Energy Conservation Program: Test Procedure for VRF Multi-Split Systems, 63860-63901 [2022-22511]
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Federal Register / Vol. 87, No. 202 / Thursday, October 20, 2022 / Rules and Regulations
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: Final rule.
AGENCY:
This final rule amends the
test procedure for variable refrigerant
flow (‘‘VRF’’) multi-split air
conditioners and heat pumps (‘‘VRF
multi-split systems’’) to incorporate by
reference the latest version of the
applicable industry test standard. This
final rule also adopts the integrated
energy efficiency ratio metric in its test
procedures for VRF multi-split systems.
Additionally, this final rule adopts
provisions in the updated industry test
procedure relevant to certification and
enforcement, including a controls
verification procedure.
DATES: The effective date of this rule is
November 21, 2022. The final rule
changes will be mandatory for VRF
multi-split systems equipment testing
October 16, 2023. The incorporation by
reference of certain publications listed
in this rule is approved by the Director
of the Federal Register on November 21,
2022. The incorporation by reference of
certain other publications listed in this
rule was approved by the Director of the
Federal Register as of July 30, 2015, and
July 16, 2012.
ADDRESSES: The docket, which includes
Federal Register notices, public meeting
webinar attendee lists and transcripts,
comments, and other supporting
documents/materials, is available for
review at 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.
A link to 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.
For further information on how to
review the docket, contact the
Appliance and Equipment Standards
Program staff at (202) 287–1445 or by
email: ApplianceStandardsQuestions@
ee.doe.gov.
FOR FURTHER INFORMATION CONTACT:
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SUMMARY:
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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 20585–0121.
Telephone: (202) 586–5827. Email:
Eric.Stas@hq.doe.gov.
SUPPLEMENTARY INFORMATION: DOE
incorporates by reference the following
industry standards as follows:
AHRI Standard 1230 (I–P), ‘‘2021
Standard for Performance Rating of
Variable Refrigerant Flow (VRF)
Multi-Split Air-Conditioning and
Heat Pump Equipment;’’ copyright
2021 (‘‘AHRI 1230–2021’’)—into
parts 429 and 431.
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 (‘‘ANSI/AHRI 1230–
2010’’)—into part 431.
Copies of AHRI 1230–2021 and ANSI/
AHRI 1230–2010 can be obtained from
the Air-Conditioning, Heating, and
Refrigeration Institute (AHRI), 2311
Wilson Blvd., Suite 400, Arlington, VA
22201, (703) 524–8800, or online at:
www.ahrinet.org/search-standards.aspx.
ANSIASHRAE Standard 37–2009,
‘‘Methods of Testing for Rating
Electrically Driven Unitary AirConditioning and Heat Pump
Equipment,’’ ASHRAE approved
June 24, 2009, (‘‘ANSI/ASHRAE
37–2009’’)—into part 431.
ASHRAE Errata Sheet for ANSI/
ASHRAE Standard 37–2009—
Methods of Testing for Rating
Electrically Driven Unitary AirConditioning and Heat Pump
Equipment, ASHRAE approved
March 27, 2019, (‘‘ASHRAE Errata
Sheet for ANSI/ASHRAE Standard
37–2009’’).
Copies of ANSI/ASHRAE Standard
37–2009 and ASHRAE Errata Sheet for
ANSI/ASHRAE Standard 37–2009 are
available from ASHRAE, 180
Technology Parkway NW, Peachtree
Corners, GA 30092, (404)–636–8400, or
online at www.ashrae.org/.
See section IV.N of this document for
a further discussion of these standards.
Table of Contents
I. Authority and Background
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A. Authority
B. Background
II. Synopsis of the Final Rule
III. Discussion
A. Scope of Applicability
B. Organization of the VRF Multi-Split
System Test Procedure
C. Industry Standards
1. Updates to AHRI 1230
2. ASHRAE 37
D. Metrics
1. IEER
2. Test Conditions Used for Efficiency
Metrics
E. Controls Verification Procedure
1. Background
2. When the CVP Is Conducted
3. Critical Parameter Definition
4. Validation of Certified Critical
Parameters
a. Validation Time Period
b. Validation Criteria
5. Determination of Alternate Critical
Parameters
F. Allowable Critical Parameter
Adjustment
1. Adjustment of Certified Critical
Parameter Values
2. Adjustment of Alternate Critical
Parameter Values
G. Certification, Compliance, and
Enforcement
1. Determination of Represented Values
a. Introduction
b. NOPR Proposals and Comments
c. Final Rule Approach
2. Certification Reporting Requirements
a. Certification Requirements
b. Supplemental Testing Instructions
3. Models Required for AEDM Validation
4. Manufacturer Involvement
a. Role of Manufacturer Representative
b. Control Tool
5. Break-In Period
6. Certified Critical Parameter Operational
Settings
7. Enforcement Sampling Plan
8. Certified vs. Tested Performance
H. Effective and Compliance Dates
I. Test Procedure Costs
IV. Procedural Issues and Regulatory Review
A. Review Under Executive Orders 12866
and 13563
B. Review Under the Regulatory Flexibility
Act
C. Review Under the Paperwork Reduction
Act of 1995
D. Review Under the National
Environmental Policy Act of 1969
E. Review Under Executive Order 13132
F. Review Under Executive Order 12988
G. Review Under the Unfunded Mandates
Reform Act of 1995
H. Review Under the Treasury and General
Government Appropriations Act, 1999
I. Review Under Executive Order 12630
J. Review Under Treasury and General
Government Appropriations Act, 2001
K. Review Under Executive Order 13211
L. Review Under Section 32 of the Federal
Energy Administration Act of 1974
M. Congressional Notification
N. Description of Materials Incorporated by
Reference
V. Approval of the Office of the Secretary
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I. Authority and Background
Commercial package air conditioning
and heating equipment is included in
the list of ‘‘covered equipment’’ for
which the U.S. Department of Energy
(‘‘DOE’’) is authorized to establish and
amend energy conservation standards
and test procedures. (42 U.S.C.
6311(1)(B)–(D)) Commercial package air
conditioning and heating equipment
includes variable refrigerant flow multisplit 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 test procedures for
VRF multi-split systems and relevant
background information regarding
DOE’s consideration of test procedures
for this equipment.
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A. Authority
The Energy Policy and Conservation
Act, as amended (‘‘EPCA’’),1 Public Law
94–163 (42 U.S.C. 6291–6317, as
codified), among other things,
authorizes DOE to regulate the energy
efficiency of a number of consumer
products and certain industrial
equipment. Title III, Part C 2 of EPCA,
added by Public Law 95–619, Title IV,
section 441(a), established the Energy
Conservation Program for Certain
Industrial Equipment, which sets forth a
variety of provisions designed to
improve energy efficiency. This
equipment includes small, large, and
very large commercial package air
conditioning and heating equipment,
which includes VRF multi-split
systems, the subject of this document.
