor and outdoor unit. As
described in section III.J.2.a, DOE is
proposing to require public reporting of
rated heating capacity for VRF multisplit heat pumps as part of the
certification report. In sum, these
proposals would require that
manufacturers publicly certify the rated
cooling capacity and rated heating
capacity (as applicable) for each basic
model of VRF multi-split system, and
then separately certify (in supplemental
testing instructions) the nominal cooling
capacity and nominal heating capacity
(as applicable) for each indoor unit and
outdoor unit.
Regarding the CVP, DOE also
proposes to require reporting as part of
the STI the following manufacturerspecified input conditions for
conducting a CVP at each of the four
IEER cooling test conditions: The
required thermostat set points to ensure
control for 80 °F dry-bulb temperature
when accounting for set point bias, the
starting indoor dry-bulb temperature,
and the indoor dry-bulb temperature
ramp rate. This proposal corresponds to
the proposal to adopt the CVP (as
specified in Appendix C of AHRI 1230–
2021) in § 429.134(s), as discussed in
section III.H of this NOPR.
Regarding specific components, as
discussed in section III.G of this NOPR,
DOE is proposing an STI reporting
requirement, corresponding to the
proposed representation requirements
for specific components at 10 CFR
429.43(a)(4). Specifically DOE proposes
that the manufacturer must certify for
which, if any, specific components (as
listed in 10 CFR 429.43(a)(4)(i)) the
following provisions are applicable: (1)
The indoor unit model(s) in a tested
combination within a basic model
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include both individual indoor unit
models distributed in commerce with
the specific component and individual
indoor unit models distributed in
commerce without the specific
component; (2) at least one of the
individual indoor unit models
distributed in commerce without the
specific component is otherwise
identical to any given individual indoor
unit model distributed in commerce
with the specific component; and (3)
represented values for the tested
combination are based on performance
of individual indoor unit models
distributed in commerce without the
specific component.
The proposed STI certification
requirements provide information that
is necessary for testing VRF multi-split
systems consistent with the updated
industry test procedure AHRI 1230–
2021. Further, section D3 of informative
appendix D of AHRI 1230–2021
includes a list of recommended items to
be included in STI when testing to
AHRI 1230–2021, and most of the STI
certification requirements proposed in
this NOPR are included in the section
D3 list. Therefore, DOE has tentatively
concluded that the proposed STI
certification requirements are warranted
for testing according to the latest
industry test procedure for VRF-multisplit systems and would not impose
significant burden to manufacturers.
Issue 13: DOE requests comment on
its proposed STI reporting requirements
for VRF multi-split systems.
3. Models Required for AEDM
Validation
As discussed, manufacturers of VRF
multi-split systems may determine
represented values through testing
according to the sampling plan in
§ 429.43(a)(1), or by application of an
AEDM as specified in §§ 429.43(a)(2)
and 429.70. DOE proposes to adopt the
following AEDM validation
requirements for VRF multi-split
systems to be similar to the sampling
plan requirements for tested units,
discussed in section III.J.3 of this NOPR.
If a manufacturer makes
representations for only a single type of
indoor unit combination (i.e., ducted,
non-ducted, or SDHV indoor unit
combinations) within or across all its
basic models to which the AEDM
applies, DOE proposes that the
manufacturer must validate the AEDM
by testing at least a single tested
combination of that type of indoor unit
combination for each of the two selected
basic models.
If a manufacturer makes
representations for two types of indoor
unit combinations (i.e., ducted, non-
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ducted, and/or SDHV indoor unit
combinations) within or across all its
basic models to which the AEDM
applies, DOE proposes that the
manufacturer must test at least: (1) A
single tested combination of a selected
basic model as the first of those two
types of indoor unit combination, and
(2) a single tested combination of a
different selected basic model as the
second of those two types of indoor unit
combination. For example, if an AEDM
is validated through testing of two basic
models (Model A and Model B) and
Model A and Model B both include
ducted and non-ducted indoor unit
combinations, validation testing would
need to be conducted on Model A with
a ducted tested combination and Model
B with non-ducted tested combination,
or vice versa.
If a manufacturer makes
representations for all three types of
indoor unit combinations (i.e., ducted,
non-ducted, and SDHV indoor unit
combinations) within or across all its
basic models to which the AEDM
applies, DOE proposes that the
manufacturer must test at least a single
tested combination of a selected basic
model as a non-ducted tested
combination and a single tested
combination of a different selected basic
model as a ducted tested combination.
These proposals retain DOE’s existing
requirements for VRF multi-split
systems at § 429.70(c)(iv) to test two
basic models in order to validate an
AEDM.
DOE has tentatively concluded that
the proposed AEDM validation
requirements are consistent with AHRI
1230–2021, because they ensure that
values developed with an AEDM
conform to the results of AHRI 1230–
2021. These proposals would only be
required when certifying to amended
standards in terms of IEER.
Issue 14: DOE requests comment on
its proposal to amend its requirements
for AEDM validation for VRF multi-split
systems.
4. Manufacturer Involvement
DOE does not allow manufacturer
involvement in assessment and
enforcement testing of most regulated
equipment to ensure objectivity and
repeatability. However, in
acknowledgement of the uniquely
complicated nature of VRF multi-split
systems, the current DOE test procedure
includes allowances in § 431.96(f) for
limited manufacturer involvement
during assessment and enforcement
testing. 77 FR 28927, 28946.
Specifically, a manufacturer’s
representative is allowed to witness
assessment and enforcement testing,
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inspect set-up, discuss set-up with a
DOE representative, and adjust
modulating components to achieve
steady-state operation. § 431.96(f). In
AHRI 1230–2021, allowable
manufacturer involvement is prescribed
in Sections 5.1.2 and 6.3.3.
Section 5.1.2 states that manufacturer
authorized personnel may support
commissioning of the VRF multi-split
system being tested (i.e., ensuring that
the system is properly installed and
functioning as expected). Section 5.1.2.1
states that operational settings for
critical parameters may be manually
adjusted and shall be as specified in the
STI but does not specify which party is
responsible for setting the critical
parameters during testing. Section
5.1.2.2 states that all compressors shall
initially operate at the setting(s)
provided in the STI, which is redundant
with Section 5.1.2.1. Section 5.1.2.3
states that all control settings must be
set by a member of the laboratory and
states that all control settings must
remain unchanged for all load points
once system setup has been completed.
Section 6.3.3 specifies allowable
critical parameter adjustments for the
purposes of meeting capacity targets
and/or SHR limits during IEER cooling
tests. However, Section 6.3.3 includes
unclear and contradictory language
regarding who performs critical
parameter adjustments. Specifically,
Section 6.3.3 describes critical
parameter ‘‘adjustments’’ as being
performed by laboratory personnel, but
also specifies that when a steady-state
test is conducted in a third-party
laboratory, a manufacturer’s
representative may ‘‘set’’ critical
parameter values under the supervision
of the third-party laboratory (using the
service tool to monitor critical
parameters). Further, Section 6.3.3 uses
several different terms when describing
who takes certain actions as part of
adjusting critical parameters, for which
it is unclear if any difference in meaning
is intended: ‘‘the lab’’, ‘‘a member of the
laboratory’’, ‘‘lab personnel’’, and ‘‘the
third party laboratory’’.
Given the importance of explicitly
specifying the specific actions the
manufacturer’s representative can take
as part of assessment and enforcement
testing of VRF multi-split systems, DOE
does not propose to adopt Sections 5.1.2
and 6.3.3 of AHRI 1230–2021, and
instead proposes to specify in
§ 429.134(s)(2) provisions for allowable
manufacturer involvement during DOE
assessment and enforcement testing.
These provisions are generally
consistent with Sections 5.1.2 and 6.3.3
of AHRI 1230–2021, but assign more
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precisely the actions that a
manufacturer’s representative may take.
Specifically, DOE is proposing to
clarify that a manufacturer’s
representative is allowed to support
commissioning of the VRF multi-split
system and to witness DOE assessment
or enforcement testing, which is
consistent with the current Federal test
procedure. For all cooling and heating
tests, DOE proposes that all control
settings other than critical parameters
must be set by a member of the thirdparty laboratory; a manufacturer’s
representative may initially set all
critical parameters to their certified
values. For IEER cooling tests only, DOE
proposes to specify that if additional
adjustments to critical parameters are
required for meeting capacity targets
and/or SHR limits (see section III.I of
this NOPR), a manufacturer’s
representative may make such
adjustments in accordance with section
5.1 of appendix D1 using a proprietary
control tool. DOE further proposes that
initial setting and any additional critical
parameter adjustments performed by a
manufacturer’s representative during
IEER testing must be monitored by
third-party laboratory personnel using a
service tool. For the heating test, DOE
proposes that the manufacturer’s
representative would not be permitted
to make any critical parameter
adjustments during testing and would
only be allowed to initially set critical
parameters to their certified values.
These proposals are a departure from
the current DOE test procedure (which
allows manufacturer control of
modulating components for the
purposes of reaching steady-state
operation) and instead align with the
latest industry test procedure AHRI
1230–2021 (with minor clarifications in
wording, as discussed).
In the case that a manufacturer is not
present for assessment or enforcement
testing, third-party laboratory personnel
may need a manufacturer’s control tool
to set critical parameters to their initial
settings or make additional adjustments
required by the test procedure.
Accordingly, DOE is proposing to
amend its test notice requirements for
VRF multi-split systems at
§ 429.110(b)(1)(iv) to require
manufacturers to include a means of
control to set and adjust critical
parameters with all systems provided
for enforcement testing.
Correspondingly, DOE is proposing
provisions for VRF multi-split systems
at § 429.104(b) that would require
manufacturers to provide a means of
control for assessment testing, although
manufacturers would not be required to
provide the VRF multi-split system for
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assessment testing. This proposal would
enable the laboratory staff to perform
IEER and heating tests in the event that
a manufacturer’s representative is not
available for assessment and/or
enforcement testing. DOE also proposes
that, if a manufacturer’s representative
is not present for testing, a member of
the third-party laboratory shall set and
adjust critical parameter values in
accordance with section 5.1 of appendix
D1 using the means of control provided
by the manufacturer in response to the
test notice.
Issue 15: DOE seeks comment on its
proposal to require a means of control
to be provided by the manufacturer for
assessment and enforcement testing.
Furthermore, AHRI 1230–2021 only
partially addresses allowable
manufacturer involvement during the
CVP. Specifically, section C3.1 provides
instructions that control settings must
be identical to those used during the
steady-state IEER tests, except that
control settings for critical parameters
shall not be controlled during the CVP.
However, Appendix C to AHRI 1230–
2021 does not provide instruction for
which parties may interact with the unit
under test, and under what
circumstances. Also, the wording
‘‘identical to those used during the
steady-state IEER tests’’ could be
interpreted to mean that steady-state
IEER tests must be conducted prior to a
CVP, which should not be necessary. To
address these issues, DOE proposes to
specify in its product-specific
enforcement provisions at
§ 429.134(s)(2) that a manufacturer’s
representative is allowed to support
commissioning of the VRF multi-split
system and witness the CVP. DOE also
proposes to specify that the control
settings used during a CVP must be set
by a member of the third-party
laboratory and must be set per the
provisions in section 5.1 of appendix D1
to subpart F of part 431 (except for
critical parameters, which must operate
automatically from the system controls
and must not be controlled or adjusted
at any point during the CVP).
DOE has tentatively concluded that
these proposals would ensure the
consistency and objectivity of the CVP.
Furthermore, these proposals are
consistent with AHRI 1230–2021,
because they ensure the manufacturer’s
representative cannot set or adjust any
parameters in the CVP that AHRI 1230–
2021 specifies shall operate under
commands from system controls during
the CVP. Additionally, the proposed
language to set control settings for the
CVP (except critical parameters) in
accordance with section 5.1 of appendix
D1 to subpart F of part 431 ensures that
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the same control settings (except critical
parameters) are used between the CVP
and IEER cooling tests, without
requiring IEER cooling tests to be
conducted before a CVP.
Issue 16: DOE seeks comment on its
proposal to establish in 10 CFR
429.134(s)(2) provisions regarding
allowable manufacturer involvement
during assessment and enforcement
testing, which are consistent with AHRI
1230–2021. DOE also seeks comment on
its proposal for allowable manufacturer
involvement during the CVP.
5. Certified Critical Parameter
Operational Settings
As described in section III.J.2.b of this
NOPR, DOE is proposing to require that
manufacturers certify in the STI the
operational settings for all critical
parameters to be manually controlled
for each of the four IEER cooling test
conditions and for the COP heating test.
Because the control settings for critical
parameters affect the operating state of
the VRF multi-split system, the
measured performance is likely to vary
significantly based on the critical
parameter settings selected. For
example, in preliminary testing, DOE
determined that a 10 percent change in
compressor speed resulted in an average
difference of approximately 5 EER
points (in Btu/W*hr) at each IEER load
point. (EERE–2018–BT–STD–0003–0063
at p. 15). Due to the relationship of
critical parameter operational settings to
the measured performance of VRF
multi-split systems, DOE is making
several proposals related to the certified
critical parameters.
As discussed in section III.H.5, DOE
is proposing to use the CVP during
assessment and enforcement testing to
verify that the certified critical
parameter values for IEER cooling tests
are valid. The certified critical
parameter values used for the heating
test are not subject to validation from a
CVP, as the CVP is applicable only for
cooling operation. In addition to its
proposals governing the use of the CVP,
DOE is proposing to add a certification
reporting provision specific to VRF
multi-split systems in § 429.43(b)(5).
This proposal specifies that if a
manufacturer becomes aware that any of
the certified operational settings for the
critical parameters are determined to be
invalid according to the results of a
CVP, whether that CVP be performed by
the manufacturer or another party, the
manufacturer would be required to recertify the operational settings of those
critical parameters for all affected basic
models, as well as re-rate and re-certify
the affected basic models. Notably, DOE
is not proposing a requirement that
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manufacturers conduct the CVP as part
of certification to DOE.
In addition to its proposal to require
re-certification and re-rating of VRF
multi-split systems in the event a
manufacturer becomes aware that any of
its certified operational settings for
critical parameters are invalid according
to a CVP, DOE also proposes to amend
the enforcement testing requirements at
§ 429.110(a) to state that DOE may
initiate enforcement testing for VRF
multi-split systems if DOE has reason to
believe that the model is not in
compliance, has invalid certified
operational settings for critical
parameter values, or has an otherwise
invalid certified rating. Under this
proposal DOE may initiate enforcement
testing to investigate the certified
critical parameter values and the
associated IEER rating for VRF multisplit systems based on any of the
following events:
1. DOE conducts CVP during
assessment testing that results in
invalidated operational settings for
critical parameters for a basic model;
2. DOE conducts assessment testing
for IEER and COP that creates reason to
believe the basic model would be noncompliant with energy conservation
standards or have an otherwise invalid
rating;
3. Another party conducts a CVP that
results in invalidated operational
settings for critical parameters for a
basic model and the manufacturer fails
to recertify that basic model;
4. A CVP is conducted (by DOE or
another party) that results in invalidated
operational settings for critical
parameters for a basic model, and DOE
finds that a similar basic model from the
same manufacturer relies on similar
certified operational settings for critical
parameters.
DOE may examine multiple sources
including, but not limited to, publicly
available information and the STI when
determining whether there is reason to
proceed to enforcement testing. DOE
notes that upon initiation of
enforcement testing, DOE will issue a
test notice to the manufacturer to
acquire the selected models and means
of control, and will conduct a CVP on
the certified operational settings of
critical parameters before proceeding to
IEER testing.
Issue 17: DOE requests comment on
its proposed approaches for certification
and for enforcement testing in the event
that a VRF multi-split system has
invalid certified operational settings for
critical parameter values.
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6. Enforcement Sampling Plan
DOE’s regulations at § 429.110(e)
include provisions for selection of units
for enforcement testing. Specifically,
§ 429.110(e)(2) states that for
commercial air conditioners and heat
pumps (which includes VRF multi-split
systems), DOE will use an initial sample
size of not more than four (4) units
when determining a basic model’s
compliance with applicable energy
conservation standards. As described in
section III.J.1.b of this NOPR, DOE has
tentatively determined that the testing
of VRF multi-split systems is
significantly more involved than the
testing of other commercial HVAC
equipment. The proposed test procedure
would incorporate instructions for
setting the positions of multiple critical
parameters during testing, which
requires additional setup as compared
to other kinds of commercial HVAC
equipment. DOE estimates the cost to
test VRF multi-split systems to be
between $7,500 and $27,000, depending
on size and configuration of the system
(not including costs of copper piping or
refrigerant). Additionally, DOE is
proposing in this NOPR to incorporate
the CVP into its enforcement regulations
for VRF multi-split systems at
§ 429.134(s), which would add
approximately eight hours of test time at
each of the four IEER load conditions
during enforcement testing.
Because of the involved nature of
testing VRF multi-split systems, it
would be unlikely that DOE would
conduct assessment testing or
enforcement testing on the maximum
number of units currently specified (i.e.,
four). In order to reflect what would be
the expected practice, DOE proposes to
amend its enforcement sampling plan
requirements specific to VRF multi-split
systems to require a sample size of two
VRF multi-split systems. The process for
determining compliance with energy
conservation standards would be
unchanged in this proposal, i.e., a
compliance determination would be
made for VRF multi-split systems using
the sampling plan found in appendix B
to subpart C of part 429 with a first
sample size of n1 = 2 VRF multi-split
systems.
Issue 18: DOE requests comment on
its proposed enforcement sampling plan
for VRF multi-split systems.
K. Test Procedure Costs
EPCA requires that the test
procedures for commercial package air
conditioning and heating equipment,
which includes VRF multi-split
systems, be those generally accepted
industry testing procedures or rating
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procedures developed or recognized by
AHRI or by ASHRAE, as referenced in
ASHRAE Standard 90.1. (42 U.S.C.
6314(a)(4)(A)) Further, if such an
industry test procedure is amended,
DOE must amend its test procedure to
be consistent with the amended
industry test procedure, unless DOE
determines, by rule published in the
Federal Register and supported by clear
and convincing evidence, that such
amended test procedure would not meet
the requirements in 42 U.S.C. 6314(a)(2)
and (3) related to representative use and
test burden. (42 U.S.C. 6314(a)(4)(B)) In
this NOPR, DOE proposes to amend the
current test procedure for VRF multisplit systems at § 431.96 by (1)
incorporating by reference AHRI 1230–
2021 and ANSI/ASHRAE 37–2009; and
(2) establishing provisions for
determining IEER for VRF multi-split
systems. DOE also proposes to amend
its certification, compliance, and
enforcement (‘‘CCE’’) provisions for VRF
multi-split systems to provide
information that is necessary for testing
VRF multi-split systems consistent with
the updated industry test procedure
AHRI 1230–2021. Most significantly,
these proposed changes include the
incorporation of the CVP from AHRI
1230–2021 into DOE’s product-specific
enforcement provisions at § 429.134, as
well as accompanying certification
requirements at § 429.43.
DOE has tentatively determined that
these proposed amended test
procedures would be representative of
an average use cycle and would not be
unduly burdensome for manufacturers
to conduct. The proposed appendix D,
measuring EER and COP per ANSI/
AHRI 1230–2010, does not contain any
changes from the current Federal test
procedure, and, therefore, would not
require retesting solely as a result of
DOE’s adoption of this proposed
amendment to the test procedure, if
made final. The proposed test procedure
in appendix D1, measuring IEER and
COP per AHRI 1230–2021, would lead
to an increase in cost from appendix D
testing. DOE estimates that the cost for
third-party lab testing according to the
proposed appendix D1 for measuring
IEER and COP to be $7,500—$27,000
per VRF multi-split heat pump system,
depending on size and configuration.
As discussed in section II, the
proposed test procedure provisions
regarding IEER would not be mandatory
unless DOE amends the energy
conservation standards for VRF multisplit systems based on IEER. But, DOE
has tentatively determined that the
proposed test procedure amendments
would not be expected to increase the
testing burden on VRF multi-split
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system manufacturers. All VRF multisplit system manufacturers are AHRI
members; DOE is referencing the
prevailing industry test procedure that
was established for use in AHRI’s
certification program (which DOE
presumes will be updated to include
IEER in terms of the latest industry test
procedure AHRI 1230–2021). Therefore,
DOE expects that manufacturers will
begin testing using the test methods in
AHRI 1230–2021, and the testing
burden will already be incurred from
AHRI members participating in AHRI’s
certification program. Additionally,
DOE has tentatively determined that the
test procedure amendments, if finalized,
would not require manufacturers to
redesign any of the covered equipment,
would not require changes to how the
equipment is manufactured, and would
not impact the utility of the equipment.
Issue 19: DOE requests comment on
its understanding of the impact of the
test procedure proposals in this NOPR,
specifically DOE’s initial conclusion
that the proposed DOE test procedure
amendments, if finalized, would not
increase testing burden on VRF multisplit system manufacturers, compared to
current industry practice as indicated by
AHRI 1230–2021.
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L. Reserved Appendices for Test
Procedures for Commercial Air
Conditioning and Heating Equipment
DOE is proposing to relocate and
centralize the current test procedures for
VRF multi-split systems to a new
appendix D to subpart F of part 431. As
proposed, appendix D would not amend
the current test procedures. Appendix D
would continue to reference ANSI/AHRI
1230–2010 and provide instructions for
determining EER and COP.
Correspondingly, DOE is proposing to
update the existing incorporation by
reference of ANSI/AHRI 1230–2010 at
§ 431.95 so that the incorporation by
reference applies to appendix D.
Appendix D would also centralize the
additional test provisions currently
applicable under § 431.96—§ 431.96(c)
through (f). VRF multi-split systems
would be required to be tested
according to appendix D, absent
amendments to the applicable energy
conservation standards to rely on the
IEER metric.