(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; 42
U.S.C. 6296).
The Federal testing requirements
consist of test procedures that
manufacturers of covered equipment
1 All references to EPCA in this document refer
to the statute as amended through the Energy Act
of 2020, Public Law 116–260 (Dec. 27, 2020), which
reflect the last statutory amendments that impact
Parts A and A–1 of EPCA.
2 For editorial reasons, upon codification in the
U.S. Code, Part C was redesignated as Part A–1.
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must use as the basis for: (1) certifying
to DOE that their equipment complies
with the applicable energy conservation
standards adopted pursuant to EPCA (42
U.S.C. 6316(b); 42 U.S.C. 6296), and (2)
making other representations about the
efficiency of that equipment (42 U.S.C.
6314(d)). Similarly, DOE uses these test
procedures to determine whether the
equipment complies with relevant
standards promulgated under EPCA.
Federal energy efficiency
requirements for covered equipment
established under EPCA generally
supersede State laws and regulations
concerning energy conservation testing,
labeling, and standards. (42 U.S.C.
6316(a) 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 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 DOE
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))
EPCA also requires that, at least once
every 7 years, DOE evaluate test
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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, DOE 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 comments on
the proposed test procedures. (42 U.S.C.
6314(b)) If DOE determines that test
procedure revisions are not appropriate,
DOE must publish in the Federal
Register its determination not to amend
the test procedures. (42 U.S.C.
6314(a)(1)(A)(ii))
DOE is publishing this final rule
amending the test procedure 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
in the Federal Register 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 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 (‘‘ANSI/AHRI 1230–2010’’).
77 FR 28928, 28945–28946 (May 16,
2012); 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 (May 16, 2012). The May 2012
Final Rule also adopted additional
requirements, listed in 10 CFR 431.96(c)
through (f), for measuring the energy
efficiency ratio (‘‘EER’’) and coefficient
of performance (‘‘COP’’) for air-cooled
VRF multi-split systems with a cooling
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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 (May 16,
2012).
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 in the
Federal Register 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 review
requirement. 82 FR 34427, 34429 (July
25, 2017). 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 (July 25, 2017).
In September 2017, AHRI published
an update to ANSI/AHRI 1230–2010,
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 4 and the Negotiated Rulemaking
Act,5 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.6 On October 1, 2019, the
Working Group reached consensus on a
term sheet (‘‘VRF TP Term Sheet’’;
Docket No. EERE–2018–BT–STD–0003–
0044) that includes the following
recommendations, which highlight the
most substantial changes:
(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)
On May 18, 2021, AHRI published an
updated industry test standard for VRF
multi-split systems AHRI Standard 1230
(I–P), ‘‘2021 Standard for Performance
Rating of Variable Refrigerant Flow
(VRF) Multi-Split Air-Conditioning and
Heat Pump Equipment’’ (‘‘AHRI 1230–
2021’’). AHRI 1230–2021 references
ANSI/ASHRAE Standard 37–2009,
‘‘Methods of Testing for Rating
Electrically Driven Unitary AirConditioning and Heat Pump
Equipment’’ (‘‘ANSI/ASHRAE 37–
2009’’), as corrected by the Errata Sheet
issued March 27, 2019, for additional
test set-up and methodology
specifications.
These changes, along with comments
received in response to the July 2017
ASHRAE TP RFI, were addressed in a
test procedure NOPR for VRF multi-split
systems published in the Federal
Register on December 10, 2021
(‘‘December 2021 VRF TP NOPR’’). 86
FR 70644. In that NOPR, DOE proposed
to incorporate by reference AHRI 1230–
2021 and ANSI/ASHRAE 37–2009, as
corrected by the Errata Sheet issued
March 27, 2019) and establish
provisions for determining IEER for VRF
multi-split systems. Id. DOE also
proposed 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. DOE
held a public meeting related to this
NOPR on January 20, 2022 (hereafter,
the ‘‘NOPR public meeting’’).
DOE received comments in response
to the December 2021 VRF TP NOPR
from the interested parties listed in
Table I.1.
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TABLE I–1—LIST OF COMMENTERS WITH WRITTEN SUBMISSIONS IN RESPONSE TO THE DECEMBER 2021 VRF TP NOPR
Commenter(s)
Reference in
this final rule
Air-Conditioning, Heating, & Refrigeration Institute ................................
Appliance Standards Awareness Project, American Council for an Energy-Efficient Economy, and Natural Resources Defense Council.
California Energy Commission ...............................................................
California Investor-Owned Utilities .........................................................
Carrier Global Corporation .....................................................................
Daikin North America LLC ......................................................................
Lennox International ...............................................................................
Northwest Energy Efficiency Analysis ....................................................
New York State Energy Research and Development Authority ............
AHRI ..................
Joint Advocates
12
9
Trade Association.
Efficiency Advocacy Organization.
CEC ...................
CA IOUs ............
Carrier ................
Daikin .................
Lennox ...............
NEEA .................
NYSERDA .........
10
11
7
13
8
14
6
State Official/Agency.
Utilities.
Manufacturer.
Manufacturer.
Manufacturer.
Efficiency Advocacy Organization.
State Official/Agency.
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-publish2016-energy-efficiency-standard (Last accessed
April 30, 2021).
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45
U.S.C. App. 2, Public Law 92–463.
U.S.C. 561–570, Public Law 104–320.
6 A complete list of the ASRAC VRF Working
Group members is available at: www.energy.gov/
eere/buildings/appliance-standards-and55
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Docket entry
No.
Commenter type
rulemaking-federal-advisory-committee#Variable
%20Refrigerant%20Flow%20Multi-Split%20Air
%20Conditioners%20and%20Heat%20Pumps
%20Working%20Group.
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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.7 To the extent that
interested parties have provided written
comments that are substantively
consistent with any oral comments
provided during the NOPR public
meeting, DOE cites the written
comments throughout this final rule.
DOE did not identify any oral comments
provided during the webinar that are
not substantively addressed by written
comments.
On March 1, 2022, DOE published in
the Federal Register an energy
conservation standards NOPR (‘‘March
2022 VRF ECS NOPR’’) that proposed
amended energy conservation standards
for VRF multi-split systems that rely on
the new IEER cooling metric and are
equivalent to the levels specified in
ASHRAE Standard 90.1–2019. 87 FR
11335.
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7 The parenthetical reference provides a reference
for information located in the docket of DOE’s
rulemaking to develop test procedures for VRF
multi-split systems. (Docket No. EERE–2021–BT–
TP–0019, which is maintained at
www.regulations.gov). The references are arranged
as follows: (commenter name, comment docket ID
number, page of that document).
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II. Synopsis of the Final Rule
In this final rule, DOE is amending 10
CFR 431.96, ‘‘Uniform test method for
the measurement of energy efficiency of
commercial air conditioners and heat
pumps,’’ to revise the relevant
references to the most recent version of
the industry test procedure as follows:
(1) incorporating by reference AHRI
1230–2021 and ANSI/ASHRAE 37–
2009, as corrected by the Errata Sheet
issued March 27, 2019; and (2)
establishing provisions for determining
IEER for VRF multi-split systems. DOE
is also adding new appendices D and D1
to subpart F of part 431, both titled
‘‘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 is
relocated from 10 CFR 431.96 to 10 CFR
part 431, subpart F, appendix D without
change, and the new test procedure
adopting AHRI 1230–2021 is established
in appendix D1 for determining IEER.
Compliance with appendix D1 is not
required until such time as compliance
is required with amended energy
conservation standards for VRF multi-
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split systems that rely on IEER, should
DOE adopt such standards.
In this final rule, DOE is also updating
its certification, compliance, and
enforcement (‘‘CCE’’) provisions for VRF
multi-split systems, to require reporting
of information that is necessary for
testing VRF multi-split systems
consistent with the updated industry
test procedure AHRI 1230–2021. Most
significantly, these 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. Additionally, DOE is specifying
tested combinations to align with AHRI
1230–2021, clarifying the role of
manufacturer involvement during
testing, and specifying how to
determine represented values for
systems using different indoor unit
combinations DOE is not reducing the
enforcement testing sample size from
four units to two units, as was proposed
in the December 2021 VRF TP NOPR.
Figure 1 presents a process diagram for
DOE’s certification, compliance, and
enforcement regulations for VRF multisplit systems, as described in this final
rule.
BILLING CODE 6450–01–P
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DOE issues test notice &
selects sample of four
systems for testing
§429.110(b}(1){iv)
§429.J10{e}(2)
For one system only, DOE
conducts atP at full-load
cooling then at each part-load
IEER cooling condition
§429.134(v)(3)
Certified critical
parameters are valid
for that condition
§429.134(v)(3J(iii)(A)
For all four systems, DOE
conducts IEER test using
combination of certified and/or
alternate critical parameters, as
appropriate. Additional
adjustments allowed per TP.
alternate critical
Appendix D1 Section 5
Figure 11-1: CCE Process Diagram for VRF Multi-split Systems
BILLING CODE 6450–01–C
compared to the test procedure
provisions in place prior to these latest
The adopted amendments are
summarized in Table II.1 and are
amendments, as well as the reason for
each adopted change.
TABLE II–1—SUMMARY OF CHANGES IN THE AMENDED 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.
Includes certification requirements
in 10 CFR 429.43 consistent with
testing to EER per ANSI/AHRI
1230–2010.
Does not include VRF-specific enforcement provisions in 10 CFR
429.134.
Does not provide VRF-specific instruction for validating alternative
methods for determining energy
efficiency and energy use
(‘‘AEDM’’) at 10 CFR 429.70.
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Amended test procedure
Attribution
Incorporates by reference in a new Appendix D1 AHRI 1230–2021
and ANSI/ASHRAE 37–2009 as corrected by the Errata Sheet
issued March 27, 2019.
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 models with specific
components, and determine represented values for different indoor
unit combinations.
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, testing of systems with specific components, break-in period, 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.
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Updates to the applicable industry
test procedures.
Establish VRF-specific provisions
for determination of represented
values.
Establish reporting requirements
consistent with updated industry
test method.
Establish provisions for DOE testing of VRF multi-split systems.
Establish AEDM instructions specific to VRF multi-split systems.
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DOE has determined that the
amendments described in section III of
this document regarding the
establishment of appendix D do not
alter the measured efficiency of VRF
multi-split systems or require retesting
solely as a result of DOE’s adoption of
the amendments to the test procedure.
DOE has determined that the
amendments regarding the test
procedure in appendix D1 do alter the
measured efficiency and are consistent
with the updated industry test
procedure AHRI 1230–2021. Further,
use of the updated industry test
procedure provisions and amended
representation requirements in 10 CFR
429.43 and 10 CFR 429.70 would not be
required until the compliance date of
any amended standards based on IEER.
Additionally, DOE has determined that
the finalized amendments will not
increase the cost of testing relative to
the updated industry test procedure.
The effective date for the amended test
procedures adopted in this final rule is
30 days after publication of this
document in the Federal Register.
Discussion of DOE’s actions are
addressed in detail in section III of this
document.
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III. Discussion
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. Id. 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 amending the scope of the
Federal test procedure for VRF multisplit systems. DOE’s current test
procedure regulations for commercial
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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. 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 part 430. Test procedures
for three-phase, air-cooled VRF multisplit systems with cooling capacity less
than 65,000 Btu/h are not addressed in
this final rule and are instead 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 (see
Docket No. EERE–2017–BT–TP–0031).
B. Organization of the VRF Multi-Split
System Test Procedure
In the December 2021 VRF TP NOPR,
DOE proposed to relocate and centralize
the current test procedure for VRF
multi-split systems to a new appendix D
to subpart F of part 431, such that
appendix D would not amend the
current test procedure. 86 FR 70644,
70649 (Dec. 10, 2021). The proposed
appendix D would also centralize the
additional test provisions currently
applicable under 10 CFR 431.96 (i.e.,
optional break-in period for tests
conducted using ANSI/AHRI 1230–2010
(10 CFR 431.96(c)); refrigerant line
length corrections for tests conducted
using ANSI/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. Id.
Similarly, DOE proposed 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 proposed to adopt the
updated version of AHRI 1230,
including the IEER metric. Id. As
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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proposed, VRF multi-split systems
would not be required to be tested
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. Id.
DOE did not receive any comments in
response to the proposed organization of
the test procedure. Accordingly, for the
reasons discussed in the December 2021
VRF TP NOPR and as discussed in the
preceding paragraphs, DOE is finalizing
the proposed organization of the test
procedure by establishing appendices D
and D1 for testing VRF multi-split
systems.
C. Industry Standards
1. Updates to AHRI 1230
As discussed in section I.B of this
document, the VRF TP Term Sheet
recommended that DOE adopt the 2019
draft version of AHRI 1230 with several
changes, including:
• Adding 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’’).
• Providing equations and example
calculations of adjustments to measured
results for steady-state tests if sensible
heat ratio (‘‘SHR’’) 9 limits are not met
at the 100-percent full-load and/or 75percent part-load cooling test points.
• Amending the definition of the
draft CVP to include a 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
three outstanding items identified in the
VRF TP Term Sheet. For 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
9 Cooling load is composed of both sensible and
latent portions. The sensible load is the energy
required to reduce the temperature of the incoming
air, without any phase change. 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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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.’’ The AHRI
1230 Technical Committee incorporated
a budget of 70 points (a measure of
critical parameter variation) in the draft
AHRI 1230, which is outlined in section
III.E.1 of this document.