DOE also proposes to adopt the
updated version of AHRI 1230, AHRI
1230–2021, including the IEER metric in
a new appendix D1 to subpart F of part
431. VRF multi-split systems would not
be required to test according to
appendix D1 until compliance is
required with amended energy
conservation standards that rely on the
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IEER metric, should DOE adopt such
standards.
M. Compliance Date
EPCA prescribes that, if DOE amends
a test procedure, all representations of
energy efficiency and energy use,
including those made in the context of
certification and on marketing materials
and product labels, must be made in
accordance with that amended test
procedure, beginning 360 days after
publication of such a test procedure
final rule in the Federal Register. (42
U.S.C. 6314(d)(1))
EPCA also provides an allowance for
individual manufacturers to petition
DOE for an extension if the
manufacturer may experience undue
hardship in meeting the deadline. (42
U.S.C. 6314(d)(2)) To receive such an
extension should DOE finalize an
amended test procedure, petitions must
be filed with DOE no later than 60 days
before the end of the 360-day period and
must detail how the manufacturer will
experience undue hardship. (Id.)
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 an initial regulatory flexibility
analysis (‘‘IRFA’’) for any rule that by
law must be proposed for public
comment, unless the agency certifies
that the rule, if promulgated, will not
have a significant economic impact on
a substantial number of small entities.
As required by Executive Order 13272,
‘‘Proper Consideration of Small Entities
in Agency Rulemaking,’’ 67 FR 53461
(August 16, 2002), DOE published
procedures and policies on February 19,
2003, to ensure that the potential
impacts of its rules on small entities are
properly considered during the DOE
rulemaking process. 68 FR 7990. DOE
has made its procedures and policies
available on the Office of the General
Counsel’s website: www.energy.gov/gc/
office-general-counsel.
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DOE reviewed this proposed rule
under the provisions of the Regulatory
Flexibility Act and the procedures and
policies published on February 19,
2003. DOE certifies that the proposed
rule, if adopted, would not have
significant economic impact on a
substantial number of small entities.
The factual basis of this certification is
set forth in the following paragraphs.
DOE is proposing amendments to the
test procedures for VRF multi-split
systems to satisfy its statutory
requirements under EPCA to remain
consistent with updates to the
applicable industry test procedure and
to re-evaluate its test procedures at least
once every 7 years. (42 U.S.C.
6314(a)(4)(A) and (B); 42 U.S.C.
6314(1)(A))
DOE proposes to update § 431.96
‘‘Uniform test method for the
measurement of energy efficiency of
commercial air conditioners and heat
pumps,’’ as follows: (1) Incorporate by
reference AHRI 1230–2021 and ANSI/
ASHRAE 37–2009 (including Errata
Sheet issued October 3, 2016); and (2)
establish provisions for determining
IEER for VRF multi-split systems. DOE
proposes to add new appendices D and
D1 to subpart F of part 431, both
entitled ‘‘Uniform test method for
measuring the energy consumption of
variable refrigerant flow multi-split air
conditioners and heat pumps (other
than air-cooled with rated cooling
capacity less than 65,000 Btu/h),’’
(‘‘appendix D’’ and ‘‘appendix D1’’,
respectively). The current DOE test
procedure for VRF multi-split systems
would be relocated to appendix D
without change, and the new test
procedure adopting AHRI 1230–2021
would be established in appendix D1 for
determining IEER. Compliance with
appendix D1 would not be required
until compliance is required with
amended energy conservation standards
for VRF multi-split systems that rely on
IEER, should DOE adopt such standards.
DOE also proposes to update its
certification, compliance, and
enforcement (‘‘CCE’’) provisions for VRF
multi-split systems to provide
information that is necessary for testing
VRF multi-split systems consistent with
the updated industry test procedure
AHRI 1230–2021. Most significantly,
these proposed changes include the
incorporation of the controls
verification procedure (‘‘CVP’’) from
AHRI 1230–2021 into DOE’s productspecific enforcement provisions at
§ 429.134, as well as accompanying
certification requirements at § 429.43.
DOE is also proposing to amend the
sampling size requirements for
enforcement from ‘‘a maximum of not
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more than four units’’ to specifying
testing of two units.
The proposed rule, if adopted, would
not have significant economic impact on
a substantial number of small entities.
For manufacturers of VRF multi-split
systems, the Small Business
Administration (‘‘SBA’’) has set a size
threshold, which defines those entities
classified as ‘‘small businesses’’ for the
purposes of the statute. In 13 CFR
121.201, the SBA sets a threshold of
1,250 employees or fewer for an entity
to be considered as a small business for
this category. The equipment covered by
this rule is classified under North
American Industry Classification
System (‘‘NAICS’’) code 333415,24 ‘‘AirConditioning and Warm Air Heating
Equipment and Commercial and
Industrial Refrigeration Equipment
Manufacturing.’’ DOE used the SBA’s
small business size standards to
determine whether any small entities
would be subject to the requirements of
the rule. DOE identified manufacturers
using DOE’s Compliance Certification
Database 25 and the AHRI database.26
DOE identified ten original equipment
manufacturers (‘‘OEMs’’) of the covered
equipment.
In reviewing the ten OEMs, DOE did
not identify any companies that met the
SBA criteria for a small entity because
they surpassed the SBA’s employee
threshold. Therefore, DOE tentatively
concludes that the proposed rule would
not have a significant economic impact
on a substantial number of small
entities. DOE welcomes public comment
on this certification conclusion.
Issue 20: DOE requests comment on
its assessment that there are no small
businesses that are OEMs of VRF multisplit systems.
Issue 21: DOE requests comment on
its conclusion that the proposed rule
would not have significant impacts on
a substantial number of small
manufacturers.
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).
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C. Review Under the Paperwork
Reduction Act of 1995
Manufacturers of VRF multi-split
systems must certify to DOE that their
24 The size standards are listed by NAICS code
and industry description and are available at:
www.sba.gov/document/support--table-sizestandards (Last accessed on July 16, 2021).
25 DOE’s Compliance Certification Database is
available at: www.regulations.doe.gov/ccms (last
accessed May 10, 2021).
26 The AHRI Database is available at: https://
www.ahridirectory.org/ (last accessed May 10,
2021).
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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 procedure,
including any amendments adopted for
that test procedure. DOE has established
regulations for the certification and
recordkeeping requirements for all
covered consumer products and
commercial equipment, including VRF
multi-split systems. (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’’), and 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.
Under EPCA, DOE’s energy
conservation program consists
essentially of four parts: (1) Testing, (2)
labeling, (3) Federal energy conservation
standards, and (4) certification and
enforcement procedures. For covered
equipment, relevant provisions of the
Act include definitions (42 U.S.C. 6311),
energy conservation standards (42
U.S.C. 6313), test procedures (42 U.S.C.
6314), labeling provisions (42 U.S.C.
6315), and the authority to require
information and reports from
manufacturers (42 U.S.C. 6316).
DOE’s certification and compliance
activities ensure accurate and
comprehensive information about the
energy and water use characteristics of
covered products and covered
equipment sold in the United States.
Manufacturers of all covered products
and covered equipment must submit a
certification report before a basic model
is distributed in commerce, annually
thereafter, and if the basic model is
redesigned in such a manner to increase
the consumption or decrease the
efficiency of the basic model such that
the certified rating is no longer
supported by the test data. Additionally,
manufacturers must report when
production of a basic model has ceased
and is no longer offered for sale as part
of the next annual certification report
following such cessation. DOE requires
the manufacturer of any covered
product or covered equipment to
establish, maintain, and retain the
records of certification reports, of the
underlying test data for all certification
testing, and of any other testing
conducted to satisfy the requirements of
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10 CFR part 429, and 10 CFR part 431.
Certification reports provide DOE and
consumers with comprehensive, up-to
date efficiency information and support
effective enforcement.
DOE requires manufacturers or their
party representatives to prepare and
submit certification reports and
compliance statements using DOE’s
electronic Web-based tool, the CCMS,
which is the primary mechanism for
submitting certification reports to DOE.
CCMS currently has product and
equipment specific templates which
manufacturers are required to use when
submitting certification data to DOE.
DOE believes the availability of
electronic filing through the CCMS
system reduces reporting burdens,
streamlines the process, and provides
DOE with needed information in a
standardized, more accessible form.
This electronic filing system also
ensures that records are recorded in a
permanent, systematic way.
DOE is proposing to amend the
reporting requirements for VRF multisplit systems as discussed in section
III.J.2. DOE sent a revised information
collection approval to OMB under the
existing Control Number 1910–1400.
The revision only reflects the changes
proposed in this rulemaking as an
amendment to the existing information
collection.
DOE is proposing that respondents
must submit electronic forms using
DOE’s online CCMS. DOE’s CCMS is
publicly accessible at
www.regulations.doe.gov/ccms, and
includes instructions for users,
registration forms, and the productspecific reporting templates required for
use when submitting information to
CCMS.
DOE has tentatively determined that
the proposed amendments would not
impose additional costs for
manufacturers of VRF multi-split
systems because manufacturers of this
equipment are already submitting
certification reports to DOE and as part
of testing to the proposed amended test
procedure (which references the
updated industry test procedure AHRI
1230–2021) should have readily
available the information that DOE is
proposing to collect as part of this
rulemaking. DOE also tentatively
determines that manufacturers would
rely on existing record keeping systems
to maintain the additional information
reported.
Issue 22: DOE invites public comment
on: (1) Whether the proposed
information collection requirements are
necessary for the performance of DOE’s
functions, including whether the
information will have practical utility;
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(2) the accuracy of DOE’s estimates of
the burden of the proposed information
collection requirements; (3) ways to
enhance the quality, utility, and clarity
of the information to be collected; and
(4) ways to minimize the burden of the
information collection requirements on
respondents.
Comments should be addressed to the
Department of Energy Desk Officer,
Office of Information and Regulatory
Affairs, OMB, 725 17th Street NW,
Washington, DC 20503. Persons
submitting comments to OMB also are
requested to send a copy to the contact
person at the address given in the FOR
FURTHER INFORMATION CONTACT section of
this notice of proposed rulemaking.
Interested persons may obtain a copy of
the DOE’s Paperwork Reduction Act
Submission to OMB from the contact
person named in this notice of proposed
rulemaking. 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.
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D. Review Under the National
Environmental Policy Act of 1969
In this NOPR, DOE proposes test
procedure amendments that it expects
will be used to develop and implement
future energy conservation standards for
VRF multi-split systems. DOE has
determined that this rule falls into a
class of actions that are categorically
excluded from review under the
National Environmental Policy Act of
1969 (42 U.S.C. 4321 et seq.) and DOE’s
implementing regulations at 10 CFR part
1021. Specifically, DOE has determined
that adopting test procedures for
measuring energy efficiency of
consumer products and industrial
equipment is consistent with activities
identified in 10 CFR part 1021,
appendix A to subpart D, A5 and A6.
Accordingly, neither an environmental
assessment nor an environmental
impact statement is required.
E. Review Under Executive Order 13132
Executive order 13132, ‘‘Federalism,’’
64 FR 43255 (Aug. 4, 1999) imposes
certain requirements on agencies
formulating and implementing policies
or regulations that preempt State law or
that have federalism implications. The
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
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Executive order also requires agencies to
have an accountable process to ensure
meaningful and timely input by State
and local officials in the development of
regulatory policies that have federalism
implications. On March 14, 2000, DOE
published a statement of policy
describing the intergovernmental
consultation process it will follow in the
development of such regulations. 65 FR
13735. DOE has examined this proposed
rule and has determined that it would
not have a substantial direct effect on
the States, on the relationship between
the national government and the States,
or on the distribution of power and
responsibilities among the various
levels of government. EPCA governs and
prescribes Federal preemption of State
regulations as to energy conservation for
the products that are the subject of this
proposed rule. States can petition DOE
for exemption from such preemption to
the extent, and based on criteria, set
forth in EPCA. (42 U.S.C. 6297(d)) No
further action is required by Executive
order 13132.
F. Review Under Executive Order 12988
Regarding the review of existing
regulations and the promulgation of
new regulations, section 3(a) of
Executive Order 12988, ‘‘Civil Justice
Reform,’’ 61 FR 4729 (Feb. 7, 1996),
imposes on Federal agencies the general
duty to adhere to the following
requirements: (1) Eliminate drafting
errors and ambiguity, (2) write
regulations to minimize litigation, (3)
provide a clear legal standard for
affected conduct rather than a general
standard, and (4) promote simplification
and burden reduction. Section 3(b) of
Executive Order 12988 specifically
requires that executive agencies make
every reasonable effort to ensure that the
regulation (1) clearly specifies the
preemptive effect, if any, (2) clearly
specifies any effect on existing Federal
law or regulation, (3) provides a clear
legal standard for affected conduct
while promoting simplification and
burden reduction, (4) specifies the
retroactive effect, if any, (5) adequately
defines key terms, and (6) addresses
other important issues affecting clarity
and general draftsmanship under any
guidelines issued by the Attorney
General. Section 3(c) of Executive Order
12988 requires executive agencies to
review regulations in light of applicable
standards in sections 3(a) and 3(b) to
determine whether they are met or it is
unreasonable to meet one or more of
them. DOE has completed the required
review and determined that, to the
extent permitted by law, the proposed
rule meets the relevant standards of
Executive Order 12988.
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G. Review Under the Unfunded
Mandates Reform Act of 1995
Title II of the Unfunded Mandates
Reform Act of 1995 (‘‘UMRA’’) requires
each Federal agency to assess the effects
of Federal regulatory actions on State,
local, and Tribal governments and the
private sector. Public Law 104–4, sec.
201 (codified at 2 U.S.C. 1531). For a
proposed regulatory action likely to
result in a rule that may cause the
expenditure by State, local, and Tribal
governments, in the aggregate, or by the
private sector of $100 million or more
in any one year (adjusted annually for
inflation), section 202 of UMRA requires
a Federal agency to publish a written
statement that estimates the resulting
costs, benefits, and other effects on the
national economy. (2 U.S.C. 1532(a), (b))
The UMRA also requires a Federal
agency to develop an effective process
to permit timely input by elected
officers of State, local, and Tribal
governments on a proposed ‘‘significant
intergovernmental mandate,’’ and
requires an agency plan for giving notice
and opportunity for timely input to
potentially affected small governments
before establishing any requirements
that might significantly or uniquely
affect small governments. On March 18,
1997, DOE published a statement of
policy on its process for
intergovernmental consultation under
UMRA. 62 FR 12820; also available at
www.energy.gov/gc/office-generalcounsel. DOE examined this proposed
rule according to UMRA and its
statement of policy and determined that
the rule contains neither an
intergovernmental mandate, nor a
mandate that may result in the
expenditure of $100 million or more in
any year, so these requirements do not
apply.
H. Review Under the Treasury and
General Government Appropriations
Act, 1999
Section 654 of the Treasury and
General Government Appropriations
Act, 1999 (Pub. L. 105–277) requires
Federal agencies to issue a Family
Policymaking Assessment for any rule
that may affect family well-being. This
proposed rule would not have any
impact on the autonomy or integrity of
the family as an institution.
Accordingly, DOE has concluded that it
is not necessary to prepare a Family
Policymaking Assessment.
I. Review Under Executive Order 12630
DOE has determined, under Executive
Order 12630, ‘‘Governmental Actions
and Interference with Constitutionally
Protected Property Rights’’ 53 FR 8859
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(March 18, 1988), that this proposed
regulation would not result in any
takings that might require compensation
under the Fifth Amendment to the U.S.
Constitution.
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.
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 www.energy.gov/sites/prod/
files/2019/12/f70/DOE%
20Final%20Updated%20IQA
%20Guidelines%20Dec%202019.pdf.
DOE has reviewed this proposed rule
under the OMB and DOE guidelines and
has concluded that it is consistent with
applicable policies in those guidelines.
L. Review Under Section 32 of the
Federal Energy Administration Act of
1974
Under section 301 of the Department
of Energy Organization Act (Pub. L. 95–
91; 42 U.S.C. 7101), DOE must comply
with section 32 of the Federal Energy
Administration Act of 1974, as amended
by the Federal Energy Administration
Authorization Act of 1977. (15 U.S.C.
788; ‘‘FEAA’’) Section 32 essentially
provides in relevant part that, where a
proposed rule authorizes or requires use
of commercial standards, the notice of
proposed rulemaking must inform the
public of the use and background of
such standards. In addition, section
32(c) requires DOE to consult with the
Attorney General and the Chairman of
the Federal Trade Commission (‘‘FTC’’)
concerning the impact of the
commercial or industry standards on
competition.
The proposed modifications to the
test procedure for VRF multi-split
systems would incorporate testing
methods contained in certain sections of
the following commercial standards:
AHRI 1230–2021, ASHRAE 37–2009.
DOE has evaluated these standards and
is unable to conclude whether they fully
comply with the requirements of section
32(b) of the FEAA (i.e., whether they
were developed in a manner that fully
provides for public participation,
comment, and review). DOE will
consult with both the Attorney General
and the Chairman of the FTC
concerning the impact of this test
procedure on competition, prior to
prescribing a final rule.
K. Review Under Executive Order 13211
Executive Order 13211, ‘‘Actions
Concerning Regulations That
Significantly Affect Energy Supply,
Distribution, or Use,’’ 66 FR 28355 (May
22, 2001), requires Federal agencies to
prepare and submit to OMB, a
Statement of Energy Effects for any
proposed significant energy action. A
‘‘significant energy action’’ is defined as
any action by an agency that
promulgated or is expected to lead to
promulgation of a final rule, and that (1)
is a significant regulatory action under
Executive Order 12866, or any successor
order; and (2) is likely to have a
significant adverse effect on the supply,
distribution, or use of energy; or (3) is
designated by the Administrator of
OIRA as a significant energy action. For
any proposed significant energy action,
the agency must give a detailed
statement of any adverse effects on
energy supply, distribution, or use
should the proposal be implemented,
and of reasonable alternatives to the
action and their expected benefits on
energy supply, distribution, and use.
The proposed regulatory action to
amend the test procedure for measuring
the energy efficiency of VRF multi-split
systems 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
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M. Description of Materials
Incorporated by Reference
In this NOPR, DOE proposes to
incorporate by reference the following
test standards:
(1) The test standard published by
AHRI titled ‘‘2021 Standard for
Performance Rating of Variable
Refrigerant Flow (VRF) Multi-Split AirConditioning and Heat Pump
Equipment,’’ AHRI Standard 1230–
2021. AHRI Standard 1230–2021 is an
industry-accepted test procedure for
measuring the performance of VRF
multi-split systems. AHRI Standard
1230–2021 is available on AHRI’s
website www.ahrinet.org/searchstandards.aspx.
(2) The test standard published by
ASHRAE, titled ‘‘Methods of Testing for
Rating Electrically Driven Unitary Air-
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Conditioning and Heat Pump
Equipment,’’ ANSI/ASHRAE Standard
37–2009 (including Errata Sheet issued
October 3, 2016). ANSI/ASHRAE
Standard 37–2009 is an industryaccepted test procedure that provides a
method of test for many categories of air
conditioning and heating equipment.
ANSI/ASHRAE Standard 37–2009 is
available on ANSI’s website at
webstore.ansi.org/RecordDetail.aspx?
sku=ANSI%2FASHRAE+Standard+37–
2009.
(3) The test standard published by
AHRI titled, ANSI/AHRI Standard
1230–2010, ‘‘2010 Standard for
Performance Rating of Variable
Refrigerant Flow (VRF) Multi-split AirConditioning and Heat Pump
Equipment,’’ approved August 2, 2010
and updated by addendum 1 in March
2011. ANSI/AHRI Standard 1230–2010
is an industry-accepted test procedure
for measuring the performance of VRF
multi-split systems. ANSI/AHRI
Standard 1230–2010 is available on
AHRI’s website www.ahrinet.org/searchstandards.aspx.
V. Public Participation
A. Participation in the Webinar
The time and date of the webinar are
listed in the DATES section at the
beginning of this document. If no
participants register for the webinar, it
will be cancelled.
Webinar registration information,
participant instructions, and
information about the capabilities
available to webinar participants will be
published on DOE’s website: https://
www1.eere.energy.gov/buildings/
appliance_standards/standards.aspx?
productid=71&action=viewlive.
Participants are responsible for ensuring
their systems are compatible with the
webinar software.
Procedure for Submitting Prepared
General Statements for Distribution
Any person who has an interest in the
topics addressed in this notice, or who
is representative of a group or class of
persons that has an interest in these
issues, may request an opportunity to
make an oral presentation at the
webinar. Such persons may submit to
ApplianceStandardsQuestions@
ee.doe.gov. Persons who wish to speak
should include with their request a
computer file in WordPerfect, Microsoft
Word, PDF, or text (ASCII) file format
that briefly describes the nature of their
interest in this rulemaking and the
topics they wish to discuss. Such
persons should also provide a daytime
telephone number where they can be
reached.
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Persons requesting to speak should
briefly describe the nature of their
interest in this rulemaking and provide
a telephone number for contact. DOE
requests persons selected to make an
oral presentation to submit an advance
copy of their statements at least two
weeks before the webinar. At its
discretion, DOE may permit persons
who cannot supply an advance copy of
their statement to participate, if those
persons have made advance alternative
arrangements with the Building
Technologies Office. As necessary,
requests to give an oral presentation
should ask for such alternative
arrangements.
B. Conduct of the Webinar
DOE will designate a DOE official to
preside at the webinar/public meeting
and may also use a professional
facilitator to aid discussion. The
meeting will not be a judicial or
evidentiary-type public hearing, but
DOE will conduct it in accordance with
section 336 of EPCA (42 U.S.C. 6306). A
court reporter will be present to record
the proceedings and prepare a
transcript. DOE reserves the right to
schedule the order of presentations and
to establish the procedures governing
the conduct of the webinar/public
meeting. There shall not be discussion
of proprietary information, costs or
prices, market share, or other
commercial matters regulated by U.S.
anti-trust laws. After the webinar/public
meeting and until the end of the
comment period, interested parties may
submit further comments on the
proceedings and any aspect of the
rulemaking.