Following the completion of the AHRI
1230 Technical Committee meetings, in
May 2021, AHRI published AHRI 1230–
2021, which incorporated the changes
consistent with those recommended in
the VRF TP Term Sheet. The following
list includes substantive changes in
AHRI 1230–2021 as compared to ANSI/
AHRI 1230–2010, the version currently
used for certification:
• 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.’’
• Maximum SHR limits of 0.82 and
0.85 were added for full-load and 75percent part-load conditions,
respectively.
• 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.
• A hierarchy was added indicating
which sources of manufacturer’s
instructions to use during testing in the
case of conflicting information among
different sources.
• 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.
• For water-source equipment, the
maximum water flow rate was reduced
and part-load entering water
temperatures were modified.
• 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.
• The provisions for tested
combinations, which specify the indoor
unit combination to be used for testing,
were updated to replace ‘‘highest sales
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volume’’ requirements with a specific
hierarchy based on ‘‘indoor unit model
family’’ (e.g., wall-mounted, compact 4way ceiling cassette, mid-static ducted).
• A maximum airflow rate of 55
standard cubic feet per minute (‘‘scfm’’)
per 1,000 Btu/h was added for nonducted indoor units, and the maximum
airflow rate was increased for ducted
indoor units from 37.5 scfm per 1,000
Btu/h to 42 scfm per 1,000 Btu/h.
• 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.
• 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.
• 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.
As part of the December 2021 VRF TP
NOPR, DOE evaluated the extent to
which a test procedure based on AHRI
1230–2021 would meet the EPCA
requirements to produce test results that
reflect the energy efficiency, energy use,
and estimated operating costs of that
equipment during a representative
average use cycle, and for such test
procedure to not be unduly burdensome
to conduct. DOE tentatively concluded
that the changes in AHRI 1230–2021
better reflect the field performance of
VRF multi-split systems and provide
additional clarification for testing
provisions. 86 FR 70644, 70650, 70669
(Dec. 10, 2021). DOE also tentatively
determined that a test procedure based
on AHRI 1230–2021 would not be
unduly burdensome to conduct. 86 FR
70644, 70669 (Dec. 10, 2021).
Therefore, DOE proposed to adopt the
updated version of AHRI 1230,
including the IEER metric, and to
incorporate by reference AHRI 1230–
2021 in a new appendix D1 to subpart
F of part 431. 86 FR 70644, 70650 (Dec.
10, 2021). DOE proposed to reference
the following sections from AHRI 1230–
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2021: Section 3 (except 3.11),10 Section
5 (except 5.1.2), Section 6 (except 6.3.3
and 6.5), Section 11, Section 12, and
Appendix E. 86 FR 70644, 70650–70651
(Dec. 10, 2021). The remaining sections
were excluded as 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 proposed
modifications. Id.
In the December 2021 VRF TP NOPR,
DOE included discussion on several test
method topics about which DOE
requested comment in the July 2017
ASHRAE TP RFI and received
stakeholder comments in response to
that RFI. These topics included setting
indoor airflow and external static
pressure, condenser head pressure
controls, indoor unit operation during
part-load tests, oil recovery mode during
transient testing, secondary methods for
capacity measurement, and heat
recovery. All of these test method topics
were addressed in AHRI 1230–2021,
and DOE did not propose any deviations
from AHRI 1230–2021 on any of the
topics. 86 FR 70644, 70653–70656 (Dec.
10, 2021). DOE did not receive any
comments regarding these test method
topics in response to the December 2021
VRF TP NOPR, but as discussed, the
Department did receive comments
generally supportive of DOE’s proposal
to adopt AHRI 1230–2021. Along these
lines, Carrier, Lennox, the CA IOUs,
AHRI, Daikin, and NEEA all commented
that they support DOE’s proposal to
adopt AHRI 1230–2021. (Carrier, No. 7
at p. 1; Lennox, No. 8 at pp. 1–2; CA
IOUs, No. 11 at p. 3; AHRI, No. 12 at
p. 2; Daikin, No. 13 at p. 2; NEEA, No.
14 at p. 2) NEEA further commented
that AHRI 1230–2021 adds clarifying
provisions that will reduce variability in
results. (NEEA, No. 14 at p. 2)
For the reasons discussed in the
December 2021 VRF TP NOPR and
consistent with the comments received
in support of DOE adopting AHRI 1230–
2021, DOE concludes that as compared
to previous versions of AHRI 1230
(including ANSI/AHRI 1230–2010
which is referenced in the current
Federal test procedure), AHRI 1230–
2021 generally provides results that are
more representative of an average use
cycle for VRF multi-split systems,
provides additional clarification for
10 The CA IOUs stated that in proposed updates
to 10 CFR 431.97, subpart F, appendix D1, DOE
states that critical parameter(s) are defined in
section 3.10 of AHRI 1230–2021, but the correct
reference should be to section 3.11 of that industry
standard. (CA IOUs, No. 11 at p. 4) DOE
acknowledges this typographical error and has
corrected the section references in this final rule.
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testing provisions, and is not unduly
burdensome to conduct. In particular,
DOE finds that AHRI 1230–2021
includes several test procedure
amendments that better reflect typical
operation and performance of VRF
indoor units, including the addition of
SHR limits, further specification of
indoor airflow, and changes to indoor
unit tested combinations. DOE also
finds that the addition of the CVP in
AHRI 1230–2021 (which DOE is
adopting in enforcement provisions)
will improve representativeness by
more closely tying controls behavior
during testing to controls behavior that
would be expected to occur in a field
installation under native controls.
Therefore, in this final rule DOE is
incorporating by reference AHRI 1230–
2021 and adopting specific sections for
testing VRF multi-split systems as
proposed. Sections of AHRI 1230–2021
for which DOE is adopting
modifications are discussed in following
sections of this final rule.
2. ASHRAE 37
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ANSI/ASHRAE Standard 37, 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. ANSI/ASHRAE 37–
2005 is referenced in ANSI/AHRI 1230–
2010, which is the currently referenced
industry test standard in the DOE test
procedure for VRF multi-split
systems.11 ANSI/ASHRAE 37–2009 is
referenced in ANSI/AHRI 1230–2014
with Addendum 1 and AHRI 1230–
2021. To reflect the use of ANSI/
ASHRAE 37–2009 in conducting testing
according to AHRI 1230–2021, DOE
proposed in the December 2021 VRF TP
NOPR to incorporate by reference ANSI/
ASHRAE 37–2009 (except for sections 1,
2, and 4) including the errata sheet
issued March 27, 2019 (which corrected
the total heating capacity equations for
the outdoor liquid coil method in
section 7.6.5.1 of that test standard) 12 in
the proposed appendix D1 for the VRF
multi-split systems test procedure. 86
FR 70644, 70651 (Dec. 10, 2021). DOE
did not receive any comments in
response to its proposal to reference
11 In the December 2021 VRF TP NOPR, DOE
incorrectly stated that ANSI/AHRI 1230–2010
references ANSI/ASHRAE 37–2009. 86 FR 70644,
70651 (Dec. 10, 2021).