The webinar/public meeting will be
conducted in an informal, conference
style. DOE will present a summary of
the proposals, allow time for prepared
general statements by participants, and
encourage all interested parties to share
their views on issues affecting this
rulemaking. Each participant will be
allowed to make a general statement
(within time limits determined by DOE),
before the discussion of specific topics.
DOE will permit, as time permits, other
participants to comment briefly on any
general statements.
At the end of all prepared statements
on a topic, DOE will permit participants
to clarify their statements briefly.
Participants should be prepared to
answer questions by DOE and by other
participants concerning these issues.
DOE representatives may also ask
questions of participants concerning
other matters relevant to this
rulemaking. The official conducting the
webinar/public meeting will accept
additional comments or questions from
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those attending, as time permits. The
presiding official will announce any
further procedural rules or modification
of the above procedures that may be
needed for the proper conduct of the
webinar/public meeting.
A transcript of the webinar/public
meeting will be included in the docket,
which can be viewed as described in the
Docket section at the beginning of this
notice. In addition, any person may buy
a copy of the transcript from the
transcribing reporter.
C. Submission of Comments
DOE will accept comments, data, and
information regarding this proposed
rule no later than the date provided in
the DATES section at the beginning of
this proposed rule. Interested parties
may submit comments using any of the
methods described in the ADDRESSES
section at the beginning of this
document.
Submitting comments via
www.regulations.gov. The
www.regulations.gov web page will
require you to provide your name and
contact information. Your contact
information will be viewable to DOE
Building Technologies staff only. Your
contact information will not be publicly
viewable except for your first and last
names, organization name (if any), and
submitter representative name (if any).
If your comment is not processed
properly because of technical
difficulties, DOE will use this
information to contact you. If DOE
cannot read your comment due to
technical difficulties and cannot contact
you for clarification, DOE may not be
able to consider your comment.
However, your contact information
will be publicly viewable if you include
it in the comment or in any documents
attached to your comment. Any
information that you do not want to be
publicly viewable should not be
included in your comment, nor in any
document attached to your comment.
Persons viewing comments will see only
first and last names, organization
names, correspondence containing
comments, and any documents
submitted with the comments.
Do not submit to www.regulations.gov
information for which disclosure is
restricted by statute, such as trade
secrets and commercial or financial
information (hereinafter referred to as
Confidential Business Information
(‘‘CBI’’)). Comments submitted through
www.regulations.gov cannot be claimed
as CBI. Comments received through the
website will waive any CBI claims for
the information submitted. For
information on submitting CBI, see the
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Confidential Business Information
section.
DOE processes submissions made
through www.regulations.gov before
posting. Normally, comments will be
posted within a few days of being
submitted. However, if large volumes of
comments are being processed
simultaneously, your comment may not
be viewable for up to several weeks.
Please keep the comment tracking
number that www.regulations.gov
provides after you have successfully
uploaded your comment.
Submitting comments via email.
Comments and documents submitted
via email also will be posted to
www.regulations.gov. If you do not want
your personal contact information to be
publicly viewable, do not include it in
your comment or any accompanying
documents. Instead, provide your
contact information on a cover letter.
Include your first and last names, email
address, telephone number, and
optional mailing address. The cover
letter will not be publicly viewable as
long as it does not include any
comments.
Include contact information each time
you submit comments, data, documents,
and other information to DOE. No faxes
will be accepted.
Comments, data, and other
information submitted to DOE
electronically should be provided in
PDF (preferred), Microsoft Word or
Excel, WordPerfect, or text (ASCII) file
format. Provide documents that are not
secured, written in English and free of
any defects or viruses. Documents
should not contain special characters or
any form of encryption and, if possible,
they should carry the electronic
signature of the author.
Campaign form letters. Please submit
campaign form letters by the originating
organization in batches of between 50 to
500 form letters per PDF or as one form
letter with a list of supporters’ names
compiled into one or more PDFs. This
reduces comment processing and
posting time.
Confidential Business Information.
Pursuant to 10 CFR 1004.11, any person
submitting information that he or she
believes to be confidential and exempt
by law from public disclosure should
submit via email two well-marked
copies: One copy of the document
marked confidential including all the
information believed to be confidential,
and one copy of the document marked
non-confidential with the information
believed to be confidential deleted. DOE
will make its own determination about
the confidential status of the
information and treat it according to its
determination.
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It is DOE’s policy that all comments
may be included in the public docket,
without change and as received,
including any personal information
provided in the comments (except
information deemed to be exempt from
public disclosure).
D. Issues on Which DOE Seeks
Comment
Although DOE welcomes comments
on any aspect of this proposal, DOE is
particularly interested in receiving
comments and views of interested
parties concerning the following issues:
Issue 1: DOE requests feedback on its
proposal to adopt IEER as determined
under AHRI 1230–2021 in the Federal
test procedure for VRF multi-split
systems. DOE also seeks comment on its
proposed amendment to the definition
for IEER at § 431.92 to distinguish
between the test procedures for
ACUACs and VRF multi-split systems.
Issue 2: DOE requests comment on its
proposals in Appendix D1, section
429.43, and section 429.134 regarding
specific components.
Issue 3: DOE requests comment on its
proposed definition for ‘‘Critical
Parameter(s)’’, which specifies the three
parameters that can be manually
controlled in testing per Section 5.1.2.1
of AHRI 1230–2021—compressor
speed(s), outdoor fan speed(s), and
outdoor variable valve position(s).
Issue 4: DOE seeks comment on its
proposal for adding provisions at 10
CFR 429.134(s)(3)(ii) to clarify the
language in Sections C6.1.2 and C6.1.3
of AHRI 1230–2021 for validating
critical parameters during a CVP,
particularly pertaining to the duration of
the measurement period used for
validating critical parameters.
Issue 5: DOE seeks comment on its
proposal to specify at 10 CFR
429.134(s)(3)(iii)(B) how, in the event of
a CVP that has invalidated the critical
parameter settings, alternate critical
parameters would be determined to use
as initial control inputs during the
corresponding IEER full- or part-load
cooling test. DOE requests feedback on
the proposed method for selecting a
measurement period on the basis of
minimized average RSS points total, and
also on its proposal for using an average
of critical parameter measurements over
the selected measurement period to
calculate alternate critical parameters.
DOE will further consider any alternate
approaches suggested by comments in
developing any final rule.
Issue 6: DOE requests comment on its
proposal to incorporate the CVP into its
product-specific enforcement provisions
for VRF multi-split systems at 10 CFR
429.134(s) instead of the test procedure
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for VRF multi-split systems in the
proposed appendix D1.
Issue 7: DOE requests comment on its
proposed approach for conducting the
CVP during enforcement testing.
Specifically, DOE requests comment on
the proposal that DOE would conduct
the CVP for a single system during
enforcement testing in order to validate
the certified critical parameters. If
commenters believe conducting the CVP
on a single system as part of
enforcement testing is insufficient, DOE
requests test data demonstrating any
issues with repeatability and
reproducibility of the CVP that would
indicate that the 70-point budget for
critical parameter variation included in
the industry consensus test procedure
AHRI 1230–2021 is insufficient.
Issue 8: DOE seeks comment on its
proposed provisions (to clarify similar
provisions in AHRI 1230–2021) in
section 4 of the proposed appendix D1
to subpart F of part 431 that specify
allowable adjustments to critical
parameters for IEER tests. Specifically,
DOE requests feedback on its proposal
to specify, for IEER tests for which the
tested capacity is above the target
capacity, calculation of normalized
critical parameter variation during the
adjustment process (similar to the
calculation specified for the CVP in
Section C4.4.2.3 of AHRI 1230–2021).
Issue 9: DOE seeks comment on the
proposed provisions at
§ 429.134(s)(3)(iii)(B)(3) regarding
allowable adjustment (to meet
tolerances for capacity and SHR limits
for an IEER test) of alternate critical
parameter values determined by DOE in
the event of a CVP that has invalidated
the critical parameter settings.
Issue 10: DOE requests comment on
its proposals for determining
represented values for VRF multi-split
system basic models with different
indoor unit combinations. In particular,
DOE seeks feedback on its proposal to
allow for optional mixed
representations of any two required
representations (i.e., ducted, nonducted, and/or SDHV) for a basic model
by calculating the mean of the two
required representations.
Issue 11: DOE requests comment on
its proposal regarding representations
for VRF multi-split system basic models
approved for use with multiple
refrigerants.
Issue 12: DOE requests comment on
its proposed certification reporting
requirements for VRF multi-split
systems.
Issue 13: DOE requests comment on
its proposed STI reporting requirements
for VRF multi-split systems.
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Issue 14: DOE requests comment on
its proposal to amend its requirements
for AEDM validation for VRF multi-split
systems.
Issue 15: DOE seeks comment on its
proposal to require a means of control
to be provided by the manufacturer for
assessment and enforcement testing.
Issue 16: DOE seeks comment on its
proposal to establish in 10 CFR
429.134(s)(2) provisions regarding
allowable manufacturer involvement
during assessment and enforcement
testing, which are consistent with AHRI
1230–2021. DOE also seeks comment on
its proposal for allowable manufacturer
involvement during the CVP.
Issue 17: DOE requests comment on
its proposed approaches for certification
and for enforcement testing in the event
that a VRF multi-split system has
invalid certified operational settings for
critical parameter values.
Issue 18: DOE requests comment on
its proposed enforcement sampling plan
for VRF multi-split systems.
Issue 19: DOE requests comment on
its understanding of the impact of the
test procedure proposals in this NOPR,
specifically DOE’s initial conclusion
that the proposed DOE test procedure
amendments, if finalized, would not
increase testing burden on VRF multisplit system manufacturers, compared to
current industry practice as indicated by
AHRI 1230–2021.
Issue 20: DOE requests comment on
its assessment that there are no small
businesses that are OEMs of VRF multisplit systems.
Issue 21: DOE requests comment on
its conclusion that the proposed rule
would not have significant impacts on
a substantial number of small
manufacturers.
Issue 22: DOE invites public comment
on: (1) Whether the proposed
information collection requirements are
necessary for the performance of DOE’s
functions, including whether the
information will have practical utility;
(2) the accuracy of DOE’s estimates of
the burden of the proposed information
collection requirements; (3) ways to
enhance the quality, utility, and clarity
of the information to be collected; and
(4) ways to minimize the burden of the
information collection requirements on
respondents.
VI. Approval of the Office of the
Secretary
The Secretary of Energy has approved
publication of this proposed rule.
List of Subjects
10 CFR Part 429
Administrative practice and
procedure, Confidential business
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information, Energy conservation,
Household appliances, Imports,
Incorporation by reference,
Intergovernmental relations, Reporting
and recordkeeping requirements, Small
businesses.
10 CFR Part 431
Administrative practice and
procedure, Confidential business
information, Energy conservation test
procedures, Incorporation by reference,
and Reporting and recordkeeping
requirements.
Signing Authority
This document of the Department of
Energy was signed on November 29,
2021, by Kelly J. Speakes-Backman,
Principal Deputy Assistant Secretary for
Energy Efficiency and Renewable
Energy, pursuant to delegated authority
from the Secretary of Energy. That
document with the original signature
and date is maintained by DOE. For
administrative purposes only, and in
compliance with requirements of the
Office of the Federal Register, the
undersigned DOE Federal Register
Liaison Officer has been authorized to
sign and submit the document in
electronic format for publication, as an
official document of the Department of
Energy. This administrative process in
no way alters the legal effect of this
document upon publication in the
Federal Register.
Signed in Washington, DC, on November
30, 2021.
Treena V. Garrett,
Federal Register Liaison Officer, U.S.
Department of Energy.
For the reasons stated in the
preamble, DOE is proposing to amend
parts 429 and 431 of chapter II, of title
10, Code of Federal Regulations as set
forth below:
PART 429—CERTIFICATION,
COMPLIANCE, AND ENFORCEMENT
FOR CONSUMER PRODUCTS AND
COMMERCIAL AND INDUSTRIAL
EQUIPMENT
1. The authority citation for part 429
continues to read as follows:
■
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Authority: 42 U.S.C. 6291–6317; 28 U.S.C.
2461 note.
2. Amend § 429.4 by:
a. Revising paragraph (a); and
■ b. Redesignating paragraph (c)(2) as
paragraph (c)(3) and adding new
paragraph (c)(2).
The revision and addition read as
follows.
■
■
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§ 429.4 Materials incorporated by
reference.
(a) Certain material is incorporated by
reference into this subpart with the
approval of the Director of the Federal
Register in accordance with 5 U.S.C.
552(a) and 1 CFR part 51. To enforce
any edition other than that specified in
this section, DOE must publish a
document in the Federal Register and
the material must be available to the
public. All approved material is
available for inspection at the U.S.
Department of Energy, Office of Energy
Efficiency and Renewable Energy,
[Building Technologies Program], Sixth
Floor, 950 L’Enfant Plaza SW,
Washington, DC 20024, (202)–586–9127,
Buildings@ee.doe.gov, https://
www.energy.gov/eere/buildings/
building-technologies-office, and may be
obtained from the other sources in this
section. It is also available for
inspection at the National Archives and
Records Administration (NARA). For
information on the availability of this
material at NARA, email: fr.inspection@
nara.gov, or go to: www.archives.gov/
federal-register/cfr/ibr-locations.html.
*
*
*
*
*
(c) * * *
(2) AHRI Standard 1230–2021,
(‘‘AHRI 1230–2021’’), 2021 Standard for
Performance Rating of Variable
Refrigerant Flow (VRF) Multi-Split AirConditioning and Heat Pump
Equipment, IBR approved for §§ 429.43
and 429.134.
*
*
*
*
*
■ 3. Amend § 429.43 by:
■ a. Revising the introductory text of
paragraphs (a), (a)(1)(ii)(A), and
(a)(1)(ii)(B);
■ b. Adding paragraphs (a)(3) through
(5);
■ c. Revising paragraphs (b)(2)(xi) and
(xii);
■ d. Removing paragraph (b)(2)(xiii);
■ e. Redesignating paragraphs (b)(2)(xiv)
and (xv) as (b)(2)(xiii) and (xiv),
respectively;
■ f. Revising paragraphs (b)(4)(vii) and
(viii);
■ g. Removing paragraph (b)(4)(ix);
■ h. Redesignating paragraphs (b)(4)(x)
through (b)(4)(xiv) as (b)(4)(ix) through
(b)(4)(xiii), respectively;
and
■ i. Adding paragraph (b)(5).
The revisions and additions read as
follows.
§ 429.43 Commercial heating, ventilating,
air conditioning (HVAC) equipment.
(a) Determination of represented
values. Manufacturers must determine
the represented values, which include
the certified ratings, for each basic
model of commercial HVAC equipment
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either by testing, in conjunction with
the applicable sampling provisions, or
by applying an AEDM.
(1) * * *
(ii) * * *
(A) Any represented value of energy
consumption or other measure of energy
use of a basic model, or of a tested
combination for variable refrigerant flow
multi-split air conditioners and heat
pumps certified to standards in terms of
IEER as provided at paragraph
(a)(3)(iv)(B) of this section, for which
consumers would favor lower values
shall be greater than or equal to the
higher of:
*
*
*
*
*
(B) Any represented value of energy
efficiency or other measure of energy
consumption of a basic model, or of a
tested combination for variable
refrigerant flow multi-split air
conditioners and heat pumps certified
to standards in terms of IEER as
provided at paragraph (a)(3)(iv)(B) of
this section, for which consumers
would favor higher values shall be less
than or equal to the lower of:
*
*
*
*
*
(3) Product-specific provisions for
determination of represented values.
(i)—(iii) [Reserved]
(iv) Variable refrigerant flow multisplit air conditioners and heat pumps
(other than air-cooled with cooling
capacity less than 65,000 btu/h). When
certifying to standards in terms of IEER,
the following provisions apply.
(A) If a basic model is distributed in
commerce and approved for use with
multiple refrigerants, a manufacturer
must determine all represented values
for that basic model (for example, IEER,
COP, cooling capacity, and heating
capacity) based on the refrigerant that
results in the lowest cooling efficiency.
A refrigerant is considered approved for
use if it is listed on the nameplate of the
outdoor unit. Per the definition of basic
model in 10 CFR 431.92, use of a
refrigerant that requires different
hardware (i.e., compressors, heat
exchangers, or air moving systems that
are not the same or comparably
performing), would represent a different
basic model, and separate
representations would be required for
each basic model.
(B) Represented values for different
indoor unit combinations must be
determined per the following
provisions.
(1) If a basic model includes only one
type of indoor unit combination (i.e.,
ducted, non-ducted, or SDHV), a
manufacturer must determine the
represented values for that basic model
in accordance with the sampling plan
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set forth in § 429.11 and paragraph (a)(1)
of this section if the represented values
are determined through testing, or in
accordance with the provisions for
applying an AEDM set forth in
paragraph (a)(2) of this section and
§ 429.70.
(2) If a basic model includes more
than one type of indoor unit
combination (i.e., ducted, non-ducted,
and/or SDHV), a manufacturer must
determine separate represented values
for each type of indoor unit
combination. If the represented values
are determined through testing, a
manufacturer must test, at a minimum,
a single tested combination for each
type of indoor unit combination
included in that basic model. A
manufacturer may alternatively
determine separate represented values
through application of an AEDM as set
forth in paragraph (a)(2) of this section
and § 429.70. A manufacturer may also
determine optional ‘‘mixed’’
representations by calculating the mean
value across any two required
representations described in this
paragraph (i.e., a representation for
‘‘mixed ducted/non-ducted’’ would be
determined by averaging the ducted
representation and the non-ducted
representation, a representation for
‘‘mixed ducted/SDHV’’ would be
determined by averaging the ducted
representation and the SDHV
representation, and a representation for
‘‘mixed non-ducted/SDHV’’ would be
determined by averaging the non-ducted
representation and the SDHV
representation).
70677
(4) Determination of represented
values for individual models with
specific components for VRF multi-split
systems.
(i) If a manufacturer distributes in
commerce indoor unit model(s) in a
tested combination within a basic model
with one of the components listed in the
following table, determination of
represented values is dependent on the
selected grouping of individual indoor
unit models into a tested combination
within a basic model, as indicated in
paragraphs (a)(4)(ii) through (v) of this
section. For the purposes of this
paragraph, ‘‘otherwise identical’’ means
differing only in the presence of specific
components listed in table 1 to
paragraph (a)(4)(i).
TABLE 1 TO PARAGRAPH (a)(4)(i)
Component
Description
Air economizers ..................................................
An automatic system that enables a cooling system to supply and use outdoor air to reduce or
eliminate the need for mechanical cooling during mild or cold weather.
An assembly that reduced the moisture content of the supply air through moisture transfer with
solid or liquid desiccants.
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Dehumidification Components ...........................
(ii) If the indoor unit model(s) in a
tested combination within a basic model
include only individual indoor unit
models distributed in commerce
without a specific component listed in
paragraph (a)(4)(i) of this section, the
manufacturer must determine
represented values for the tested
combination based on performance of
individual indoor unit models
distributed in commerce without the
component.
(iii) If the indoor unit model(s) in a
tested combination within a basic model
include only individual indoor unit
models distributed in commerce with a
specific component listed in paragraph
(a)(4)(i) of this section, the manufacturer
must determine represented values for
the tested combination based on
performance of individual indoor unit
models with the component present
(and consistent with any componentspecific test provisions specified in
section 6 of appendix D1 to subpart F
of part 431).
(iv) If the indoor unit model(s) in a
tested combination within a basic
model—
(A) Include both individual indoor
unit models distributed in commerce
with a specific component listed in
paragraph (a)(4)(i) of this section and
individual indoor unit models
distributed in commerce without that
specific component, and
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(B) None of the individual indoor unit
models distributed in commerce
without the specific component are
otherwise identical to any individual
indoor unit model distributed in
commerce with that specific
component, the manufacturer must
consider the performance of individual
indoor unit models with the component
present when determining represented
values for the tested combination within
a basic model (and consistent with any
component-specific test provisions
specified in section 6 of appendix D1 to
subpart F of part 431).
(v) If the indoor unit model(s) in a
tested combination within a basic
model—
(A) Include both individual indoor
unit models distributed in commerce
with a specific component listed in
paragraph (a)(4)(i) of this section and
individual indoor unit models
distributed in commerce without that
specific component, and
(B) At least one of the individual
indoor unit models distributed in
commerce without the specific
component is otherwise identical to any
given individual indoor unit model
distributed in commerce with the
specific component, the manufacturer
may determine represented values for
the tested combination within a basic
model either:
(1) Based on performance of
individual indoor unit models
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distributed in commerce without the
specific component, or
(2) Based on performance of
individual indoor unit models with the
specific component present (and
consistent with any component-specific
test provisions specified in section 6 of
appendix D1 to subpart F of part 431).
(vi) In any of the cases specified in
paragraphs (a)(4)(ii) through (v) of this
section, the represented values for a
tested combination within a basic model
must be determined in accordance with
paragraph (a)(3) of this section, through
either testing or an AEDM.
(5) Heat Recovery. For basic models of
VRF multi-split systems distributed in
commerce with heat recovery
components, the manufacturer must
determine represented values for the
basic model based on performance of an
individual model distributed in
commerce with heat recovery
components.
(b) * * *
(2) * * *
(xi) Variable refrigerant flow multisplit air-cooled air conditioners (except
those with rated cooling capacity less
than 65,000 Btu/h):
(A) When certifying compliance with
an EER standard: The energy efficiency
ratio (EER in British thermal units per
Watt-hour (Btu/Wh)), rated cooling
capacity in British thermal units per
hour (Btu/h), and the type(s) of heating
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used by the basic model (e.g., electric,
gas, hydronic, none).