12 The errata sheet, which was updated on March
27, 2019, is available at: www.ashrae.org/
file%20library/technical%20resources/
standards%20and%20guidelines/
standards%20errata/standards/37-2009errata-3-272019-.pdf (Last accessed Sept. 7, 2022).
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ASHRAE 37–2009 in the test method for
VRF multi-split systems. Accordingly,
DOE concludes that ASHRAE 37–2009
is an integral component of testing VRF
multi-split systems (per the 2014 and
2021 versions of AHRI 1230) and that it
ensures representativeness and
repeatability of the test procedure by
specifying instrumentation
requirements, test set-up provisions,
calculation methods, and test
tolerances. Therefore, DOE incorporates
by reference ANSI/ASHRAE 37–2009
(as corrected by the most recent errata
sheet issued March 27, 2019) and adopts
the relevant sections for testing VRF
multi-split systems, as proposed.
D. Metrics
1. IEER
In the December 2021 VRF TP NOPR,
DOE provided considerable background
on the IEER metric, and the Department
proposed to adopt the IEER metric and
the relevant provisions in AHRI 1230–
2021 to determine IEER for VRF multisplit systems. DOE currently prescribes
energy conservation standards for aircooled 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. EER and COP
capture the system performance at
single, full-load operating points in
cooling and heating mode, respectively
(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. 86 FR 70644, 70651
(Dec. 10, 2021).
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. Id.
IEER was first specified in a 2008
supplement to ASHRAE Standard 90.1–
2007 for commercial air-cooled, watercooled, and evaporatively-cooled air
conditioning and heat pump equipment.
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
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capacity less than 65,000 Btu/h, in
addition to the specified EER levels. On
January 15, 2016, DOE published a
direct final rule in the Federal Register
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.
The proposal to adopt the IEER metric
and relevant provisions of AHRI 1230–
2021 in the test procedure for VRF
multi-split systems aligned with the
VRF TP Term Sheet upon which the
ASRAC Working Group agreed. 86 FR
70644, 70652 (Dec. 10, 2021). DOE also
proposed to amend the definition for
IEER at 10 CFR 431.92 to distinguish
between the test procedures for
ACUACs and VRF multi-split systems.
Id.
Lennox, the CA IOUs, AHRI, Daikin,
and NEEA commented that they support
DOE’s proposal to adopt the IEER metric
for VRF multi-split systems. (Lennox,
No. 8 at pp. 1–2; CA IOUs, No. 11 at p.
3; AHRI, No. 12 at p. 2; Daikin, No. 13
at p. 2; NEEA, No. 14 at p. 2) Lennox
and NEEA stated that IEER improves the
representativeness of the tested value
for VRF multi-split systems. (Lennox,
No. 8 at p. 2; NEEA, No. 14 at p. 2) The
CA IOUs and NEEA commented that
IEER informs consumers of the part-load
performance benefits of variable speed
equipment. (CA IOUs, No. 11 at p. 3;
NEEA, No. 14 at p. 2) AHRI, Daikin, and
Lennox supported DOE’s proposed
revision to the definition of IEER to
differentiate between the test
procedures for ACUAC and VRF multisplit systems. (AHRI, No. 12 at p. 2;
Daikin, No. 13 at p. 2; Lennox, No. 8 at
p. 2)
NEEA commented that DOE should
investigate the differences between
AHRI 1230–2021 and ANSI/AHRI 1230–
2010, because manufacturers currently
certify IEER measured per 1230–2010
for the AHRI certification program. The
commenter stated that testing according
to the new version of AHRI 1230 could
result in different IEER values, which
could cause market confusion, so NEEA
suggested that DOE consider changing
the name of the metric measured per
AHRI 1230–2021 to ‘‘IEER2.’’ (NEEA,
No. 14 at p. 2)
Regarding NEEA’s comment, the
changes in AHRI 1230–2021 as
compared to ANSI/AHRI 1230–2010
better reflect typical operation and
performance of VRF multi-split systems
(see section III.C.1 of this document for
further discussion). In particular, DOE
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finds that AHRI 1230–2021 includes
several test procedure amendments that
better reflect typical operation and
performance of VRF indoor units,
including the addition of SHR limits,
further specification of indoor airflow,
and changes to indoor unit tested
combinations. DOE also finds that the
addition of the CVP in AHRI 1230–2021
(which DOE is adopting in enforcement
provisions) will improve
representativeness by more closely tying
controls behavior during testing to
native controls behavior that would be
expected to occur in a field installation.
DOE also notes that the VRF TP Term
Sheet included as Recommendation #1
that VRF multi-split systems should be
rated with the IEER metric. (Docket No.
EERE–2018–BT–STD–0003–0044) This
recommendation was unanimously
agreed upon by all Working Group
members, as it allowed for comparisons
to CUAC ratings, which also use the
IEER efficiency metric. Further, DOE
does not require certification of IEER as
measured per ANSI/AHRI 1230–2010
nor does it include IEER in its current
test procedure for VRF multi-split
systems. Therefore, DOE concludes that
there is not a need to deviate from the
metric name ‘‘IEER’’ specified in AHRI
1230–2021 and that doing so might
spawn unnecessary confusion by
suggesting that there is some significant
difference as to how that term is used
in the context of the amended Federal
test procedure as compared to AHRI
1230–2021. Consequently, DOE is
adopting the IEER metric measured per
AHRI 1230–2021 in the Federal test
procedure for VRF multi-split systems,
as proposed. Further, DOE is adopting
the proposed revisions to the definition
for IEER at 10 CFR 431.92 to distinguish
between the test procedures for
ACUACs and VRF multi-split systems.
2. Test Conditions Used for Efficiency
Metrics
AHRI 1230–2021 includes a number
of test conditions used to determine
rated performance of VRF multi-split
systems in both cooling mode and
heating mode. Standard rating tests in
cooling mode include the full-load
cooling and three part-load cooling tests
used to determine IEER. Standard rating
tests in heating mode differ depending
on whether the VRF multi-split heat
pump is water-source or air-source. For
water-source systems, there is only one
heating mode standard rating test. For
air-source systems, there are two heating
mode standard rating tests (one at 47 °F
outdoor temperature and another at
17 °F outdoor temperature).
In the December 2021 VRF TP NOPR,
DOE proposed to specify in the test
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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. 86 FR
70644, 70652–70653 (Dec. 10, 2021).