(B) When certifying compliance with
an IEER standard, the following must be
certified for each tested combination as
required under paragraph (a)(3)(iv)(B) of
this section: The integrated energy
efficiency ratio (IEER) in British thermal
units per Watt-hour (Btu/Wh)); the rated
cooling capacity in British thermal units
per hour (Btu/h); whether the
represented values are for a non-ducted,
ducted, or SDHV tested combination, or
for a mixed representation of any two of
the tested combinations; and the
outdoor unit(s) and indoor units
identified in the tested combination.
The following must be certified for each
basic model: The type(s) of heating used
(i.e., electric, gas, hydronic, none); and
the refrigerant used to determine the
represented values.
(xii) Variable refrigerant flow multisplit heat pumps (other than air-cooled
with rated cooling capacity less than
65,000 btu/h):
(A) When certifying compliance with
an EER standard: The energy efficiency
ratio (EER in British thermal units per
Watt-hour (Btu/Wh)), the coefficient of
performance (COP), rated cooling
capacity in British thermal units per
hour (Btu/h), and the type(s) of heating
used by the basic model (e.g., electric,
gas, hydronic, none).
(B) When certifying compliance with
an IEER standard, the following must be
certified for each tested combination as
required under paragraph (a)(3)(iv)(B) of
this section: The integrated energy
efficiency ratio (IEER) in British thermal
units per Watt-hour (Btu/Wh)); the
coefficient of performance (COP); the
rated cooling capacity in British thermal
units per hour (Btu/h); the rated heating
capacity (Btu/h); whether the
represented values are for a non-ducted,
ducted, or SDHV tested combination, or
for a mixed representation of any two of
the tested combinations; and the
outdoor unit(s) and indoor units
identified in the tested combination.
The following must be certified for each
basic model: the type(s) of heating used
(i.e., electric, gas, hydronic, none); and
the refrigerant used to determine the
represented values.
*
*
*
*
*
(4) * * *
(vii) Variable refrigerant flow multisplit air-cooled air conditioners (except
those with rated cooling capacity less
than 65,000 Btu/h):
(A) When certifying compliance with
an EER standard: The nominal cooling
capacity in British thermal units per
hour (Btu/h); outdoor unit(s) and indoor
units identified in the tested
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combination; components needed for
heat recovery, if applicable; rated
airflow in standard cubic feet per
minute (scfm) for each indoor unit;
rated static pressure in inches of water;
compressor frequency set points;
required dip switch/control settings for
step or variable components; a
statement whether the model will
operate at test conditions without
manufacturer programming; any
additional testing instructions if
applicable; if a variety of motors/drive
kits are offered for sale as options in the
basic model to account for varying
installation requirements, the model
number and specifications of the motor
(to include efficiency, horsepower,
open/closed, and number of poles) and
the drive kit, including settings,
associated with that specific motor that
were used to determine the certified
rating; and which, if any, special
features were included in rating the
basic model. Additionally, upon DOE
request, the manufacturer must provide
a layout of the system set-up for testing
including charging instructions
consistent with the installation manual.
(B) When certifying compliance with
an IEER standard (for requirements in
this list pertaining to or affected by
indoor units, the requirements must be
certified for each tested combination as
required under paragraph (a)(3)(iv)(B) of
this section): The nominal cooling
capacity in British thermal units per
hour (Btu/h) for each indoor and
outdoor unit; identification of the
indoor units to be thermally active for
each IEER test point; the rated indoor
airflow for the full-load cooling and all
part-load cooling tests (for each indoor
unit) in standard cubic feet per minute
(scfm); the indoor airflow-control setting
to be used in the full-load cooling test
(for each indoor unit); system start-up or
initialization procedures, including
conditions and duration; compressor
break-in period duration; the frequency
of oil recovery cycles; operational
settings for all critical parameters to be
controlled at each of the four IEER
cooling test conditions; required dip
switch/control settings; identification of
any system control device required for
testing; a hierarchy of instructions for
adjustment of critical parameters to
reduce cooling capacity during IEER
cooling tests (to be used if, using initial
critical parameter settings, the measured
cooling capacity is more than 3 percent
above the target cooling capacity); any
additional testing instructions if
applicable; and if a variety of motors/
drive kits are offered for sale as options
in the basic model to account for
varying installation requirements, the
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model number and specifications of the
motor (to include efficiency,
horsepower, open/closed, and number
of poles) and the drive kit, including
settings, associated with that specific
motor that were used to determine the
certified rating. Instructions for
conducting a controls verification
procedure (as described in Appendix C
of AHRI 1230–2021, (incorporated by
reference, see § 429.4)) at each of the
four IEER cooling test conditions must
also be provided, including: The
required thermostat setpoints to ensure
control for 80 °F dry-bulb temperature
when accounting for set point bias, the
starting indoor dry-bulb temperature,
and the indoor dry-bulb temperature
ramp rate (R2). Additionally, the
manufacturer must provide a layout of
the system set-up for testing (including
a piping diagram, a power wiring
diagram, a control wiring diagram, and
identification of the location of the
component(s) corresponding to each
critical parameter to be controlled),
setup instructions for indoor units and
outdoor units, and charging instructions
consistent with the installation manual.
Also, the manufacturer must certify for
which, if any, specific components (as
listed in paragraph (a)(4)(i) of this
section) the following provisions are
applicable:
(1) The indoor unit model(s) in a
tested combination within a basic model
include both individual indoor unit
models distributed in commerce with
the specific component and individual
indoor unit models distributed in
commerce without the specific
component;
(2) At least one of the individual
indoor unit models distributed in
commerce without the specific
component is otherwise identical to any
given individual indoor unit model
distributed in commerce with the
specific component; and
(3) Represented values for the tested
combination are based on performance
of individual indoor unit models
distributed in commerce without the
specific component.
(viii) Variable refrigerant flow multisplit heat pumps (other than air-cooled
with rated cooling capacity less than
65,000 btu/h):
(A) When certifying compliance with
an EER standard: The nominal cooling
capacity in British thermal units per
hour (Btu/h); rated heating capacity in
British thermal units per hour (Btu/h);
outdoor unit(s) and indoor units
identified in the tested combination;
components needed for heat recovery, if
applicable; rated airflow in standard
cubic feet per minute (scfm) for each
indoor unit; water flow rate in gallons
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per minute (gpm) for water-cooled units
only; rated static pressure in inches of
water; compressor frequency set points;
required dip switch/control settings for
step or variable components; a
statement whether the model will
operate at test conditions without
manufacturer programming; any
additional testing instructions if
applicable; if a variety of motors/drive
kits are offered for sale as options in the
basic model to account for varying
installation requirements, the model
number and specifications of the motor
(to include efficiency, horsepower,
open/closed, and number of poles) and
the drive kit, including settings,
associated with that specific motor that
were used to determine the certified
rating; and which, if any, special
features were included in rating the
basic model. Additionally, upon DOE
request, the manufacturer must provide
a layout of the system set-up for testing
including charging instructions
consistent with the installation manual.
(B) When certifying compliance with
an IEER standard (for requirements in
this list pertaining to or affected by
indoor units, the requirements must be
certified for each tested combination as
required under paragraph (a)(3)(iv)(B) of
this section): The nominal cooling
capacity in British thermal units per
hour (Btu/h) for each indoor and
outdoor unit; the nominal heating
capacity (Btu/h) for each indoor and
outdoor unit; components needed for
heat recovery, if applicable;
identification of the indoor units to be
thermally active for each IEER test
point; the rated indoor airflow for the
full-load cooling, full-load heating, and
all part-load cooling tests (for each
indoor unit) in standard cubic feet per
minute (scfm); the indoor airflowcontrol setting to be used in the fullload cooling test (for each indoor unit);
the airflow-control setting to be used in
the full-load heating test (for each
indoor unit); for water-cooled units—the
rated water flow rate in gallons per
minute (gpm); system start-up or
initialization procedures, including
conditions and duration; compressor
break-in period duration; the frequency
of oil-recovery cycles; operational
settings for all critical parameters to be
controlled at each of the four IEER
cooling test conditions; operational
settings for all critical parameters to be
controlled for the heating test; required
dip switch/control settings;
identification of any system control
device required for testing; a hierarchy
of instructions for adjustment of critical
parameters to reduce cooling capacity
during IEER cooling tests (to be used if,
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using initial critical parameter settings,
the measured cooling capacity is more
than 3 percent above the target cooling
capacity); any additional testing
instructions if applicable; and if a
variety of motors/drive kits are offered
for sale as options in the basic model to
account for varying installation
requirements, the model number and
specifications of the motor (to include
efficiency, horsepower, open/closed,
and number of poles) and the drive kit,
including settings, associated with that
specific motor that were used to
determine the certified rating.
Instructions for conducting a controls
verification procedure (as described in
Appendix C of AHRI 1230–2021) at each
of the four IEER cooling test conditions
must also be provided, including the
required thermostat setpoints to ensure
control for 80 °F dry-bulb temperature
when accounting for set point bias, the
starting indoor dry-bulb temperature,
and the indoor dry-bulb temperature
ramp rate (R2). Additionally, the
manufacturer must provide a layout of
the system set-up for testing (including
a piping diagram, a power wiring
diagram, a control wiring diagram, and
identification of the location of the
component(s) corresponding to each
critical parameter to be adjusted), setup
instructions for indoor units and
outdoor units, and charging instructions
consistent with the installation manual.
Also, the manufacturer must certify for
which, if any, specific components (as
listed in paragraph (a)(4)(i) of this
section) the following provisions are
applicable:
(1) The indoor unit model(s) in a
tested combination within a basic model
include both individual indoor unit
models distributed in commerce with
the specific component and individual
indoor unit models distributed in
commerce without the specific
component;
(2) At least one of the individual
indoor unit models distributed in
commerce without the specific
component is otherwise identical to any
given individual indoor unit model
distributed in commerce with the
specific component; and
(3) Represented values for the tested
combination are based on performance
of individual indoor unit models
distributed in commerce without the
specific component.
*
*
*
*
*
(5) For variable refrigerant flow multisplit air conditioners and heat pumps
(other than air-cooled with rated cooling
capacity less than 65,000 btu/h), if a
manufacturer has knowledge that any of
its certified operational settings for
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70679
critical parameters to be controlled
during IEER tests (per paragraphs
(b)(4)(vii)(B) or (b)(4)(viii)(B) of this
section) are invalid according to the
results of a controls verification
procedure appropriately conducted
according to § 429.134(s)(3), then the
manufacturer must re-certify valid
operational settings for critical
parameters for all affected basic models,
and re-rate and re-certify all affected
basic models.
*
*
*
*
*
■ 4. Amend § 429.70 by revising
paragraph (c)(2)(i) to read as follows:
§ 429.70 Alternative methods for
determining energy efficiency and energy
use.
*
*
*
*
*
(c) * * *
(2) * * *
(i) The manufacturer must select at
least the minimum number of basic
models for each validation class
specified in paragraph (c)(2)(iv) of this
section to which the particular AEDM
applies. Using the AEDM, calculate the
energy use or efficiency for each of the
selected basic models.
(A) Except for variable refrigerant
flow multi-split air conditioners and
heat pumps (other than air-cooled with
rated cooling capacity less than 65,000
btu/h) when certifying to standards in
terms of IEER, test a single unit of each
selected basic model in accordance with
paragraph (c)(2)(iii) of this section.
Compare the results from the single unit
test and the AEDM energy use or
efficiency output according to paragraph
(c)(2)(ii) of this section. The
manufacturer is responsible for ensuring
the accuracy and reliability of the
AEDM.
(B) For variable refrigerant flow multisplit air conditioners and heat pumps
(other than air-cooled with rated cooling
capacity less than 65,000 btu/h) when
certifying to standards in terms of IEER,
the following provisions apply.
(1) If a manufacturer makes
representations for a single type of
indoor unit combination (i.e., only
ducted, non-ducted, or SDHV indoor
unit combinations) across all the basic
models for which an AEDM applies, the
manufacturer must test at least a single
tested combination of that type of
indoor unit combination for each
selected basic model in accordance with
paragraph (c)(2)(iii) of this section.
(2) If a manufacturer makes
representations for two types of indoor
unit combinations (i.e., ducted, nonducted, and/or SDHV) within or across
all the basic models for which the
AEDM applies, the manufacturer must
test at least a single tested combination
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of a selected basic model as the first of
those two types of indoor unit
combination, and at least a single tested
combination of a different selected basic
model as the second of those two types
of indoor unit combination, each in
accordance with paragraph (c)(2)(iii) of
this section.
(3) If a manufacturer makes
representations for all three types of
indoor unit combinations (i.e., ducted,
non-ducted, and SDHV) within or across
basic models for which the AEDM
applies, the manufacturer must test at
least a single tested combination of a
selected basic model as a non-ducted
tested combination and a single tested
combination of a different selected basic
model as a ducted tested combination,
each in accordance with paragraph
(c)(2)(iii) of this section.
(4) In all cases, compare the results
from each tested basic model and the
AEDM energy use or efficiency output
according to paragraph (c)(2)(ii) of this
section. The manufacturer is responsible
for ensuring the accuracy and reliability
of the AEDM.
*
*
*
*
*
■ 5. Section 429.104 is revised to read
as follows:
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§ 429.104
Assessment testing.
(a) DOE may, at any time, test a basic
model to assess whether the basic model
is in compliance with the applicable
energy conservation standard(s).
(b) For variable refrigerant flow multisplit air conditioners and heat pumps
(other than air-cooled with rated cooling
capacity less than 65,000 btu/h) DOE
may require that the manufacturer of a
basic model ship or cause to be shipped
from a retailer or distributor at its
expense the means of control associated
with the basic model, if applicable.
■ 6. Amend § 429.110 by:
■ a. Redesignating paragraphs (a)(2) and
(3) as paragraphs (a)(3) and (4),
respectively;
■ b. Adding new paragraph (a)(2);
■ c. Revising paragraph (b)(1)(iv);
■ d. Revising paragraph (e)(2);
■ e. Redesignating paragraphs (e)(3)
through (9) as (e)(4) through (10),
respectively;
■ f. Adding new paragraph (e)(3);
■ g. In newly designated paragraph
(e)(4), remove the words ‘‘(e)(1) or (2) of
this section’’ and add in its place the
words, ‘‘(e)(1), (2) or (3) of this section’’;
■ h. In newly designated paragraph
(e)(8), remove the words ‘‘(e)(1) through
(6)’’ and add in its place the words
‘‘(e)(1) through (7)’’; and
■ i. In newly designated paragraph
(e)(9), remove the words ‘‘paragraph
(e)(7)’’ and ‘‘paragraphs (e)(1) through
(6)’’ and add in their place the words
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‘‘paragraph (e)(8)’’ and ‘‘paragraphs
(e)(1) through (7)’’, respectively;
The additions and revisions read as
follows.
§ 429.110
Enforcement testing.
(a) * * *
(2) For variable refrigerant flow multisplit air conditioners and heat pumps
(other than air-cooled with rated cooling
capacity less than 65,000 Btu/h)
determining compliance with an energy
conservation standard based on IEER,
DOE may test for enforcement if DOE
has reason to believe that a basic model
is not in compliance, has invalid
certified operational settings for critical
parameter values, or has an otherwise
invalid certified rating.
*
*
*
*
*
(b) * * *
(1) * * *
(iv) DOE may require in the test notice
that the manufacturer of a basic model
ship or cause to be shipped from a
retailer or distributor at its expense the
requested number of units of a basic
model specified in such test notice to
the testing laboratory specified in the
test notice. The manufacturer shall ship
the specified initial test unit(s) of the
basic model and to the testing laboratory
within 5 working days from the time
unit(s) are selected. For variable
refrigerant flow multi-split air
conditioners and heat pumps (other
than air-cooled with rated cooling
capacity less than 65,000 btu/h) the
manufacturer shall also ship any means
of control necessary for conducting
testing in accordance with appendix D1
to part 431 of this subchapter. The
manufacturer shall ship the means of
control, if applicable, with the system(s)
selected for testing.
*
*
*
*
*
(e) * * *
(2) For automatic commercial ice
makers; commercial refrigerators,
freezers, and refrigerator-freezers;
refrigerated bottled or canned vending
machines; commercial air conditioners
and heat pumps except variable
refrigerant flow multi-split air
conditioners and heat pumps (other
than air-cooled with rated cooling
capacity less than 65,000 btu/h);
commercial packaged boilers;
commercial warm air furnaces;
commercial water heating equipment;
and walk-in cooler and walk-in freezer
refrigeration systems, DOE will use an
initial sample size of not more than four
units and follow the sampling plans in
appendix B of this subpart (Sampling
Plan for Enforcement Testing of Covered
Equipment and Certain Low-Volume
Covered Products).
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(3) For variable refrigerant flow multisplit air conditioners and heat pumps
(other than air-cooled with rated cooling
capacity less than 65,000 btu/h).
(i) For determining compliance with
an energy conservation standard based
on EER, DOE will use an initial sample
size of not more than four units and
follow the sampling plans in appendix
B of this subpart (Sampling Plan for
Enforcement Testing of Covered
Equipment and Certain Low-Volume
Covered Products).
(ii) For determining compliance with
an energy conservation standard based
on IEER, DOE will use an initial sample
size of two units and follow the
sampling plans in appendix B of this
subpart (Sampling Plan for Enforcement
Testing of Covered Equipment and
Certain Low-Volume Covered Products).
*
*
*
*
*
■ 7. Amend § 429.134 by adding
paragraph (s) to read as follows:
§ 429.134 Product-specific enforcement
provisions.
*
*
*
*
*
(s) Variable refrigerant flow multisplit air conditioners and heat pumps
(other than air-cooled with rated cooling
capacity less than 65,000 btu/h). The
following provisions apply for
assessment and enforcement testing of
models subject to standards in terms of
IEER:
(1) Specific Components. If the indoor
unit model(s) in a tested combination
within a basic model include individual
indoor unit models distributed in
commerce with any of the specific
components listed at § 429.43(a)(4)(i),
the following provisions apply. For the
purposes of this paragraph, ‘‘otherwise
identical’’ means differing only in the
presence of specific components listed
at § 429.43(a)(4)(i).
(i) If the manufacturer does not certify
in accordance with § 429.43(b)(4) that—
(A) Indoor unit model(s) in a tested
combination within a basic model
include both individual indoor unit
models distributed in commerce with a
specific component and otherwise
identical individual indoor unit models
distributed in commerce without the
specific component, and
(B) Represented values for the tested
combination are based on performance
of individual indoor unit models
distributed in commerce without the
specific component, DOE may test the
tested combination with individual
indoor unit models with the component
present (and consistent with any
component-specific test provisions
specified in section 6 of appendix D1 to
subpart F of part 431).
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(ii) If the manufacturer certifies in
accordance with § 429.43(b)(4) that—
(A) Indoor unit model(s) in a tested
combination within a basic model
include both individual indoor unit
models distributed in commerce with a
specific component and otherwise
identical individual indoor unit models
distributed in commerce without the
specific component, and
(B) Represented values for the tested
combination are based on performance
of individual indoor unit models
distributed in commerce without the
specific component, DOE will test the
tested combination with otherwise
identical indoor unit model(s) within
the tested combination within a basic
model that do not include the
component, except in either of the
following situations. In either of the
following situations, DOE may test the
tested combination with individual
indoor unit models with the specific
component present (and consistent with
any component-specific test provisions
specified in section 6 of appendix D1 to
subpart F of part 431).
(1) DOE is not able, through
documented reasonable effort, to obtain
individual indoor unit models for
testing that do not include the
component.
(2) DOE becomes aware that the
manufacturer’s certification in
accordance with § 429.43(b)(4) regarding
specific components is invalid.
(2) Manufacturer involvement in
assessment or enforcement testing. A
manufacturer’s representative will be
allowed to support commissioning and
witness assessment and/or enforcement
testing for variable refrigerant flow
multi-split air conditioners and heat
pumps, including during the controls
verification procedures (CVPs),
specified in paragraph (s)(3) of this
section, with allowance for additional
involvement as described in the
following provisions.
(i) Manufacturer involvement in
CVP—Control settings must be set by a
member of the third-party laboratory
and per the provisions in section 5.1 of
appendix D1 to subpart F of part 431.
Critical parameters must operate
automatically from the system controls
and must not be manually controlled or
adjusted at any point during the CVP.
The manufacturer’s representative must
not make any adjustments to the VRF
multi-split system for a CVP.
(ii) Manufacturer involvement in
heating tests and IEER cooling tests—All
control settings other than critical
parameters must be set by a member of
the third-party laboratory, following the
provisions of section 5.1 of appendix D1
to subpart F of part 431. Critical
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parameters may be manually controlled
by a manufacturer’s representative,
including initial setting to the certified
values and additional adjustments (as
described in sections 5.1 and 5.2 of
appendix D1 to subpart F of part 431,
respectively). Setting and adjustment of
critical parameters by a manufacturer’s
representative must be monitored by
third-party laboratory personnel using a
service tool. The manufacturer’s
representative must not make any other
adjustments to the VRF multi-split
system under test. If a manufacturer’s
representative is not present for testing,
a member of the third-party laboratory
must set and adjust critical parameters
using the provided means of control
described in § 429.110(b)(1)(iv) for
enforcement testing and § 429.104 for
assessment testing.
(3) Controls Verification Procedure
(CVP). This procedure validates the
certified values of critical parameters for
which positions may be manually set
during the full- and part-load IEER
cooling test conditions specified at
appendix D1 to subpart F of part 431.
The CVP will only be conducted for a
single system.
(i) Conducting the CVP—The CVP
will be conducted at all of the four IEER
cooling test conditions as specified in
appendix D1 to subpart F of part 431;
the CVP is not applicable for any
heating test conditions. The CVP will
first be performed at the full-load
cooling condition before being
conducted at part-load cooling
conditions and must be conducted per
Appendix C of AHRI 1230–2021
(incorporated by reference, see § 429.4).
(ii) Validating Critical Parameters—At
each load point, certified critical
parameter values will be validated or
invalidated according to Section C6 of
AHRI 1230–2021 with the following
amendments:
(A) The duration of the period used
for validating certified critical parameter
values must be whichever of the
following is longer: Three minutes, or
the time period needed to obtain five
sample readings while meeting the
minimum data collection interval
requirements of Table C2 of AHRI 1230–
2021.
(B) If at least one measurement period
with duration identified in paragraph
(s)(3)(ii)(A) of this section exists before
tOFF that has an average root-sum-square
(‘‘RSS’’) points total (as defined in
Section 3.26 of AHRI 1230–2021) over
the measurement period that is less than
or equal to 70 points, the certified
critical parameter values are valid.
(C) If no measurement period with
duration identified in paragraph
(s)(3)(ii)(A) of this section exists before
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70681
tOFF that has an average RSS points total
over the measurement period that is less
than or equal to 70 points, the certified
critical parameter values are invalid.
(iii) Determining critical parameters
for use in steady-state IEER cooling
tests—If, following a CVP, IEER testing
is conducted per appendix D1 to
subpart F of part 431, the following
provisions apply:
(A) Validated critical parameter
settings. At each load point, if certified
critical parameter values are found to be
valid according to the results of the
CVP, initially set critical parameters to
their certified values for the IEER test at
the corresponding full- or part-load
cooling condition. Perform additional
adjustments to critical parameters as
described in section 5.2 of appendix D1
to subpart F of part 431.
(B) Invalidated critical parameter
settings. At each load point, if certified
critical parameter values are found to be
invalid according to the results of the
CVP, determine alternate critical
parameter values for use in the
corresponding IEER test (as specified in
appendix D1 to subpart F of part 431).
Determine alternate critical parameter
values from the CVP results of the single
system described in paragraph (s)(3) of
this section as follows:
(1) Select the CVP measurement
period—this period must have duration
determined per paragraph (s)(3)(ii)(A) of
this section and must be the period
where the RSS points total has a lower
average value over the measurement
period than over any other time period
in the CVP of the same duration. If
multiple periods exist with the same
RSS points total, select the
measurement period closest to but
before the time that the first indoor unit
switches to thermally inactive (denoted
as ‘‘toff’’ in AHRI 1230–2021).
(2) Determine alternate critical
parameters—calculate the average
position for each critical parameter
during the measurement period selected
in paragraph (s)(3)(iii)(B)(1) of this
section. When initially setting critical
parameters per section 5.1 of appendix
D1 to subpart F of part 431, instead of
using the certified critical parameter
values, use the alternate critical
parameter values as control inputs. The
same initial alternate critical parameter
values must be used for all systems in
the assessment/enforcement sample
(though critical parameter adjustments
as needed to achieve target capacity or
sensible heat ratio (SHR) limits are
made independently for each tested
system, per paragraph (s)(3)(iii)(B)(3) of
this section.
(3) For each system, determine
whether critical parameter adjustments
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are needed to achieve the target capacity
or sensible heat ratio (SHR) limit for an
IEER cooling test. Perform critical
parameter adjustments independently
on each system as described in section
5.2 of appendix D1 to subpart F of part
431, with the following exceptions:
(i) Replace all references to ‘‘certified
critical parameter values’’ with
‘‘alternate critical parameter values’’ as
determined in paragraph (s)(3)(iii)(B) of
this section.
(ii) Determine CPMax from a CVP
conducted at full-load cooling
conditions as the maximum value
observed during the R2 period as
described in Section C.4.4.2.3 of AHRI
1230–2021. If multiple components
corresponding to a single parameter are
present, determine CPMax at the point
during the R2 period at which the
average value across all components
corresponding to that critical parameter
is maximized.
PART 431—ENERGY EFFICIENCY
PROGRAM FOR CERTAIN
COMMERCIAL AND INDUSTRIAL
EQUIPMENT
8. The authority citation for part 431
continues to read as follows:
■
Authority: 42 U.S.C 6291–6317; 28 U.S.C
2461 note.
9. Section 431.92 is amended by
revising the definition of ‘‘Integrated
energy efficiency ratio, or IEER’’ to read
as follows:
■
§ 431.92 Definitions concerning
commercial air conditioners and heat
pumps.
*
*
*
*
*
Integrated energy efficiency ratio, or
IEER, means a weighted average
calculation of mechanical cooling EERs
determined for four load levels and
corresponding rating conditions,
expressed in Btu/watt-hour. IEER is
measured per appendix A of this
subpart for air-cooled small (≥65,000
Btu/h), large, and very large commercial
package air conditioning and heating
equipment and measured per appendix
D1 of this subpart for variable
refrigerant flow multi-split air
conditioners and heat pumps (other
than air-cooled with rated cooling
capacity less than 65,000 Btu/h).
*
*
*
*
*
■ 10. Amend § 431.95 by:
■ a. Revising paragraph (a);
■ b. Revising paragraph (b)(6);
■ c. Adding paragraph (b)(7); and
■ d. Revising paragraph (c)(2).
The revisions and addition read as
follows:
§ 431.95 Materials incorporated by
reference.
(a) Certain material is incorporated by
reference into this subpart with the
approval of the Director of the Federal
Register in accordance with 5 U.S.C.
552(a) and 1 CFR part 51. To enforce
any edition other than that specified in
this section, DOE must publish a
document in the Federal Register and
the material must be available to the
public. All approved material is
available for inspection at the U.S.
Department of Energy, Office of Energy
Efficiency and Renewable Energy,
Building Technologies Program, Sixth
Floor, 950 L’Enfant Plaza SW,
Washington, DC 20024, (202) 586–9127,
Buildings@ee.doe.gov, https://
www.energy.gov/eere/buildings/
building-technologies-office, and may be
obtained from the other sources in this
section. It is also available for
inspection at the National Archives and
Records Administration (NARA). For
information on the availability of this
material at NARA, email: fr.inspection@
nara.gov, or go to: www.archives.gov/
federal-register/cfr/ibr-locations.html.
(b) * * *
(6) ANSI/AHRI Standard 1230–2010,
‘‘2010 Standard for Performance Rating
of Variable Refrigerant Flow (VRF)
Multi-Split Air-Conditioning and Heat
Pump Equipment,’’ approved August 2,
2010 and updated by addendum 1 in
March 2011 (AHRI 1230–2010), IBR
approved for § 431.96 and appendix D
of this subpart.
(7) AHRI Standard 1230–2021,
‘‘Performance Rating of Variable
Refrigerant Flow (VRF) Multi-Split AirConditioning and Heat Pump
Equipment’’, published in 2021 (AHRI
1230–2021), IBR approved for appendix
D1 of this subpart.
(c) * * *
(2) ANSI/ASHRAE Standard 37–2009,
(‘‘ANSI/ASHRAE 37–2009’’), ‘‘Methods
of Testing for Rating Electrically Driven
Unitary Air-Conditioning and Heat
Pump Equipment’’, (including Errata
Sheet issued October 3, 2016), ASHRAE
approved June 24, 2009, IBR approved
for § 431.96 and appendices A and D1
of this subpart.
*
*
*
*
*
■ 11. Amend § 431.96 by:
■ a. Revising paragraph (b)(1);
■ b. Redesignating table 1 to paragraph
(b)(2) as table 1 to § 431.96; and
■ c. Revising newly redesignated table 1
to § 431.96.
The revisions read as follows:
§ 431.96 Uniform test method for the
measurement of energy efficiency of
commercial air conditioners and heat
pumps.
*
*
*
*
*
(b) Testing and calculations. (1)
Determine the energy efficiency of each
type of covered equipment by
conducting the test procedure(s) listed
in table 1 to this section along with any
additional testing provisions set forth in
paragraphs (c) through (g) of this section
and appendices A through D1 of this
subpart, that apply to the energy
efficiency descriptor for that equipment,
category, and cooling capacity. The
omitted sections of the test procedures
listed in table 1 to this section must not
be used. For equipment with multiple
appendices listed in table 1 to this
section, consult the notes at the
beginning of those appendices to
determine the applicable appendix to
use for testing.
(2) * * *
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TABLE 1 TO § 431.96—TEST PROCEDURES FOR COMMERCIAL AIR CONDITIONERS AND HEAT PUMPS
Additional test procedure
provisions as indicated in
the listed paragraphs of this
section
Equipment type
Category
Cooling capacity
Energy efficiency
descriptor
Use tests,
conditions, and
procedures 1 in
Small Commercial
Package Air-Conditioning and Heating Equipment.
Air-Cooled, 3-Phase,
AC and HP.
<65,000 Btu/h ..........
SEER and HSPF ....
AHRI 210/240–2008
(omit section 6.5).
None.
Air-Cooled AC and
HP.
Water-Cooled and
EvaporativelyCooled AC.
≥65,000 Btu/h and
<135,000 Btu/h.
<65,000 Btu/h ..........
EER, IEER, and
COP.
EER .........................
Appendix A of this
subpart.
AHRI 210/240–2008
(omit section 6.5).
None.
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TABLE 1 TO § 431.96—TEST PROCEDURES FOR COMMERCIAL AIR CONDITIONERS AND HEAT PUMPS—Continued
Large Commercial
Package Air-Conditioning and Heating Equipment.
Very Large Commercial Package AirConditioning and
Heating Equipment.
Packaged Terminal
Air Conditioners
and Heat Pumps.
Computer Room Air
Conditioners.
Cooling capacity
Energy efficiency
descriptor
Use tests,
conditions, and
procedures 1 in
EER .........................
Air-Cooled AC and
HP.
≥135,000 Btu/h and
<240,000 Btu/h.
EER, IEER and
COP.
AHRI 340/360–2007
(omit section 6.3).
ISO Standard
13256–1 (1998).
Appendix A to this
subpart.
Paragraphs (c) and (e).
Water-Source HP ....
≥65,000 Btu/h and
<135,000 Btu/h.
<135,000 Btu/h ........
Water-Cooled and
EvaporativelyCooled AC.
Air-Cooled AC and
HP.
≥135,000 Btu/h and
<240,000 Btu/h.
EER .........................
AHRI 340/360–2007
(omit section 6.3).
Paragraphs (c) and (e).
≥240,000 Btu/h and
<760,000 Btu/h.
EER, IEER and
COP.
Appendix A to this
subpart.
None.
Water-Cooled and
EvaporativelyCooled AC.
AC and HP ..............
≥240,000 Btu/h and
<760,000 Btu/h.
EER .........................
AHRI 340/360–2007
(omit section 6.3).
Paragraphs (c) and (e).
<760,000 Btu/h ........
EER and COP .........
Paragraph (g) of this
section.
Paragraphs (c), (e), and
(g).
AC ...........................
<65,000 Btu/h ..........
SCOP ......................
Paragraphs (c) and (e).
≥65,000 Btu/h and
<760,000 Btu/h.
<65,000 Btu/h (3phase).
SCOP ......................
ASHRAE 127–2007
(omit section 5.11).
ASHRAE 127–2007
(omit section 5.11).
ANSI/AHRI 1230–
2010 (omit sections 5.1.2 and
6.6).
ANSI/AHRI 1230–
2010 (omit sections 5.1.2 and
6.6).
Appendix D of this
subpart 2.
EER and COP .........
Variable Refrigerant
Flow Multi-split
Systems.
AC ...........................
Variable Refrigerant
Flow Multi-split
Systems, Aircooled.
Variable Refrigerant
Flow Multi-split
Systems, Aircooled.
HP ...........................
<65,000 Btu/h (3phase).
SEER and HSPF ....
AC and HP ..............
≥65,000 Btu/h and
<760,000 Btu/h.
EER and COP .........
≥65,000 Btu/h and
<760,000 Btu/h.
<760,000 Btu/h ........
IEER and COP ........
<760,000 Btu/h ........
IEER and COP ........
<760,000 Btu/h ........
EER and COP .........
Variable Refrigerant
Flow Multi-split
Systems, Watersource.
Single Package
Vertical Air Conditioners and Single
Package Vertical
Heat Pumps.
Additional test procedure
provisions as indicated in
the listed paragraphs of this
section
Category
Equipment type
HP ...........................
AC and HP ..............
SEER ......................
EER and COP .........
Paragraph (e).
None.
Paragraphs (c) and (e).
Paragraphs (c), (d), (e),
and (f).
Paragraphs (c), (d), (e),
and (f).
None.
Appendix D1 of this
subpart 2.
Appendix D of this
subpart 2.
None.
Appendix D1 of this
subpart 2.
AHRI 390–2003
(omit section 6.4).
None.
None.
Paragraphs (c) and (e).
1 Incorporated
by reference; see § 431.95.
equipment with multiple appendices listed in this table 1, consult the notes at the beginning of those appendices to determine the applicable appendix to use for testing.
2 For
*
*
*
*
*
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Appendix B to Subpart F of Part 431
[Reserved]
12. Add and reserve appendix B to
subpart F of part 431.
■
Appendix C to Subpart F of Part 431
[Reserved]
13. Add and reserve appendix C to
subpart F of part 431.
■
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14. Add appendix D to subpart F of
part 431 to read as follows:
■
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Appendix D to Subpart F of Part 431—
Uniform Test Method for Measuring the
Energy Consumption of Variable
Refrigerant Flow Multi-Split Air
Conditioners and Heat Pumps (Other
Than Air-Cooled With Rated Cooling
Capacity Less Than 65,000 BTU/H)
Note: Manufacturers must use the results of
testing under this appendix to determine
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compliance with the relevant standard from
§ 431.97 as that standard appeared in the
January 1, 2021 edition of 10 CFR parts 200–
499. Specifically, before [Date 360 days after
publication of the final rule in the Federal
Register] representations must be based upon
results generated either under this appendix
or under 10 CFR 431.96 as it appeared in the
10 CFR parts 200–499 edition revised as of
January 1, 2021.
For any amended standards for variable
refrigerant flow multi-split air conditioners
and heat pumps that rely on integrated
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energy efficiency ratio (IEER) published after
January 1, 2021, manufacturers must use the
results of testing under appendix D1 of this
subpart to determine compliance.
Representations related to energy
consumption must be made in accordance
with the appropriate appendix that applies
(i.e., appendix D or appendix D1) when
determining compliance with the relevant
standard.
1. Incorporation by Reference.
DOE incorporated by reference in § 431.95,
the entire standard for ANSI/AHRI 1230–
2010. However, only enumerated provisions
of that document apply to this appendix, as
set forth in paragraph (1) of this section. To
the extent there is a conflict, the language of
the test procedure in this appendix takes
precedence over the referenced test standard.
(1) ANSI/AHRI 1230–2010:
(i) Section 5.1.2—Manufacturer
involvement is inapplicable as specified in
section 2.1 of this appendix.
(ii) Section 6.6—Verification testing and
uncertainty is inapplicable as specified in
section 2.2 of this appendix.
2. General. Determine the energy efficiency
ratio (EER) and coefficient of performance
(COP) (as applicable) in accordance with
ANSI/AHRI 1230–2010; however, the
following enumerated provisions of that
document are not applicable.
(i) Section 5.1.2—Manufacturer
involvement
(ii) Section 6.6—Verification testing
uncertainty
Sections 3 through 6 of this appendix
provide additional instructions for
determining EER and COP.
3. Optional break-in period. Manufacturers
may optionally specify a ‘‘break-in’’ period,
not to exceed 20 hours, to operate the
equipment under test prior to conducting the
test method specified in this appendix. A
manufacturer who elects to use an optional
compressor break-in period in its
certification testing should record this
period’s duration as part of the information
in the supplemental testing instructions
under 10 CFR 429.43.
4. Refrigerant line length corrections. For
test setups where it is physically impossible
for the laboratory to use the required line
length listed in Table 3 of the ANSI/AHRI
1230–2010, then the actual refrigerant line
length used by the laboratory may exceed the
required length and the following cooling
capacity correction factors are applied:
Piping length beyond minimum, X
(ft)
Piping length beyond minimum, Y
(m)
0 > X ≤ 20 ................................................................................
20 > X ≤ 40 ..............................................................................
40 > X ≤ 60 ..............................................................................
60 > X ≤ 80 ..............................................................................
80 > X ≤ 100 ............................................................................
100 > X ≤ 120 ..........................................................................
0 > Y ≤ 6.1 ..............................................................................
6.1 > Y ≤12.2 ..........................................................................
12.2 > Y ≤ 18.3 .......................................................................
18.3 > Y ≤ 24.4 .......................................................................
24.4 > Y ≤ 30.5 .......................................................................
30.5 > Y ≤ 36.6 .......................................................................
5. Additional provisions for equipment setup. The only additional specifications that
may be used in setting up the basic model
for test are those set forth in the installation
and operation manual shipped with the unit.
Each unit should be set up for test in
accordance with the manufacturer
installation and operation manuals. Sections
5.1 through 5.3 of this appendix provide
specifications for addressing key information
typically found in the installation and
operation manuals.
5.1. If a manufacturer specifies a range of
superheat, sub-cooling, and/or refrigerant
pressure in its installation and operation
manual for a given basic model, any value(s)
within that range may be used to determine
refrigerant charge or mass of refrigerant,
unless the manufacturer clearly specifies a
rating value in its installation and operation
manual, in which case the specified rating
value must be used.
5.2. The airflow rate used for testing must
be that set forth in the installation and
operation manuals being shipped to the
commercial customer with the basic model
and clearly identified as that used to generate
the DOE performance ratings. If a rated
airflow value for testing is not clearly
identified, a value of 400 standard cubic feet
per minute (scfm) per ton must be used.
5.3. The test set-up and the fixed
compressor speeds (i.e., the maximum,
minimum, and any intermediate speeds used
for testing) should be recorded and
maintained as part of the test data underlying
the certified ratings that is required to be
maintained under 10 CFR 429.71.
6. Manufacturer involvement in assessment
or enforcement testing. A manufacturer’s
representative will be allowed to witness
assessment and/or enforcement testing for
variable refrigerant flow multi-split air
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conditioners and heat pumps. The
manufacturer’s representative will be
allowed to inspect and discuss set-up only
with a DOE representative. During testing,
the manufacturer’s representative may adjust
only the modulating components that are
necessary to achieve steady-state operation in
the presence of a DOE representative. Only
previously documented specifications for setup as specified under sections 4 and 5 of this
appendix will be used.
15. Add appendix D1 to subpart F of
part 431 to read as follows:
■
Appendix D1 to Subpart F of Part 431—
Uniform Test Method for Measuring the
Energy Consumption of Variable
Refrigerant Flow Multi-Split Air
Conditioners and Heat Pumps (Other
Than Air-Cooled With Rated Cooling
Capacity Less Than 65,000 BTU/H)
Note: Manufacturers must use the results of
testing under this appendix to determine
compliance with any amended standards for
variable refrigerant flow multi-split air
conditioners and heat pumps provided in
§ 431.97 that are published after January 1,
2021, and that rely on integrated energy
efficiency ratio (IEER). Representations
related to energy consumption must be made
in accordance with the appropriate appendix
that applies (i.e., appendix D or appendix D1)
when determining compliance with the
relevant standard.
1. Incorporation by Reference.
DOE incorporated by reference in § 431.95,
the entire standard for AHRI Standard 1230–
2021, and ANSI/ASHRAE Standard 37–2009.
However, only enumerated provisions of
these documents apply to this appendix, as
set forth in paragraphs (1) and (2) of this
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Cooling capacity
correction
(%)
1
2
3
4
5
6
section. To the extent there is a conflict, the
language of the test procedure in this
appendix takes precedence over the
referenced test standards.
(1) AHRI 1230–2021:
(i) Section 3—Definitions, except section
3.10, is applicable as specified in section
2.1.1 of this appendix,
(ii) Section 5—Test Requirements, except
section 5.1.2, is applicable as specified in
section 2.1.2 of this appendix,
(iii) Section 6—Rating Requirements,
except sections 6.3.3 and 6.5, is applicable as
specified in section 2.1.3 of this appendix,
(iv) Section 11—Calculations is applicable
as specified in section 2.1.4 of this appendix,
(v) Section 12—Symbols, Subscripts and
Superscripts is applicable as specified in
section 2.1.5 of this appendix,
(vi) Appendix E—ANSI/ASHRAE Standard
37–2009 Clarifications/Exceptions—
Normative is applicable as specified in
section 2.1.6 of this appendix,
(2) ANSI/ASHRAE 37–2009 (including
Errata Sheet issued October 3, 2016):
(i) Section 1—Purpose is inapplicable as
specified in section 2.2.1 of this appendix,
(ii) Section 2—Scope is inapplicable as
specified in section 2.2.2 of this appendix,
and
(iii) Section 4—Classification is
inapplicable as specified in section 2.2.3 of
this appendix.
(2) General. Determine IEER and
coefficient of performance (COP) (as
applicable) in accordance with AHRI 1230–
2021 and ANSI/ASHRAE 37–2009 (including
Errata Sheet issued on October 3, 2016;
however, only the following enumerated
provisions of those documents apply.
2.1. Applicable Sections of AHRI 1230–
2021
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2.1.1. Section 3—Definitions (Except
Section 3.10—Definition of Critical
Parameter(s)),
2.1.2. Section 5—Test Requirements
(Except Sections 5.1.2.1, 5.1.2.2, and
5.1.2.3—Control Settings),
2.1.3. Section 6—Rating Requirements
(Except Section 6.3.3—Allowable Critical
Parameter Adjustments and Section 6.5—
Simultaneous Cooling and Heating Efficiency
and Capacity Ratings),
2.1.4. Section 11—Calculations,
2.1.5. Section 12—Symbols, Subscripts and
Superscripts,
2.1.6. Appendix E—ANSI/ASHRAE 37–
2009 Clarifications/Exceptions—Normative
Note: The controls verification procedure
specified in Appendix C of AHRI 1230–2021
is referenced as part of DOE’s certification
provisions at § 429.43(b) and product-specific
enforcement provisions located at
§ 429.134(s)(3).