Specifically, for air-cooled VRF multisplit systems, DOE proposed 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
8 13 of AHRI 1230–2021. DOE also
proposed to specify in section 4.1 of the
proposed appendix D1 that the heating
test condition used for compliance
would be the ‘‘Standard Rating
Conditions, High Temperature SteadyState Test for Heating’’ conditions
(47 °F) specified in Table 8 of AHRI
1230–2021. DOE also proposed to
specify in section 4.1.1 of the proposed
appendix D1 that representations of
COP would be optional for the ‘‘Low
Temperature Steady-state Test for
Heating’’ conditions (17 °F), also
specified in Table 8 of AHRI 1230–2021.
For water-source VRF multi-split heat
pumps, DOE proposed to specify in
section 3.2 of the proposed appendix D1
that the test conditions used for
compliance would be the standard
rating test conditions for ‘‘Water Loop
Heat Pumps’’ and proposed in section
4.2.1 of proposed appendix D1 that
representations of EER and COP at the
standard rating conditions for ‘‘Groundloop Heat Pumps’’ would be optional.
Id.
In response to DOE’s proposed rating
conditions, NYSERDA encouraged DOE
to work with industry stakeholders to
improve the representativeness of
heating-mode performance ratings by:
(1) adding rating points at colder
ambient temperatures and (2)
encouraging DOE to shift from
regulating based on a single test point to
an integrated heating metric. NYSERDA
asserted that the VRF heating
performance rating (COP at 47 °F) does
not provide customers with sufficient
information to determine equipment
13 AHRI commented in response to the December
2021 NOPR that DOE incorrectly identified the
relevant table numbers of AHRI 1230–2021. They
clarified that Table 8 of AHRI 1230–2021 outlines
‘‘standard rating conditions’’ for air-source VRF
multi-split systems, while Tables 9 and 10 provide
these conditions for water-source VRF multi-split
systems for cooling mode and heating mode,
respectively. (AHRI, No. 12 at p. 10) DOE has
corrected these references in this final rule.
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performance at temperatures
experienced by New Yorkers during
much of the winter season. Specifically,
the commenter advocated that a rating
condition at colder temperatures such as
5 °F or 0 °F is needed to provide colder
climates with the data necessary to
determine which VRF equipment is
most appropriate. NYSERDA also
encouraged DOE to change the test
condition used for determining heating
capacity from 47 °F to 17 °F (or lower).
Regarding an integrated heating metric,
NYSERDA commented that although
integrated ratings are not reflective of
any specific building type or climate
zone, they provide a relative ranking of
products, thereby allowing consumers
to understand which models are likely
to perform better than others across a
range of ambient temperatures and load
levels on the equipment. NYSERDA
commented that an integrated heating
metric for VRFs would be more
representative than COP at 47 °F.
(NYSERDA, No. 6 at p. 2) Furthermore,
NYSERDA requested that if its
comments could not be addressed in the
current rulemaking, then it asked DOE
to consider its comments for the next
update of VRF test procedures.
(NYSERDA, No. 6 at p. 3) No other
comments were received as to the
proposed test conditions for VRF multisplit systems.
In response, DOE notes that for VRF
multi-split systems, the generally
accepted industry test procedure is
AHRI 1230–2021, which for air-source
heat pumps only includes provisions to
determine the COP rating at a high
temperature point of 47 °F and at a low
temperature point of 17 °F (outdoor air
dry-bulb temperatures). Neither AHRI
1230–2021 nor previous versions of
AHRI 1230 include the provisions
needed to determine heating
performance at other outdoor
temperatures or specify an integrated
metric for heating.
Regarding the addition of heating
conditions at temperatures colder than
17 °F or adoption of an integrated
heating metric (which as described by
NYSERDA, would involve adding partload heating tests), at this time, DOE
lacks sufficient evidence to adopt tests
for VRF multi-split systems at
conditions other than those specified in
the updated industry consensus test
procedure, AHRI 1230–2021. Further,
DOE does not have data as to
representative test conditions, load
levels, and weighting factors to be
included in an integrated heating metric
for VRF multi-split systems.
Regarding the suggestion that rated
heating capacity be based on
performance at 17 °F instead of 47 °F,
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NYSERDA did not provide evidence
that heating capacity measured at 17 °F
would be more representative for VRF
multi-split systems for the nation as a
whole. Further, all other commercial
heat pump equipment categories
regulated by DOE also have the rated
heating capacity measured at 47 °F, thus
allowing comparison at the same
condition across equipment categories.
Additionally, the AHRI Directory of
Certified Product Performance 14
includes heating capacity measured at
both 47 °F and 17 °F; therefore, to the
extent stakeholders are interested in
heating capacity of VRF multi-split
systems at 17 °F, they can obtain such
information from the data made
publicly available in the AHRI Directory
for systems included in AHRI’s
certification program.
DOE notes that NYSERDA
acknowledged that the Department is
finalizing its test procedure rulemaking
for VRF multi-split systems and that the
commenter’s suggestions may not be
able to be incorporated in this
rulemaking. Absent data supporting the
representativeness of alternate test
conditions and an alternate metric, as
well as a lack of information as to which
test conditions would be included in a
representative integrated heating metric,
DOE is not considering test conditions
or metrics for VRF multi-split systems
other than those proposed in the
December 2021 VRF TP NOPR.
Therefore, DOE is not adopting a lowertemperature heating test or an integrated
heating metric for VRF multi-split
systems, as recommended by
NYSERDA. For the reasons discussed in
the December 2021 VRF TP NOPR and
in the preceding paragraphs, DOE is
finalizing its proposals from the
December 2021 VRF TP NOPR regarding
test conditions for VRF multi-split
systems.
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E. 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
14 The AHRI directory for VRF multi-split systems
is available at: www.ahridirectory.org/
NewSearch?programId=72&searchTypeId=3 (Last
accessed July 8, 2022).
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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
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.E.4 of this
final rule 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. The December 2021 VRF TP
NOPR includes additional information
about the CVP. See 86 FR 70644, 70658–
70663 (Dec. 10, 2021).
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 (May 16, 2012). DOE’s
current certification requirements for
VRF multi-split systems, found at 10
CFR 429.43(b)(4), specify that the STI
must include compressor frequency
setpoints 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
multi-split 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 operation.
In October 2018, during the
negotiation meetings of the Working
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63869
Group, the CA IOUs raised concern
(supported by field and laboratory test
data) as to 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) Ultimately, 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)
Appendix C of AHRI 1230–2021
establishes a CVP.15 The CVP verifies
whether critical parameter settings
certified in the STI, implemented by the
manufacturer’s representative during
full-load and part-load 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 steadystate 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 dry-bulb temperature is
steadily decreased during the CVP using
the room conditioning apparatus, in
order to determine how the VRF multisplit 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. Section 5.1.5 provides
instructions for adjusting the VRF
indoor unit setpoints (deviating from
80 °F) to account for setpoint bias and
setpoint offset.16 VRF indoor units
15 The concept for the CVP originated from a
minimum compressor speed verification procedure
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.