2.2. Excepted sections of ANSI/ASHRAE
37–2009 (including Errata Sheet issued
October 3, 2016)
2.2.1. Section 1—Purpose
2.2.2. Section 2—Scope
2.2.3. Section 4—Classifications
Sections 3 through 5 of this appendix
provide additional instructions for
determining IEER and COP. In cases where
there is a conflict, the language of this
appendix takes highest precedence, followed
by AHRI 1230–2021, followed by ANSI/
ASHRAE 37–2009 (including Errata Sheet
issued October 3, 2016).
3. Definitions
3.1. Critical Parameter(s) are the
following settings of modulating components
of variable refrigerant flow multi-split air
conditioners and heat pumps: compressor
speed(s), outdoor fan speed(s) and outdoor
variable valve position(s).
4. Test Conditions
4.1 Test Conditions for air-cooled VRF
multi-split systems with rated cooling
capacity greater than 65,000 Btu/h. When
testing to certify to the energy conservation
standards in § 431.97, test using the
‘‘Standard Rating Conditions, Cooling’’ and
‘‘Standard Rating Part-Load Conditions
(IEER)’’ conditions for cooling mode tests and
‘‘Standard Rating Conditions (High
Temperature Steady-state Test for Heating)’’
conditions for heat pump heating mode tests,
as specified in Table 9 of AHRI 1230–2021.
4.1.1 Representations of COP for aircooled VRF multi-split systems with rated
cooling capacity greater than 65,000 Btu/h
made using the ‘‘Low Temperature
Operation, Heating’’ condition specified in
Table 9 of AHRI 1230–2021 are optional.
4.2 Test Conditions for water-source VRF
multi-split systems. When testing to certify to
the energy conservation standards in
§ 431.97, test using the ‘‘Part-load Conditions
(IEER)’’ conditions specified for ‘‘Water Loop
Heat Pumps’’ in Table 10 of AHRI 1230–2021
for cooling mode tests and the ‘‘Standard
Rating Test’’ conditions specified for ‘‘Water
Loop Heat Pumps’’ in Table 11 of AHRI
1230–2021 for heat pump heating mode tests.
4.2.1 For water-source VRF multi-split
systems, representations of EER made using
the ‘‘Standard Rating Test’’ conditions
specified for ‘‘Ground-loop Heat pumps’’ in
Table 10 of AHRI 1230–2021 and
representations of COP made using the
‘‘Standard Rating Test’’ conditions specified
for ‘‘Ground-loop Heat Pumps’’ in Table 11
of AHRI 1230–2021 are optional.
5. Test Procedure
5.1 Control Settings. Control settings
must be set in accordance with sections 5.1.3,
5.1.4, 5.1.5, and 5.2 of AHRI 1230–2021. For
units equipped with head pressure controls,
the head pressure controls must be set per
manufacturer installation instructions or per
factory settings if no instructions are
provided. Indoor airflow-control settings
must be set in accordance with Section 6.3.1
of AHRI 1230–2021. At each load point,
critical parameters must be set to the values
certified in the STI. In cases where a certified
critical parameter value is not in the STI, the
system must operate per commands from the
system controls for that parameter. Once set,
control settings must remain unchanged for
the remainder of the test (except for
allowable adjustment of critical parameters
as described in section 5.2 of this appendix).
5.2 Allowable Critical Parameter
Adjustments for IEER cooling tests. The
following sections describe allowable
adjustments to critical parameters after the
initial system setup (during which all control
settings, including certified critical
parameters, are set). Adjust critical
parameters in order to achieve full- and partload cooling capacity targets and SHR limits.
5.2.1 Critical Parameter Adjustments for
Meeting Cooling Capacity Targets. Once
critical parameters have been set to the
values certified in the STI, if the unit cannot
operate within 3% of the target cooling
capacity (i.e., within 3% of the load fraction
for a given part-load cooling test (75%, 50%,
or 25% load) or within 3% of the certified
cooling capacity for a 100% full-load cooling
test), manually-controlled critical parameters
must be adjusted according to the following
provisions:
5.2.1.1. Cooling Capacity is Below Lower
Tolerance. If, for any test, the cooling
capacity operates below the lower tolerance
for the target cooling capacity, increase the
compressor speed(s) beyond the STI-certified
value(s) until the cooling capacity operates
within 3% of the target cooling capacity. If
multiple compressors are present in the
Where:
‘‘i’’ identifies the critical parameter—either
compressors speed(s), outdoor fan
speed(s), or outdoor variable valve
position(s)
CPi,Adj = The adjusted position of critical
parameter ‘‘i’’, recorded at each
measurement interval. If multiple
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70685
system, increase compressor speed by the
same absolute increment in RPM or Hz for
each compressor for which the following
conditions apply:
(1) The STI specifies a non-zero
compressor speed for the compressor for that
test and
(2) The compressor has not yet reached its
maximum capable operating speed. The
compressor speed(s) must not be less than
the STI-certified value(s) at any point during
the test. Upward adjustments to compressor
speed are not constrained by a budget on RSS
Points Total (See section 5.2.1.2.1 of this
appendix).
5.2.1.2 Cooling Capacity is Above Upper
Tolerance. If, for any test, the cooling
capacity operates above the upper tolerance
for the target cooling capacity, adjust any
manually-controlled critical parameters per
the STI. If the STI does not include a
hierarchy of instructions for adjustment of
critical parameters to reduce cooling capacity
during IEER cooling tests, then reduce only
the compressor speed(s) to reduce cooling
capacity. If multiple compressors are present
in the system, decrease compressor speed by
the same absolute increment for each
compressor for which the following
conditions apply:
(1) The STI specifies a non-zero
compressor speed for the compressor for that
test and
(2) The compressor has not yet reached
minimum speed. Continue reducing cooling
capacity in this manner until one of the
following occurs:
(i) The unit operates within 3% of the
target cooling capacity; or
(ii) The RSS point total reaches a budget
of 70 points (See section 5.2.1.2.1 of this
appendix). For the 75%, 50% and 25% partload cooling test points, if the RSS point total
reaches 70 during critical parameter
adjustments before the capacity operates
within 3% of the target cooling capacity, stop
adjustment and follow cyclic degradation
procedures in accordance with Section
11.2.2.1 of AHRI 1230–2021.
5.2.1.2.1 Measuring Critical Parameter
Variation During Adjustment Period. When
adjusting critical parameters to reduce
cooling capacity, critical parameter variation
must be calculated each time the critical
parameters are adjusted, using the following
equations:
First, use equation 5.2–1 to calculate the
absolute parameter percent difference (PPDi)
between each adjusted critical parameter and
the value for that parameter certified in the
supplemental testing instructions provided
by the manufacturer pursuant to
§ 429.43(b)(4) of this chapter (STI).
components corresponding to a single
parameter are present (e.g., multiple
compressors), calculate the average
position across all components
corresponding to that parameter at each
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measurement interval when determining
CPi,adj .
CPi,STI = The position of critical parameter
‘‘i’’ as certified in the STI. If multiple
components corresponding to a single
parameter are present, calculate the
average position across all components
corresponding to that parameter at each
measurement interval when determining
CPi,STI .
CPMax = The maximum operating position for
Critical Parameter ‘‘i’’, as certified in the
STI for the 100% load condition. If
multiple components corresponding to a
single parameter are present, calculate as
the average value across all components
corresponding to that critical parameter
certified in the STI for the 100% load
condition.
Next, use equation 5.2–2 to determine the
accrued points for each critical parameter:
Where:
‘‘i’’ identifies the critical parameter—either
compressors speed(s), outdoor fan speed(s),
or outdoor variable valve position(s)
NPVi = the nominal point value for critical
parameter ‘‘i’’, as follows:
TABLE 5.1—CRITICAL PARAMETER
NOMINAL POINT VALUES
Finally, use equation 5.2–3 to calculate the
root-sum-squared (RSS) Points Total across
all critical parameters.
5.2.2 Critical Parameter Adjustments for
Meeting SHR Limits. The SHR for the 100%
load test point and the 75% part-load test
point must not be higher than 0.82 and 0.85,
respectively (measured to the nearest
hundredth). If the SHR is above the allowable
limit, increase the compressor speed(s) until
either the SHR is less than or equal to the
allowable limit or the cooling capacity
reaches 3% greater than the target cooling
capacity for that test, whichever happens
first. If multiple compressors are present in
Nominal point
value
Critical parameter
Compressor Speed(s) ..........
Outdoor Fan Speed(s) ..........
Outdoor Variable Valve position(s) ................................
13
7
1
the system, increase compressor speed by the
same absolute increment for each compressor
for which the following conditions apply:
(1) The STI specifies a non-zero
compressor speed for the compressor for that
test and
(2) The compressor has not yet reached
maximum speed. Upwards adjustments to
compressor speed are not constrained by a
budget on RSS Points Total. Should the SHR
remain above the maximum limit when the
cooling capacity reaches its upper 3%
tolerance, no further compressor adjustments
must be made, and the calculation
procedures specified in Section 11.2.2.2 of
AHRI 1230–2021 must be applied using the
adjusted SHR value obtained after increasing
the compressor speed(s).
6. Set-Up and Test Provisions for Specific
Components. When testing a VRF multi-split
system that includes any of the specific
components listed in Table 6.1, test in
accordance with the set-up and test
provisions specified in Table 6.1.
TABLE 6.1—TEST PROVISIONS FOR SPECIFIC COMPONENTS
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Air Economizers ...................
Test provisions
An assembly that reduces the moisture content of the
supply air through moisture transfer with solid or liquid desiccants.
An automatic system that enables a cooling system to
supply outdoor air to reduce or eliminate the need for
mechanical cooling during mid or cold weather.
Disable desiccant dehumidification components for testing.
Fresh Air Dampers ...............
An assembly with dampers and means to set the
damper position in a closed and one open position to
allow air to be drawn into the equipment when the indoor fan is operating.
Hail Guards ..........................
A grille or similar structure mounted to the outside of
the unit covering the outdoor coil to protect the coil
from hail, flying debris and damage from large objects.
An assembly with dampers and means to set the
dampers in a position to recirculate the warmer condenser discharge air to allow for reliable operation at
low outdoor ambient conditions.
A capacitor that increases the power factor measured
at the line connection to the equipment. These devices are a requirement of the power distribution system supplying the unit.
Low Ambient Cooling
Dampers.
Power Correction Capacitors
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For any air economizer that is factory-installed, place
the economizer in the 100% return position and close
and seal the outside air dampers for testing. For any
modular air economizer shipped with the unit but not
factory-installed, do not install the economizer for
testing.
For any fresh air dampers that are factory-installed,
close and seal the dampers for testing. For any modular fresh air dampers shipped with the unit but not
factory-installed, do not install the dampers for testing.
Remove hail guards for testing.
Remove low ambient cooling dampers for testing.
Remove power correction capacitors for testing.
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TABLE 6.1—TEST PROVISIONS FOR SPECIFIC COMPONENTS—Continued
Component
Description
Test provisions
Ventilation Energy Recovery
Systems (VERS).
An assembly that preconditions outdoor air entering the
equipment through direct or indirect thermal and/or
moisture exchange with the exhaust air, which is defined as the building air being exhausted to the outside from the equipment.
For any VERS that is factory-installed, place the VERS
in the 100% return position and close and seal the
outside air dampers and exhaust air dampers for
testing, and do not energize any VERS subcomponents (e.g., energy recovery wheel motors). For any
VERS module shipped with the unit but not factoryinstalled, do not install the VERS for testing.
[FR Doc. 2021–26288 Filed 12–9–21; 8:45 am]
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]]>Agencies
[Federal Register Volume 86, Number 235 (Friday, December 10, 2021)]
[Proposed Rules]
[Pages 70644-70687]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-26288]
[[Page 70643]]
Vol. 86
Friday,
No. 235
December 10, 2021
Part III
Department of Energy
-----------------------------------------------------------------------
10 CFR Parts 429 and 431
Energy Conservation Program: Test Procedure for VRF Multi-Split
Systems; Proposed Rule
Federal Register / Vol. 86 , No. 235 / Friday, December 10, 2021 /
Proposed Rules
[[Page 70644]]
-----------------------------------------------------------------------
DEPARTMENT OF ENERGY
10 CFR Parts 429 and 431
[EERE-2021-BT-TP-0019]
RIN 1904-AE43
Energy Conservation Program: Test Procedure for VRF Multi-Split
Systems
AGENCY: Office of Energy Efficiency and Renewable Energy, Department of
Energy.
ACTION: Notice of proposed rulemaking and request for comment.
-----------------------------------------------------------------------
SUMMARY: The U.S. Department of Energy (``DOE'') proposes to amend the
test procedure for variable refrigerant flow multi-split air
conditioners and heat pumps (``VRF multi-split systems'') to
incorporate by reference the latest version of the industry test
standard. DOE also proposes to adopt the integrated energy efficiency
ratio metric in its test procedures for VRF multi-split systems.
Additionally, DOE proposes to adopt provisions in the updated industry
test procedure relevant to certification and enforcement, including a
controls verification procedure. DOE welcomes written comment from the
public on any subject within the scope of this document (including
topics not specifically raised in this proposal), as well as the
submission of data and other relevant information.
DATES:
Comments: DOE will accept written comments, data, and information
regarding this notice of proposed rulemaking (NOPR) on or before
February 8, 2022. See section V, ``Public Participation,'' for details.
Meeting: DOE will hold a webinar on Thursday, January 20, 2022,
from 1:00 p.m. to 4:00 p.m. See section V, ``Public Participation,''
for webinar registration information, participant instructions, and
information about the capabilities available to webinar participants.
ADDRESSES: Interested persons are encouraged to submit comments using
the Federal eRulemaking Portal at www.regulations.gov. Follow the
instructions for submitting comments.
Alternatively, interested persons may submit comments, identified
by docket number EERE-2021-BT-TP-0019, by any of the following methods:
1. Federal eRulemaking Portal: www.regulations.gov.
2. Email: to [email protected]. Include docket
number EERE-2021-BT-TP-0019 in the subject line of the message. No
telefacsimiles (``faxes'') will be accepted. For detailed instructions
on submitting comments and additional information on this process, see
section V of this document ``Public Participation.''
Although DOE has routinely accepted public comment submissions
through a variety of mechanisms, including the Federal eRulemaking
Portal, email, postal mail or hand delivery/courier, the Department has
found it necessary to make temporary modifications to the comment
submission process in light of the ongoing corona virus 2019 (COVID-19)
pandemic. DOE is currently suspending receipt of public comments via
postal mail and hand delivery/courier. If a commenter finds that this
change poses an undue hardship, please contact Appliance Standards
Program staff at (202) 586-1445 to discuss the need for alternative
arrangements. Once the COVID-19 pandemic health emergency is resolved,
DOE anticipates resuming all of its regular options for public comment
submission, including postal mail and hand delivery/courier.
Docket: The docket, which includes Federal Register notices, public
meeting/webinar attendee lists and transcripts, comments, and other
supporting documents/materials, is available for review at
www.regulations.gov. All documents in the docket are listed in the
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.
The docket web page can be found at: www.regulations.gov/docket/EERE-2021-BT-TP-0019. The docket web page contains instructions on how
to access all documents, including public comments, in the docket. See
section V ``Public Participation'' for information on how to submit
comments through www.regulations.gov.
FOR FURTHER INFORMATION CONTACT:
Ms. Catherine Rivest, U.S. Department of Energy, Office of Energy
Efficiency and Renewable Energy, Building Technologies Office, EE-5B,
1000 Independence Avenue SW, Washington, DC 20585-0121. Telephone:
(202) 586-7335. Email: [email protected].
Mr. Eric Stas, U.S. Department of Energy, Office of the General
Counsel, GC-33, 1000 Independence Avenue SW, Washington, DC 20585.
Telephone: (202) 586-5827. Email: [email protected].
DOE has submitted the collection of information contained in the
proposed rule to OMB for review under the Paperwork Reduction Act, as
amended. (44 U.S.C. 3507(d)) Comments on the information collection
proposal shall be directed to the Office of Information and Regulatory
Affairs, Office of Management and Budget, Attention: Sofie Miller, OIRA
Desk Officer by email: [email protected].
For further information on how to submit a comment, review other
public comments and the docket, or participate in the webinar, contact
the Appliance and Equipment Standards Program staff at (202) 287-1445
or by email: [email protected].
SUPPLEMENTARY INFORMATION: DOE proposes to maintain and update
previously approved incorporations by reference and incorporate by
reference the following industry standard into parts 429 and 431:
AHRI Standard 1230, (``AHRI 1230-2021''), ``Performance Rating of
Variable Refrigerant Flow (VRF) Multi-Split Air-Conditioning and Heat
Pump Equipment;'' approved 2021.
ANSI/AHRI 1230-2010, 2010 Standard for Performance Rating of
Variable Refrigerant Flow (VRF) Multi-Split Air-Conditioning and Heat
Pump Equipment,'' approved August 2, 2010 and updated by addendum 1 in
March 2011, (AHRI 1230-2010).
Copies of AHRI 1230-2021 and AHRI 1230-2010 can be obtained from
the Air-Conditioning, Heating, and Refrigeration Institute, 2311 Wilson
Blvd., Suite 400, Arlington, VA 22201 (703) 524-8800, or online at:
www.ahrinet.org/search-standards.aspx.
DOE proposes to amend the previously approved incorporation by
reference for the following industry standard in part 431:
ANSI/American Society of Heating, Refrigerating and Air-
Conditioning Engineers (ASHRAE) Standard 37-2009, ``Methods of Testing
for Rating Electrically Driven Unitary Air-Conditioning and Heat Pump
Equipment,'' ASHRAE approved June 24, 2009.
Copies of ANSI/ASHRAE 37-2009 can be obtained from the American
National Standards Institute, 25 W 43rd Street, 4th Floor, New York, NY
10036, (212) 642-4800, or online at: webstore.ansi.org/.
See section IV.M of this document for a further discussion of these
standards.
Table of Contents
I. Authority and Background
A. Authority
B. Background
II. Synopsis of the Notice of Proposed Rulemaking
III. Discussion
A. Scope of Applicability
B. General Comments
[[Page 70645]]
C. Proposed Organization of the VRF Multi-Split System Test
Procedure
D. Industry Standards
1. Updates to AHRI 1230
2. ASHRAE 37
E. Metrics
1. IEER
2. Test Conditions Used for Efficiency Metrics
F. Test Method
1. Setting Indoor Airflow and External Static Pressure
2. Condenser Head Pressure Controls
3. Indoor Unit Operation During Part-Load Tests
4. Transient Testing: Oil Recovery Mode
5. Secondary Methods for Capacity Measurement
6. Heat Recovery
G. Specific Components
H. Controls Verification Procedure
1. Background
2. Purpose and Description
3. Critical Parameter Definition
4. Critical Parameter Variation and Budget Method
5. Validation of Certified Critical Parameters
6. Determination of Alternate Critical Parameters
7. When the CVP Is Conducted
I. Allowable Critical Parameter Adjustment
1. Adjustment of Certified Critical Parameter Values
2. Adjustment of Alternate Critical Parameter Values
J. Certification, Compliance and Enforcement
1. Represented Values
2. Certification Reporting Requirements
3. Models Required for AEDM Validation
4. Manufacturer Involvement
5. Certified Critical Parameter Operational Settings
6. Enforcement Sampling Plan
K. Test Procedure Costs
L. Reserved Appendices for Test Procedures for Commercial Air
Conditioning and Heating Equipment
M. Compliance Date
IV. Procedural Issues and Regulatory Review
A. Review Under Executive Order 12866
B. Review Under the Regulatory Flexibility Act
C. Review Under the Paperwork Reduction Act of 1995
D. Review Under the National Environmental Policy Act of 1969
E. Review Under Executive Order 13132
F. Review Under Executive Order 12988
G. Review Under the Unfunded Mandates Reform Act of 1995
H. Review Under the Treasury and General Government
Appropriations Act, 1999
I. Review Under Executive Order 12630
J. Review Under Treasury and General Government Appropriations
Act, 2001
K. Review Under Executive Order 13211
L. Review Under Section 32 of the Federal Energy Administration
Act of 1974
M. Description of Materials Incorporated by Reference
V. Public Participation
A. Participation in the Webinar
B. Procedure for Submitting Prepared General Statements for
Distribution
C. Conduct of the Webinar
D. Submission of Comments
E. Issues on Which DOE Seeks Comment
VI. Approval of the Office of the Secretary
I. Authority and Background
Commercial package air conditioning and heating equipment is
included in the list of ``covered equipment'' for which DOE is
authorized to establish and amend energy conservation standards and
test procedures. (42 U.S.C. 6311(1)(B) through (D)) Commercial package
air conditioning and heating equipment includes variable refrigerant
flow multi-split air conditioners and heat pumps (``VRF multi-split
systems''). DOE's energy conservation standards and test procedure for
VRF multi-split systems are currently prescribed at 10 CFR 431.97 and
10 CFR 431.96, respectively. The following sections discuss DOE's
authority to establish the test procedure for VRF multi-split systems
and relevant background information regarding DOE's consideration of
the test procedure for this equipment.