16 AHRI 1230–2021 provides the following
definitions for these terms in sections 3.29 and 3.30,
respectively:
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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 setpoint
bias and offset to ensure repeatable test
results. After setting initial indoor air
temperature, including any adjustments
to control for setpoint 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.17 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. Once the first
indoor unit becomes thermally inactive,
the indoor room dry-bulb temperature
continues decreasing until the indoor
room reaches 77 °F. Section C6 of AHRI
1230–2021 includes equations for
determining ‘‘RSS Points Total’’ 18—an
aggregated and normalized measure of
deviation of all critical parameters from
their certified values—and also includes
criteria for determining whether or not
the CVP has validated the certified
Setpoint Bias—The difference between 80 °F and
the nominal thermostat setpoint required for the
thermostat to control for 80 °F sensed temperature
at the sensed location.
Setpoint Offset—The difference between the
temperature indicated by a thermostat’s
temperature sensor and the actual temperature at
the sensor’s location.
17 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.
18 In response to the December 2021 NOPR, the
CA IOUs commented that there were certain
incorrect section references in the December 2021
NOPR. They stated that proposed changes to 10
CFR 429.134(s)(3)(ii)(B) state that the RSS points
total is defined in Section 3.26 of AHRI 1230–2021,
while the definition is actually in section 3.27. (CA
IOUs, No. 11 at p. 4). DOE has corrected the section
references in this final rule.
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critical parameter settings. The
verification criteria specified in Section
C6 of AHRI 1230–2021 for critical
parameters measured during the CVP
constitute a ‘‘budget method’’ that
applies a limit to the calculated RSS
Points Total across all three critical
parameters instead of applying
individual tolerances to each individual
critical parameter.19 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. 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
specifies the converse, i.e., if no such
measurement period satisfying those
critical parameters exists within the
CVP, then certified critical parameter
values are deemed invalid. As discussed
and for the reasons explained in the
following sections, DOE is generally
adopting the CVP provisions as
proposed in the December 2021 VRF TP
NOPR.
2. When the CVP Is Conducted
In the December 2021 VRF TP NOPR,
DOE proposed to adopt the CVP that is
specified in appendix C of AHRI 1230–
2021 in the product-specific
enforcement provisions for VRF multisplit systems at 10 CFR 429.134(s). 86
FR 70644, 70661 (Dec. 10, 2021).
Additionally, DOE proposed to specify
at 10 CFR 429.134(s)(3) that DOE would
conduct a CVP at each of the four IEER
cooling test conditions in the December
2021 VRF TP NOPR. Id. DOE also
proposed 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
19 In addition to recommending inclusion of a
CVP as 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. The
results were used to develop the ‘‘budget method’’
for CVP critical parameter verification specified in
Section C6 of AHRI 1230–2021.
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cooling conditions because the
maximum critical parameter values are
used for calculating normalized
deviation for CVPs at part-load
conditions. Id.
The CA IOUs, Daikin, and AHRI
commented that they support DOE’s
proposal to incorporate the CVP into its
product-specific enforcement
provisions. (CA IOUs, No. 11 at p. 2;
Daikin, No. 13 at p. 4; AHRI, No. 12 at
p. 5) The CA IOUs stated that this
proposal captured the intent of the VRF
TP Term Sheet and that this proposal
will capture the benefits of the CVP
while limiting test burden primarily to
the systems included in enforcement
testing. (CA IOUs, No. 11 at p. 2)
NEEA commented that the CVP is an
essential process to verify that the
system can perform according to its
rating. NEEA recommended that the
CVP should be required as a part of the
test procedure, not only included in
enforcement provisions. The commenter
stated that, without performing a CVP as
part of the test procedure, the
manufacturer may not be aware that its
equipment is underperforming until
DOE selects it for enforcement testing.
(NEEA, No. 14 at pp. 2–3)
Joint Advocates and the CA IOUs
commented that they support DOE’s
proposal to conduct a CVP at each of the
four load points. The CA IOUs stated
that the CVP is important at part-load
conditions, where deviation in the VRF
system performance is expected to be
largest. (CA IOUs, No. 11 at p. 2; Joint
Advocates, No. 9 at p. 2) AHRI and
Daikin pointed out that DOE’s proposal
to conduct a CVP at each load point
would be more than what is required for
AHRI’s certification program. (AHRI,
No. 12 at p. 10; Daikin, No. 13 at p. 7)
Daikin further commented that, due to
the relative newness of the CVP,
manufacturers would likely perform the
same CVP tests that DOE would perform
as part of enforcement testing, thereby
increasing test burden. (Daikin, No. 13
at p. 7) AHRI further commented that
other than conducting the CVP at all
load points, the burdens of the NOPR
proposals are similar to current industry
practice as indicated by AHRI 1230–
2021. (AHRI, No. 12 at p. 10)
With regards to NEEA’s comment,
DOE did consider the potential burden
and benefits of including the CVP as
part of the Federal test procedure, and
this evaluation revealed the following.
To start, DOE notes that the CVP is not
required for rating models as part of the
industry consensus test procedure
(AHRI 1230–2021). Per the certification
requirements adopted in this final rule
(see section III.G.2.b of this document),
manufacturers will be required to report
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the critical parameter settings at each of
the IEER test conditions as part of their
STI. Consequently, DOE expects that
manufacturers likely will develop these
certified values first through
investigative testing of some basic
models and then later, as knowledge of
VRF control systems improves, through
simulations. However, DOE expects that
manufacturers may determine that they
do not need to conduct the CVP on
every basic model in order to
understand the behavior of the system
controls to develop certified critical
parameters. For instance, a
manufacturer may conduct a CVP on
one or two models within a model line
and find that the resulting information
provides an adequate basis to develop
certified critical parameters for other
models in the model line (e.g., similar
models of differing capacities). Further,
manufacturers likely will have some
understanding of the dynamic system
controls behavior of their models
without conducting the CVP. Requiring
conducting the CVP for rating every
basic model would not provide
manufacturers this discretion, and it
could result in unnecessary and costly
testing.
Requiring the CVP to be conducted for
every basic model would require
manufacturers to physically test every
basic model of VRF multi-split systems.
Per current regulations at 10 CFR 429.43
and 10 CFR 429.70, manufacturers are
allowed to rate VRF multi-split systems
using AEDMs and are not required to
test every basic model. Therefore,
requiring the CVP to be conducted for
every basic model would substantially
increase the number of basic models
required to be physically tested.