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 C \2\ of EPCA, Public Law 94-163 (42 U.S.C. 6311-
6317, as codified), added by Public Law 95-619, Title IV, section
441(a), established the Energy Conservation Program for Certain
Industrial Equipment, which sets forth a variety of provisions designed
to improve energy efficiency. This equipment includes small, large, and
very large commercial package air conditioning and heating equipment,
which includes VRF multi-split systems, the subject of this NOPR. (42
U.S.C. 6311(1)(B)-(D))
---------------------------------------------------------------------------
\1\ All references to EPCA in this document refer to the statute
as amended through the Energy Act of 2020, Public Law 116-260 (Dec.
27, 2020).
\2\ For editorial reasons, upon codification in the U.S. Code,
Part C was redesignated Part A-1.
---------------------------------------------------------------------------
The energy conservation program under EPCA consists essentially of
four parts: (1) Testing, (2) labeling, (3) Federal energy conservation
standards, and (4) certification and enforcement procedures. Relevant
provisions of EPCA include definitions (42 U.S.C. 6311), energy
conservation standards (42 U.S.C. 6313), test procedures (42 U.S.C.
6314), labeling provisions (42 U.S.C. 6315), and the authority to
require information and reports from manufacturers (42 U.S.C. 6316).
The Federal testing requirements consist of test procedures that
manufacturers of covered equipment must use as the basis for: (1)
Certifying to DOE that their equipment complies with the applicable
energy conservation standards adopted pursuant to EPCA (42 U.S.C.
6316(b); 42 U.S.C. 6296), and (2) making representations about the
efficiency of that equipment (42 U.S.C. 6314(d)). Similarly, DOE uses
these test procedures to determine whether the equipment complies with
relevant standards promulgated under EPCA.
Federal energy efficiency requirements for covered equipment
established under EPCA generally supersede State laws and regulations
concerning energy conservation testing, labeling, and standards. (42
U.S.C 6316(a) and (b); 42 U.S.C 6297) DOE may, however, grant waivers
of Federal preemption for particular state laws or regulations, in
accordance with the procedures and other provisions of EPCA. (42 U.S.C.
6316(b)(2)(D))
Under 42 U.S.C. 6314, EPCA sets forth the criteria and procedures
DOE must follow when prescribing or amending test procedures for
covered equipment. EPCA requires that any test procedures prescribed or
amended under this section must be reasonably designed to produce test
results which reflect energy efficiency, energy use or estimated annual
operating cost of a given type of covered equipment during a
representative average use cycle and requires that test procedures not
be unduly burdensome to conduct. (42 U.S.C 6314(a)(2))
With respect to VRF multi-split systems, EPCA requires that the
test procedures shall be those generally accepted industry testing
procedures or rating procedures developed or recognized by the Air-
Conditioning, Heating, and Refrigeration Institute (``AHRI'') or the
American Society of Heating, Refrigerating, and Air-Conditioning
Engineers (``ASHRAE''), as referenced in ASHRAE/IES Standard 90.1,
``Energy Standard for Buildings Except Low-Rise Residential Buildings''
(``ASHRAE Standard 90.1''). (42 U.S.C 6314(a)(4)(A)) Further, if such
an industry test procedure is amended, DOE must amend its test
procedure to be consistent with the amended industry test procedure
unless it determines, by a rule published in the Federal Register and
supported by clear and convincing evidence, that the amended test
procedure would be unduly burdensome to conduct or would not produce
test results that reflect the energy efficiency, energy use, and
estimated operating costs of that equipment during a representative
average use cycle. (42 U.S.C. 6314(a)(4)(B))
[[Page 70646]]
EPCA also requires that, at least once every 7 years, DOE evaluate
test procedures for each type of covered equipment, including VRF
multi-split systems, to determine whether amended test procedures would
more accurately or fully comply with the requirements for the test
procedures to not be unduly burdensome to conduct and be reasonably
designed to produce test results that reflect energy efficiency, energy
use, and estimated operating costs during a representative average use
cycle. (42 U.S.C 6314(a)(1))
In addition, if the Secretary determines that a test procedure
amendment is warranted, the Secretary must publish proposed test
procedures in the Federal Register, and afford interested persons an
opportunity (of not less than 45 days duration) to present oral and
written data, views, and arguments on the proposed test procedures. (42
U.S.C 6314(b)) If DOE determines that test procedure revisions are not
appropriate, DOE must publish in the Federal Register its determination
not to amend the test procedures. (42 U.S.C. 6314(a)(1)(A)(ii))
DOE is proposing amendments to the test procedures for VRF multi-
split systems in satisfaction of its statutory obligations under EPCA.
B. Background
DOE's existing test procedure for VRF multi-split systems appears
at 10 CFR 431.96 (``Uniform test method for the measurement of energy
efficiency of commercial air conditioners and heat pumps''). The
Federal test procedure for VRF multi-split systems was last amended in
a final rule for standards and test procedures for certain commercial
heating, air conditioning, and water heating equipment published on May
16, 2012 (``May 2012 Final Rule''). 77 FR 28928. With regard to VRF
multi-split systems, the May 2012 Final Rule adopted the test procedure
American National Standards Institute (``ANSI'')/AHRI Standard 1230-
2010 ``2010 Standard for Performance Rating of Variable Refrigerant
Flow (VRF) Multi-Split Air-Conditioning and Heat Pump Equipment,''
approved August 2, 2010 and updated by Addendum 1 in March 2011
(``ANSI/AHRI 1230-2010''). 77 FR 28928, 28945-28946; see 10 CFR 431.96,
Table 1. Specifically, the DOE test procedure for VRF multi-split
systems was modified to reference ANSI/AHRI 1230-2010 with Addendum 1,
but omitting sections 5.1.2 and 6.6. 77 FR 28928, 28990-28991. The May
2012 Final Rule also adopted additional requirements, listed in 10 CFR
431.96(c)-(f), for measuring the energy efficiency ratio (``EER'') and
coefficient of performance (``COP'') for air-cooled VRF multi-split
systems with a cooling capacity between 65,000 Btu/h and 760,000 Btu/h
and water-source VRF multi-split systems with a cooling capacity less
than 760,000 Btu/h. Id. These additional requirements specify
provisions for equipment set-up and provide for limited involvement of
manufacturer representatives during testing. 77 FR 28928, 28991.
In 2016,\3\ ASHRAE Standard 90.1 was updated, but the 2016 update
did not make changes to the test procedure references in ASHRAE
Standard 90.1-2013 for VRF multi-split systems. On July 25, 2017, DOE
published a request for information (``RFI'') (``July 2017 ASHRAE TP
RFI'') to collect information and data to consider amendments to DOE's
test procedures for commercial package air conditioning and heating
equipment with the test procedure updates included in ASHRAE Standard
90.1-2016. 82 FR 34427. As part of the July 2017 ASHRAE TP RFI DOE
requested comment on the VRF multi-split systems test procedure, under
the 7-year lookback requirement. 82 FR 34427, 34429. DOE identified
several issues that might have warranted modifications to the
applicable VRF multi-split systems test procedure, in particular
concerning incorporation by reference of the most recent version of the
relevant industry standard(s); efficiency metrics and calculations; and
clarification of test methods. 82 FR 34427, 34427.
---------------------------------------------------------------------------
\3\ No publication date is printed on ASHRAE Standard 90.1-2016,
but ASHRAE issued a press release on October 26, 2016, which is
available at www.ashrae.org/news/2016/ashrae-ies-publish-2016-energy-efficiency-standard. Last accessed April 30, 2021.
---------------------------------------------------------------------------
DOE received a number of comments regarding VRF multi-split systems
from interested parties in response to the July 2017 ASHRAE TP RFI,
which covered multiple categories of equipment. Table I-1 lists the
commenters that provided comments relevant to VRF multi-split systems,
along with each commenter's abbreviated name used throughout this NOPR.
Discussion of the relevant comments, and DOE's responses, are provided
in the appropriate sections of this document.
Table I-1--Interested Parties Providing Comment on VRF Multi-Split
Systems in Response to the July 2017 ASHRAE TP RFI
------------------------------------------------------------------------
Name Abbreviation Type
------------------------------------------------------------------------
Air-Conditioning, Heating, and AHRI................. IR.
Refrigeration Institute.
Appliance Standards Awareness Joint Advocates...... EA.
Project, Alliance to Save Energy,
American Council for an Energy-
Efficient Economy, Northwest
Energy Efficiency Alliance, and
Northwest Power and Conservation
Council.
Carrier Corporation, part of United Carrier.............. M.
Technologies Climate, Controls &
Security Business.
Goodman Global, Inc................ Goodman.............. M.
Trane Technologies................. Trane................ M.
Lennox International Inc........... Lennox............... M.
Mitsubishi Electric Cooling & Mitsubishi........... M.
Heating, a division of Mitsubishi
Electric US, Inc.
National Comfort Institute......... NCI.................. IR.
Pacific Gas and Electric Company, CA IOUs.............. U.
Southern California Gas Company,
San Diego Gas and Electric, and
Southern California Edison
(collectively, California Investor-
Owned Utilities).
------------------------------------------------------------------------
EA: Efficiency/Environmental Advocate; IR: Industry Representative; M:
Manufacturer; U: Utility.
[[Page 70647]]
A parenthetical reference at the end of a comment quotation or
paraphrase provides the location of the item in the public record.\4\
In September 2017, AHRI published an update to ANSI/AHRI 1230,
i.e., ANSI/AHRI 1230-2014 with Addendum 1 (although published in 2017,
the update uses a 2014 designation).
On April 11, 2018, DOE published in the Federal Register a notice
of its intent to establish a negotiated rulemaking working group
(``Working Group'') under the Appliance Standards and Rulemaking
Federal Advisory Committee (``ASRAC''), in accordance with the Federal
Advisory Committee Act \5\ and the Negotiated Rulemaking Act,\6\ to
negotiate the proposed test procedure and amended energy conservation
standards for VRF multi-split systems. 83 FR 15514. The purpose of the
Working Group was to discuss and, if possible, reach consensus on a
proposed rule regarding the test procedure and energy conservation
standards for VRF multi-split systems, as authorized by EPCA. Id. at 83
FR 15514.
---------------------------------------------------------------------------
\4\ The parenthetical reference provides a reference for
information located in a docket related to DOE's rulemaking to
develop test procedure for VRF multi-split systems. As noted, the
July 2017 ASHRAE TP RFI addressed multiple different equipment
categories and is available under docket number EERE-2017-BT-TP-
0018. As this NOPR addresses only VRF multi-split systems, it has
been assigned a separate docket number i.e., EERE-2021-BT-TP-0019).
The references are arranged as follows: (Commenter name, comment
docket ID number, page of that document).
\5\ 5 U.S.C. App. 2, Public Law 92-463.
\6\ 5 U.S.C. 561-570, Public Law 104-320.
---------------------------------------------------------------------------
The Working Group comprised 21 voting members including
manufacturers, energy efficiency advocates, utilities, and trade
organizations.\7\ On October 1, 2019, the Working Group reached
consensus on a term sheet (``VRF TP Term Sheet'') that includes the
following recommendations, which highlight the most substantial
changes: (Docket No. EERE-2018-BT-STD-0003-0044)
---------------------------------------------------------------------------
\7\ A complete list of the ASRAC VRF Working Group members is
available at: www.energy.gov/eere/buildings/appliance-standards-and-rulemaking-federal-advisory-committee#Variable%20Refrigerant%20Flow%20Multi-Split%20Air%20Conditioners%20and%20Heat%20Pumps%20Working%20Group.
1. VRF multi-split systems should be rated with the Integrated
Energy Efficiency Ratio (``IEER'') metric to allow consumers to make
consistent comparisons with rooftop air conditioner ratings.
2. The amended test procedure should not be required until the
compliance date of amended energy conservation standards.
3. The Federal test procedure for VRF multi-split systems should
be consistent with the September 20, 2019 draft version of AHRI
1230, with additional amendments to be implemented after the
conclusion of ASRAC negotiations.
(Id at pp. 1, 3)
The additional recommended amendments are discussed further in
section III of this NOPR.
On May 18, 2021, AHRI published an updated industry standard for
VRF multi-split systems AHRI Standard 1230, ``2021 Standard for
Performance Rating of Variable Refrigerant Flow (VRF) Multi-Split Air-
Conditioning and Heat Pump Equipment'' (``AHRI Standard 1230-2021''),
which in turn references ANSI/ASHRAE Standard 37-2009 (including Errata
Sheet issued October 3, 2016) ``Methods of Testing for Rating
Electrically Driven Unitary Air-Conditioning and Heat Pump Equipment''
(``ANSI/ASHRAE 37-2009'') for additional test setup and methodology
specifications. AHRI standard 1230-2021 is discussed in further detail
in section III.D.1 of this NOPR.
II. Synopsis of the Notice of Proposed Rulemaking
In this NOPR, DOE proposes to update Sec. 431.96, ``Uniform test
method for the measurement of energy efficiency of commercial air
conditioners and heat pumps,'' to align the relevant references to the
most recent version of the industry test procedure as follows: (1)
Incorporate by reference AHRI 1230-2021 and ANSI/ASHRAE 37-2009
(including Errata Sheet issued October 3, 2016); and (2) establish
provisions for determining IEER for VRF multi-split systems. DOE
further proposes to add new appendices D and D1 to subpart F of part
431, both entitled ``Uniform test method for measuring the energy
consumption of variable refrigerant flow multi-split air conditioners
and heat pumps (other than air-cooled with rated cooling capacity less
than 65,000 Btu/h),'' (``appendix D'' and ``appendix D1'',
respectively). The current DOE test procedure for VRF multi-split
systems would be relocated to appendix D without change, and the new
test procedure adopting AHRI 1230-2021 would be established in appendix
D1 for determining IEER. Compliance with appendix D1 would not be
required until such time as compliance is required with amended energy
conservation standards for VRF multi-split systems that rely on IEER,
should DOE adopt such standards.
In this NOPR, DOE also proposes to update its certification,
compliance, and enforcement (``CCE'') provisions for VRF multi-split
systems, to provide information that is necessary for testing VRF
multi-split systems consistent with the updated industry test procedure
AHRI 1230-2021. Most significantly, these proposed changes include the
incorporation of the controls verification procedure (``CVP'') from
AHRI 1230-2021 into DOE's product-specific enforcement provisions at 10
CFR 429.134, as well as accompanying certification requirements at 10
CFR 429.43. DOE is also proposing to amend the sampling size
requirements for enforcement from a maximum sample size of not more
than four units to require testing of two units.
DOE's proposed actions are summarized in Table II-1 and addressed
in detail in section III of this document.
Table II-1--Summary of Changes in Proposed Test Procedure Relative to
Current Test Procedure
------------------------------------------------------------------------
Proposed test
Current DOE test procedure procedure Attribution
------------------------------------------------------------------------
Incorporates by reference ANSI/ Incorporates by Updates to the
AHRI 1230-2010. reference in a new applicable
Appendix D1 AHRI 1230- industry test
2021 and ANSI/ASHRAE procedures.
37-2009 (including
Errata Sheet issued
October 3, 2016).
Includes provisions for Includes provisions Updates to the
determining EER. for determining both applicable
EER and IEER. industry test
procedures.
Does not include VRF-specific Includes provisions in Establish VRF-
provisions for determination 10 CFR 429.43 specific
of represented values in 10 specific to VRF multi- provision for
CFR 429.43. split systems to determination
determine represented of represented
values for units values.
approved for use with
multiple
refrigerants, and
determine represented
values for different
indoor unit
combinations.
[[Page 70648]]
Includes certification Adopts reporting Establish
requirements in 10 CFR 429.43 requirements reporting
consistent with testing to consistent with new requirements
EER per AHRI 1230-2010. test requirements of consistent with
AHRI 1230-2021, updated
including tested industry test
combination, method.
certified critical
parameter values, and
instructions for
conducting the
controls verification
procedure (``CVP'').
Does not include VRF-specific Adopts product- Establish
enforcement provisions in 10 specific enforcement provisions for
CFR 429.134. provisions for VRF DOE testing of
multi-split systems VRF multi-split
including: systems.
Verification of
cooling capacity,
configuration of unit
under test,
manufacturer
involvement in
assessment or
enforcement testing,
provisions for when
DOE would conduct a
CVP, and how CVP
results would affect
critical parameters
used in IEER
enforcement testing
by DOE.
Does not provide VRF-specific Specifies VRF-specific Establish AEDM
instruction for validating AEDM validation instructions
alternative methods for criteria that are specific to VRF
determining energy efficiency dependent on indoor multi-split
and energy use (``AEDM'') at unit combinations systems.
10 CFR 429.70. offered by the
manufacturer.
Requires selection of not more Specifies an Establish VRF-
than 4 samples for DOE enforcement testing specific
enforcement testing following sample size of 2 provision for
the sampling plan in 10 CFR units, with enforcement
429.110. compliance based on sampling plan.
the arithmetic mean
of the sample.
------------------------------------------------------------------------
DOE has tentatively determined that the proposed amendments
described in section III of this NOPR regarding the establishment of
appendix D would not alter the measured efficiency of VRF multi-split
systems, or require retesting solely as a result of DOE's adoption of
the proposed amendments to the test procedure, if made final. DOE has
tentatively determined that the proposed amendments regarding the test
procedure in proposed appendix D1 would alter measured efficiency if
made final and that such amendments are consistent with the updated
industry test procedure. Further, use of the updated industry test
procedure provisions as proposed and the proposed amendments to
representation requirements in 10 CFR 429.43 and 10 CFR 429.70 would
not be required until the compliance date of amended standards in terms
of IEER. Additionally, DOE has tentatively determined that the proposed
amendments, if made final, would not increase the cost of testing
relative to the updated industry test procedure. Discussion of DOE's
proposed actions are addressed in detail in section III of this NOPR.
III. Discussion
DOE's test procedure for VRF multi-split systems is set forth at
Sec. 431.96. DOE's current regulations require that manufacturers test
VRF multi-split systems using ANSI/AHRI 1230-2010 with Addendum 1,
except for Sections 5.1.2 and 6.6. See Table 1 at 10 CFR 431.96. DOE's
current test procedure also requires that manufacturers adhere to
certain additional requirements listed in 10 CFR 431.96(c) through (f),
which specify additional provisions for equipment set-up and provide
for limited involvement of manufacturer representatives during testing.
In the following sections, DOE discusses in detail relevant test
procedure issues and proposes changes to the current DOE test procedure
for VRF multi-split systems. DOE is generally proposing amendments such
that the Federal test procedure is consistent with AHRI 1230-2021 and
changes to the current certification, compliance and enforcement
(``CCE'') regulations for VRF multi-split systems, also consistent with
the updated industry test standard.
A. Scope of Applicability
This rulemaking applies to variable refrigerant flow multi-split
air conditioners and heat pumps. DOE defines variable refrigerant flow
multi-split air conditioners and heat pumps as units of commercial
package air conditioning and heating equipment that are configured as a
split system air conditioner or heat pump incorporating a single
refrigerant circuit, with one or more outdoor units, at least one
variable-speed compressor or an alternate compressor combination for
varying the capacity of the system by three or more steps, and multiple
indoor fan coil units, each of which is individually metered and
individually controlled by an integral control device and common
communications network and which can operate independently in response
to multiple indoor thermostats. 10 CFR 431.92. Variable refrigerant
flow implies three or more steps of capacity control on common, inter-
connecting piping. 10 CFR 431.92. VRF multi-split heat pumps use
reverse cycle refrigeration as its primary heating source and may
include second supplemental heating by means of electrical resistance,
steam, hot water, or gas. Id.
DOE is not proposing to amend the current scope of the Federal test
procedure for VRF multi-split systems. DOE's test procedure regulations
for commercial air conditioners and heat pumps at 10 CFR 431.96 include
test procedures that apply to air-cooled VRF multi-split air
conditioners, air-cooled VRF multi-split heat pumps, and water-source
VRF multi-split heat pumps,\8\ all with cooling capacity less than
760,000 Btu/h. Table 1 of 10 CFR 431.96. Single-phase, air-cooled VRF
multi-split air conditioners and heat pumps with cooling capacity less
than 65,000 Btu/h are subject to DOE's consumer product regulations for
central air conditioners, and test procedures for these products are
specified in appendices M and M1 to subpart B of 10 CFR part 430. Test
procedures for three-phase, air-cooled VRF multi-split systems with
cooling capacity less than 65,000 Btu/h are not addressed in this NOPR
and will instead be addressed in a separate test procedure rulemaking
for air-cooled, three-phase, small commercial package air conditioning
and heating equipment with a cooling capacity of less than 65,000 Btu/
h.
---------------------------------------------------------------------------
\8\ The EPCA definition for ``commercial package air
conditioning and heating equipment'' specifically excludes ground
water source equipment. (42 U.S.C. 6311(8)(A)).
---------------------------------------------------------------------------
B. General Comments
In response to the July 2017 ASHRAE TP RFI, DOE received several
general
[[Page 70649]]
comments not specific to any one equipment category or test procedure.
This section addresses those comments.
NCI recommended that DOE follow the development of ASHRAE 221P,
``Test Method to Measure and Score the Operating Performance of an
Installed Constant Volume Unitary HVAC System,'' and consider where it
may be appropriately applied within EPCA test procedures. (NCI, No. 4
at pp. 1-2) NCI stated that it has collected data indicating that
typical split systems and packaged units serving residential and small
commercial buildings typically deliver 50 percent to 60 percent of the
rated capacity to the occupied zone, thereby making laboratory tests
unrepresentative of field performance. Id.
DOE notes that ASHRAE Standard 90.1 does not reference ANSI/ASHRAE
Standard 221-2020, ``Test Method to Field-Measure and Score the Cooling
and Heating Performance of an Installed Unitary HVAC System'' \9\ as
the applicable test procedure for VRF multi-split systems. NCI also did
not provide data on field performance or any correlations between field
performance and laboratory test performance for VRF multi-split systems
for DOE to consider. Furthermore, ASHRAE 221-2020 does not provide a
method to determine the efficiency of VRF multi-split systems. As
discussed, DOE is proposing to incorporate by reference AHRI 1230-2021,
the most recently published version of the industry test procedure
recognized by ASHRAE Standard 90.1 for VRF multi-split systems.
---------------------------------------------------------------------------
\9\ Available at https://webstore.ansi.org/Standards/ASHRAE/ANSIASHRAEStandard2212020.
---------------------------------------------------------------------------
The CA IOUs commented that while the July 2017 ASHRAE TP RFI
expressed interest in reducing burden to manufacturers, DOE already
took steps to reduce this burden by allowing alternative energy
efficiency or energy use determination methods (``AEDMs''). (CA IOUs,
No. 7 at pp. 1-2). The CA IOUs stated that there are no further
opportunities to streamline test procedures to limit testing burden.
Id. at 2. Additionally, the CA IOUs emphasized the importance of
accurate efficiency ratings for its incentive programs and customer
knowledge, referencing the statutory provision that test procedures
must produce results that are representative of the product's energy
efficiency. Id.
Lennox stated that it generally supports DOE meeting the statutory
requirements to design test procedures to measure energy efficiency
during an average use cycle, but requested that DOE also consider
overall impacts to consumers and manufacturers. (Lennox, No. 8 at pp.
1-2) Lennox also stated that, in commercial applications, predicting
actual energy use from a single metric is difficult, and such a metric
better serves as a point of comparison. Id. Lennox suggested that DOE
strike a balance between evaluating equipment in a meaningful way
without introducing unwarranted regulatory burden from overly complex
test procedures or calculations that provide little value to consumers.
Id.
In response to the CA IOUs and Lennox, DOE notes that its approach
to test procedures is governed by EPCA's requirements. As discussed,
EPCA prescribes that the test procedures for commercial package air
conditioning and heating equipment must be those generally accepted
industry testing procedures or rating procedures developed or
recognized by industry as referenced in ASHRAE Standard 90.1. (42
U.S.C. 6314(a)(4)(A)) If such an industry test procedure is amended,
DOE must update its test procedure to be consistent with the amended
industry test procedure, unless DOE determines by a rule published in
the Federal Register and supported by clear and convincing evidence
that the amended test procedure would not meet the requirements in 42
U.S.C. 6314(a)(2) and (3) related to representative use and test
burden. (42 U.S.C. 6314(a)(4)(B) and (C)) In establishing or amending
its test procedures, DOE must develop test procedures that are
reasonably designed to produce test results which reflect energy
efficiency, energy use, and estimated operating costs of a type of
industrial equipment during a representative average use cycle and that
are not unduly burdensome to conduct. (42 U.S.C 6314(a)(2)) DOE's
considerations of these requirements in relation to individual test
method issues are discussed within the relevant sections of this NOPR.
The Joint Advocates stated that there a number of ambiguities in
industry test procedures and that DOE should address these ambiguities
in order to provide a level playing field for manufacturers and to
ensure that any verification or enforcement testing is consistent with
the manufacturer's own testing. (Joint Advocates, No. 9 at p. 2)
DOE has evaluated the industry test standard in the context of the
statutory criteria regarding representativeness of the measured energy
efficiency and test burden. To the extent there are provisions in the
relevant industry test procedure that may benefit from further detail,
such provisions are discussed in the previous sections of this
document.
C. Proposed Organization of the VRF Multi-Split System Test Procedure
DOE is proposing to relocate and centralize the current test
procedure for VRF multi-split systems to a new appendix D to subpart F
of part 431. As proposed, appendix D would not amend the current test
procedure. The test procedure as provided in proposed appendix D would
continue to reference ANSI/AHRI 1230-2010 with Addendum 1 and provide
for determining EER and COP. The proposed appendix D would centralize
the additional test provisions currently applicable under 10 CFR
431.96, i.e., optional break-in period for tests conducted using AHRI
1230-2010 (10 CFR 431.96(c)); refrigerant line length corrections for
tests conducted using AHRI 1230-2010 (10 CFR 431.96(d); additional
provisions for equipment set-up (10 CFR 431.96(e); and manufacturer
involvement in assessment or enforcement testing for variable
refrigerant flow systems (10 CFR 431.96(f)). As proposed, VRF multi-
split systems would be required to be tested according to appendix D
until such time as compliance is required with an amended energy
conservation standard that relies on the IEER metric, should DOE adopt
such a standard.
Pursuant to EPCA, DOE is also proposing to amend the test procedure
for VRF multi-split systems by adopting AHRI 1230-2021 in a new
appendix D1 to subpart F of part 431. DOE proposes to adopt the updated
version of AHRI 1230, including the IEER metric, as discussed in the
following sections. As proposed, VRF multi-split systems would not be
required to test according to the test procedure in proposed appendix
D1 until such time as compliance is required with an amended energy
conservation standard that relies on the IEER metric, should DOE adopt
such a standard.
D. Industry Standards
1. Updates to AHRI 1230
As discussed, DOE's current test procedure for VRF multi-split
systems incorporates by reference ANSI/AHRI 1230-2010, excluding
Sections 5.1.2 and 6.6. See Table 1 at 10 CFR 431.96. In September
2017, AHRI published an updated version of AHRI Standard 1230--AHRI
Standard 1230-2014 with Addendum 1 ``2014 Standard for Performance
Rating of Variable Refrigerant Flow (VRF) Multi-Split Air-Conditioning
and Heat Pump Equipment'' (AHRI 1230-2014 with Addendum 1). Based on a
comparison of the 2014 version and ANSI/AHRI 1230-2010, the edits
changed the scope of the VRF certification program and
[[Page 70650]]
VRF-specific definitions, and added appendices for unit configuration
for capacity above 65,000 Btu/h and development of supplemental testing
instructions. DOE tentatively concludes that the changes in the 2014
version do not substantively affect testing for EER (the current
Federal metric). Therefore, DOE has tentatively determined that its
current test procedure, which references ANSI/AHRI 1230-2010, is
consistent with AHRI 1230-2014 with Addendum 1.
As discussed in section I.B, the VRF TP Term Sheet recommended that
DOE adopt the 2019 draft version of AHRI 1230, but with several
additional changes to be implemented, including:
A hierarchy of instructions for how to set up the unit
under test, and a clarification that ``as-shipped'' settings should be
used as a last resort when instructions are not provided in the
supplemental testing instructions (``STI'') and/or the manufacturer's
installation instructions (``MII'').
Equations and example calculations of adjustments to
measured results for steady-state tests if sensible heat ratio
(``SHR'') \10\ limits are not met at the 100 percent full load and/or
75 percent part load cooling test points.
---------------------------------------------------------------------------
\10\ Cooling load is composed of both sensible and latent
portions. The sensible load is the energy required to reduce the
temperature of the incoming air, without any phase change. The
latent load is the energy required to change the moisture in the air
from water vapor into a liquid phase as it condenses on the cooling
coil. Sensible heat ratio is a ratio of the sensible cooling
capacity to the total cooling capacity at a given test condition.
---------------------------------------------------------------------------
Further definition of the draft CVP, including definition
of time periods for determining critical parameter validation and
allowable critical parameter tolerances using manufacturer-provided
data. (Docket No. EERE-2018-BT-STD-0003-0044 at p. 2)
After the VRF ASRAC Working Group meetings in 2019, DOE provided
technical support in an AHRI 1230 Technical Committee to address the
outstanding items identified in the VRF TP Term Sheet. On the last
item--determining critical parameter tolerances--DOE compiled
anonymized, aggregated test data to share with the committee. In a
presentation to the AHRI 1230 Technical Committee on September 10,
2020, DOE shared data on the variability of critical parameter results
as measured during different CVP runs, as well as data on how the
measured IEER changed in response to changes in critical parameters.
(EERE-2018-BT-STD-0003-0063) DOE presented options that could be
considered to express the maximum allowable variation in critical
parameters as a ``budget'' (see section III.H.4 of this NOPR for
description of the critical parameter budget method). The AHRI 1230
Technical Committee incorporated a budget of 70 points (a measure of
critical parameter variation, as discussed in section III.H.4 of this
NOPR) in AHRI 1230.
Following the completion of the AHRI 1230 Technical Committee
meetings, in May 2021, AHRI published AHRI 1230-2021, which supersedes
AHRI 1230-2014 with Addendum 1. The 2019 draft considered by the
Working Group incorporated preliminary versions of the CVP, provided
example calculations for IEER, and added other new provisions to
clarify how the test procedure should be conducted. The changes
recommended in the VRF TP Term Sheet were incorporated into AHRI 1230-
2021. The following list includes substantive changes in AHRI 1230-2021
as compared to AHRI 1230-2010 currently used for certification:
1. Air-cooled VRF multi-split systems with cooling capacity less
than 65,000 Btu/h were removed from the scope of the industry test
standard. These systems are addressed by AHRI 210/240-2023
``Performance Rating of Unitary Air-conditioning & Air-source Heat Pump
Equipment.''
2. Maximum SHR limits of 0.82 and 0.85 were added for full load and
75 percent part-load conditions, respectively.
3. A CVP was added that verifies that the values certified in the
STI for setting critical parameters during steady-state testing are
within the range of critical parameters that would be used by the
system's native controls at the same conditions. A 70-point budget was
also added as the criteria for critical parameter validation during the
CVP.
4. A hierarchy was added indicating which sources of manufacturer's
instructions to use during testing in the case of conflicting
information among different sources.
5. Provisions were updated for refrigerant piping length
requirements and for the correction factors applied in the case of
excess refrigerant piping length used during testing.
6. For water-source equipment, the maximum water flow rate was
reduced and part-load entering water temperatures were modified.
7. New provisions were added to specify test methods and conditions
for cases in which condenser head pressure controls result in unstable
operation in part-load cooling tests.
8. The provisions for tested combinations, which specify the indoor
unit combination to be used for testing, were updated to remove
``highest sales volume'' requirements and replaced with a specific
hierarchy based on ``indoor unit model family''--e.g., wall-mounted,
compact 4-way ceiling cassette, mid-static ducted.
9. A maximum airflow rate of 55 standard cubic feet per minute
(``scfm'') per 1000 Btu/h was added for non-ducted indoor units, and
the maximum airflow rate was increased for ducted indoor units from
37.5 scfm per 1000 Btu/h to 42 scfm per 1000 Btu/h.
10. Test tolerances for indoor air entering wet-bulb temperatures
were increased. Specifically, the indoor wet-bulb temperature operating
tolerance was increased from 1 [deg]F to 1.8 [deg]F. The indoor wet-
bulb temperature condition tolerance was also increased from 0.30
[deg]F to 0.36 [deg]F. Additionally, the operating tolerance for
external static pressure (``ESP'') for ducted units was changed from
0.05 in H2O to 10 percent of the ESP reading.
11. Appendix D to ANSI/AHRI 1230-2010 with Addendum 1, ``Test
Requirements,'' was amended in ANSI/AHRI 1230-2021 and redesignated as
Appendix E, ``ANSI/ASHRAE Standard 37-2009 Clarifications/Exceptions.''
This appendix provides additional instruction and exceptions to the use
of ANSI/ASHRAE 37-2009.
12. Informative appendices were added that show example
calculations for IEER and the CVP ``budget'' method, which calculates
the variation between measured critical parameter values and STI-
reported critical parameter values.\11\
---------------------------------------------------------------------------
\11\ See section III.H.4 of this NOPR for further discussion of
the CVP budget method.
---------------------------------------------------------------------------
DOE is proposing to adopt the updated version of AHRI 1230,
including the IEER metric, as described further in section III.E of
this NOPR. DOE proposes to incorporate by reference AHRI 1230-2021 in a
new appendix D1 to subpart F of part 431, which would become required
for use starting on the compliance date for any amended energy
conservation standards based on IEER. DOE reviewed AHRI 1230-2021 to
determine whether it meets the requirements of EPCA for incorporation
by reference as part of the Federal test method for determining
compliance with minimum energy conservation standards. DOE has
tentatively determined that the changes in AHRI 1230-2021 better
reflect the field performance of VRF multi-split systems and provide
additional clarification for testing provisions. Specifically, in the
proposed test procedure for VRF multi-split systems in the proposed
appendix D1, DOE is proposing to reference the following
[[Page 70651]]
sections from AHRI 1230-2021: Section 3 (except 3.10), Section 5
(except 5.1.2), Section 6 (except 6.3.3 and 6.5), Section 11, and
Section 12. DOE is also proposing to reference appendix E from AHRI
1230-2021 but is not proposing to reference the other appendices. DOE
proposes to exclude the remaining sections from its test procedure for
VRF multi-split systems because they are either (1) informative
appendices not needed in the DOE test procedure, (2) procedures
specific to the AHRI verification program that are not warranted for a
DOE test procedure, or (3) sections for which DOE is proposing
modifications as discussed in the following sections of this NOPR, and
listed as excepted previously.
2. ASHRAE 37
ANSI/ASHRAE 37-2009, which provides a method of test for many
categories of air conditioning and heating equipment, is referenced for
testing VRF multi-split systems by ANSI/AHRI 1230-2010, ANSI/AHRI 1230-
2014 with Addendum 1, and AHRI 1230-2021. In particular, appendix E of
AHRI 1230-2021 provides additional instruction and exceptions regarding
the application of the test methods specified in ANSI/ASHRAE 37-2009 to
VRF multi-split systems. As stated, ANSI/ASHRAE 37-2009 is referenced
in ANSI/AHRI 1230-2010, which is currently the referenced industry test
standard in the DOE test procedure for VRF multi-split systems. To
reflect the use of ANSI/ASHRAE 37-2009 in conducting testing according
to AHRI 1230-2021, DOE is proposing to incorporate by reference ANSI/
ASHRAE 37-2009 in its test procedure for VRF multi-split systems.
Specifically, in the proposed appendix D1, DOE is proposing to
reference all sections of ANSI/ASHRAE 37-2009 except Sections 1, 2, and
4. Specific issues discussed in the July 2017 ASHRAE TP RFI pertaining
to ANSI/ASHRAE 37-2009, and the related comments, are addressed in
section III.F of this NOPR.
On October 3, 2016, ASHRAE published an errata sheet for ANSI/
ASHRAE 37-2009 that corrected the total heating capacity equations for
the outdoor liquid coil method in section 7.6.5.1 of the test
standard.\12\ Therefore, DOE proposes to incorporate by reference ANSI/
ASHRAE 37-2009 including the Errata sheet published on October 3, 2016
in the proposed appendix D1.
---------------------------------------------------------------------------
\12\ www.ashrae.org/standards-research--technology/standards-errata.
---------------------------------------------------------------------------
E. Metrics
1. IEER
DOE currently prescribes energy conservation standards for air-
cooled VRF multi-split systems with cooling capacity greater than or
equal to 65,000 Btu/h and water-source VRF multi-split heat pumps in
terms of the EER metric for cooling-mode operation and in terms of the
COP metric for heating-mode operation. Both EER and COP capture the
system performance at single, full-load operating points in cooling and
heating mode (i.e., single outdoor air temperatures for air-cooled
systems and single entering water temperatures for water-source
systems). Neither metric provides a seasonal or load-weighted measure
of energy efficiency.
In contrast, the IEER metric factors in the efficiency of operating
at full-load conditions as well as part-load conditions of 75-percent,
50-percent, and 25-percent of full-load capacity. In general, the IEER
metric provides a more representative measure of field performance by
weighting the full-load and part-load efficiencies by the average
amount of time equipment spends operating at each load. The IEER metric
was first introduced into ASHRAE 90.1 for commercial air-cooled, water-
cooled, and evaporatively-cooled air conditioning and heat pump
equipment in the 2008 Supplement to Standard 90.1-2007, effective
January 1, 2010. ASHRAE Standard 90.1-2010 included minimum efficiency
levels in terms of both EER and IEER for air-cooled VRF multi-split
systems. ASHRAE Standard 90.1-2016 added IEER levels for water-source
VRF multi-split heat pump systems, including systems with cooling
capacity less than 65,000 Btu/h, in addition to the specified EER
levels.
On January 15, 2016, DOE published a direct final rule for energy
conservation standards for air-cooled commercial unitary air
conditioners (air-cooled CUACs, or ACUACs), which amended the energy
conservation standards for ACUACs and changed the cooling efficiency
metric from EER to IEER, with compliance required starting January 1,
2018. 81 FR 2420. VRF multi-split systems provide space heating and
cooling to commercial buildings in a similar range of climatic
conditions as ACUACs. In this NOPR, DOE has initially determined that
IEER represents the efficiency of VRF multi-split systems operating in
the field more accurately than EER because cooling loads do not require
operation at full-load for the vast majority of cooling hours.
As discussed in the July 2017 ASHRAE TP RFI, manufacturers already
test and rate VRF multi-split systems using the IEER metric in the AHRI
Directory of Certified Product Performance for VRF multi-split
systems.\13\ 82 FR 34427, 34445. The publication of IEER ratings for
most units on the market and the inclusion of minimum efficiency levels
and test procedures in terms of IEER for VRF multi-split systems in
ASHRAE Standard 90.1 and AHRI Standard 1230 indicates that IEER is an
industry-accepted and widely-used metric for measuring efficiency of
VRF multi-split systems. In the July 2017 ASHRAE TP RFI, DOE requested
comment on any issues it should consider regarding potentially using
IEER as an efficiency metric for air-cooled VRF multi-split systems
with a cooling capacity greater than or equal to 65,000 Btu/h and
water-source VRF multi-split systems. 82 FR 34427, 34445-34446.
---------------------------------------------------------------------------
\13\ The AHRI directory for VRF multi-split systems is available
at: www.ahridirectory.org/NewSearch?programId=72&searchTypeId=3.
---------------------------------------------------------------------------
In response to the July 2017 ASHRAE TP RFI, AHRI, Lennox,
Mitsubishi, Trane, Goodman, Carrier, the CA IOUs, and the Joint
Advocates all supported using an IEER metric for VRF multi-split
systems. (AHRI, No. 11 at p. 31; Lennox, No. 8 at p. 6; Mitsubishi, No.
10 at p. 1; Trane, No. 12 at p. 2; Goodman, No. 14 at p. 5; Carrier,
No. 6 at p. 17; CA IOUs, No. 7 at p. 4; Joint Advocates, No. 9 at p. 6)
AHRI, Goodman, and Carrier further commented that IEER should replace
EER as the Federal metric, and not be used as an additional metric.
(AHRI, No. 11 at p. 31; Goodman, No. 14 at p. 5; Carrier, No. 6 at p.
17) AHRI and Goodman asserted that EPCA requires DOE to establish a
single performance standard or a single design requirement. (AHRI, No.
11 at p. 31; Goodman, No. 14 at p. 5) The Joint Advocates commented
that VRF multi-split systems should be regulated based on both EER and
IEER, while the CA IOUs commented that the IEER metric is appropriate
as a national standard as long as the EER value at each of the test
points is individually published. (Joint Advocates, No. 9 at p. 6; CA
IOUs, No. 7 at p. 4) The Joint Advocates further commented that
regulating based on both EER and IEER would have no impact on test
burden because manufacturers are already rating their equipment for
both. (Joint Advocates, No. 9 at p. 6) CA IOUs also commented that the
highest ambient test point required by DOE's test procedure (95 [deg]F
outdoor air dry-bulb temperature) is not representative of VRF multi-
split systems operating conditions in the hot and dry western climate,
and
[[Page 70652]]
recommended adding a hot-dry condition test point in IEER. (CA IOUs,
No. 7 at p. 4)
During the proceedings of the ASRAC negotiated rulemaking process,
the Working Group discussed the appropriateness of rating VRF equipment
using an IEER metric at the test points prescribed in ANSI/AHRI 1230-
2010. (Docket No. EERE-2018-BT-STD-0003-0051 at pp. 13-14) The Working
Group also discussed the potential for adding new test points to the
IEER metric, including the proposal to add a hot-dry condition test
point for IEER, which was also suggested by the CA IOUs in their
response to the 2017 ASHRAE TP RFI. (EERE-2018-BT-STD-0003-0051; CA
IOUs, No. 7 at p. 4) Ultimately, the Working Group did not adopt a hot-
dry condition test point in its recommendations. The VRF TP Term Sheet
states that VRF multi-split systems should be rated with the IEER
metric to allow consumers to make consistent comparisons with other
products using the IEER metric. (Docket No. EERE-2018-BT-STD-0003-0044
at p. 1) Additionally, during a presentation delivered by DOE at the
September 20, 2019 Working Group meeting, AHRI indicated that they
would submit a letter to the docket stating that the AHRI certification
program would continue to use both EER and IEER cooling metrics for VRF
multi-split systems. (Docket No. EERE-2018-BT-STD-0003-0052 at p. 72).
In this NOPR, DOE is proposing to adopt the relevant provisions in
AHRI 1230-2021 to determine IEER for VRF multi-split systems. As noted,
the energy conservation standards for VRF multi-split systems are in
terms of EER. Testing according to the DOE test procedure to determine
EER would continue to be required until such time as the energy
conservation standards are amended to rely on IEER, should DOE adopt
such changes to the standards. Requiring both EER and IEER would result
in multiple standards applicable to the cooling function of a VRF
multi-split systems. However, EPCA directs DOE to establish an amended
uniform national standard for the relevant ASHRAE equipment at the
minimum level specified in the amended ASHRAE/IES Standard 90.1. (42
U.S.C. 6313(a)(6)(A)(ii)(I)) EPCA's use of ``uniform national
standard'' and ``minimum level'' appears to prohibit DOE from
establishing more than one standard applicable to the cooling function
of a VRF multi-split system. Id.
Based on the discussion in the preceding paragraphs, DOE initially
finds, that pursuant to 42 U.S.C. 6314(a)(4)(B)), there is a lack of
clear and convincing evidence to establish a test procedure for IEER
other than as specified in AHRI 1230-2021.
Consistent with DOE's proposal to adopt IEER in its test procedure
for VRF m