Further, as described in the December
2021 VRF TP NOPR, DOE estimated that
the CVP would add approximately eight
hours of test time at each of the four
IEER load conditions during
enforcement testing. 86 FR 70644, 70669
(Dec. 10, 2021). If the CVP were
required to be used at each IEER test
condition, each basic model would
potentially require over 30 hours of
testing time for the CVP, beyond the
testing time required to measure IEER.
Because manufacturers likely will
conduct CVP testing and simulation on
a number of their VRF models in order
to determine representative certified
settings for critical parameters in the
STI for all basic models, DOE finds that
NEEA’s suggestion to include the CVP
as part of the test procedure for VRF
multi-split systems would not
substantially change the critical
parameter settings manufacturers would
certify, and, thus, would not provide a
significant increase in
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representativeness of the test procedure.
Further, NEEA’s suggestion would
impose significantly more burden on
manufacturers than the approach
proposed in the December 2021 VRF TP
NOPR, because it would require
physical testing and conducting the CVP
for every basic model, rather than
allowing manufacturers to decide the
appropriate balance of CVP testing and
test burden to develop certified critical
parameter settings. Contrary to what
NEEA suggests, DOE also finds it
unlikely that manufacturers would not
take appropriate steps to assess their
equipment’s performance under the
CVP, particularly given the potential
business disruptions likely to result
were underperformance to be
encountered for the first time in the
context of DOE enforcement testing.
Given that not requiring the CVP for
testing is consistent with the VRF TP
Term Sheet and the most recent
industry consensus test procedure, DOE
does not have sufficient evidence to
conclude that requiring the CVP for
testing would improve the
representativeness of the test procedure
without being unduly burdensome.
Therefore, DOE is adopting the CVP as
product-specific enforcement provisions
for VRF multi-split systems in 10 CFR
429.134(s) as proposed.
With regard to conducting the CVP at
all four IEER load points, DOE found
through its investigative testing that
there is substantial variability in VRF
system behavior observed at different
IEER load points, and that the system
controls behavior at one IEER point does
not necessarily predict behavior at a
different load point. Therefore, DOE
concludes that separately validating
critical parameter behavior at each IEER
condition is needed as part of DOE
enforcement testing in order to
sufficiently ensure representative
system controls behavior. In
consideration of these factors and
comments received, in this final rule,
DOE is adopting its proposals at 10 CFR
429.134(v)(3) regarding performing a
CVP at full-load cooling conditions first,
then at each of the part-load cooling
conditions.
Adoption of the CVP in enforcement
provisions will not require
manufacturers to conduct the CVP on
every basic model. As previously
discussed, manufacturers likely will
choose not to conduct the CVP for every
basic model of VRF multi-split systems,
as they may find that simulations,
similarity between basic models
(particularly between models within a
model line), and their understanding of
the behavior of their system controls
provide sufficient basis to develop
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63871
certified critical parameter settings for
some of their model offerings. To the
extent that manufacturers conduct CVP
testing on their models in order to
sufficiently understand systems
behavior, DOE acknowledges that its
adoption of CVP testing at all four IEER
load points for enforcement testing
(rather than just at one IEER load point)
may result in manufacturers conducting
the CVP at more IEER load conditions
than they otherwise would have. DOE
acknowledges that in certain scenarios,
running three more CVPs could take up
to 24 hours. However, by performing the
CVP at the same time as IEER testing,
there would be no additional test
burden associated with unit set-up/
commissioning. Additionally, a CVP
could be completed immediately
following a steady-state test run at the
corresponding IEER load point, in
which case there would be no need to
change the test chamber temperatures
prior to conducting the CVP. Therefore,
DOE concludes that for the basic models
for which manufacturers choose to
conduct the CVP, conducting the CVP at
all four IEER load points would not be
unduly burdensome and would increase
the representativeness of the test
procedure. As discussed, DOE has
concluded that conducting the CVP at
all four IEER load points is needed to
ensure representative system behavior.
Therefore, DOE is adopting its proposals
at 10 CFR 429.134(v)(3) that as part of
assessment or enforcement testing, DOE
will perform a CVP at full-load cooling
conditions first, then at each of the partload cooling conditions.
In the December 2021 VRF TP NOPR,
DOE also proposed to specify that the
CVP would be performed on a single
system of the two-system sample during
enforcement testing. 86 FR 70644,
70661–70662 (Dec. 10, 2021).
AHRI, Lennox, the CA IOUs, and
Daikin commented that performing a
CVP on a single system is adequate,
provided that the testing laboratory
ensures the set-up is correct and that a
manufacturer representative is involved.
(AHRI, No. 12 at p. 5; Lennox, No. 8 at
p. 3; CA IOUs, No. 11 at p. 2; Daikin,
No. 13 at p. 4)
For the reasons discussed in the
December 2021 VRF TP NOPR and in
the preceding paragraphs, DOE adopts
its proposal to perform the CVP on a
single system during assessment or
enforcement testing. DOE is clarifying in
this final rule that a CVP would be
performed on a single system, regardless
of the sample size used for enforcement
(see section III.G.7 of this document for
further discussion of the enforcement
sampling plan). DOE’s use of the CVP
during assessment and enforcement
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testing is illustrated in Figure 1 in
section II of this final rule.
3. Critical Parameter Definition
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In the December 2021 VRF TP NOPR,
DOE proposed not to reference the
definition of ‘‘critical parameters’’ in
Section 3.11 20 of AHRI 1230–2021 in
order to be more explicit that the term
‘‘critical parameters’’ refers only to
those parameters specified by Section
5.1.2.1 of AHRI 1230–2021. DOE
proposed to define critical parameters in
section 3 of appendix D1 as specifically
referring to the following settings of
modulating components of VRF multisplit air conditioners and heat pumps:
compressor speed(s), outdoor fan
speed(s) and outdoor variable valve
position(s). 86 FR 70644, 70659 (Dec.
10, 2021). DOE tentatively concluded
that the proposed change to the
definition is editorial in nature and
would not change or conflict with any
testing provisions in AHRI 1230–2021.
Id. at 86 FR 70659–70660.
AHRI and Daikin commented that the
original definition for critical
parameters as written in AHRI 1230–
2021 should be used in the DOE test
procedure. (AHRI, No. 12 at p. 3; Daikin,
No. 13 at p. 2) AHRI stated that Section
5.1.2.1 of AHRI 1230–2021 specifies
what the critical parameters are for a
given system and stated their preference
that this be enumerated in the test
requirements rather than the definition
so as to align with AHRI 1230–2021.
(AHRI, No. 12 at p. 3) Daikin argued that
the proposed revision to the definition
does not add more specificity to which
components can be adjusted. (Daikin,
No. 13 at p. 2) The CA IOUs commented
that they support DOE’s proposed
definition for ‘‘critical parameters’’ and
limiting the term to the parameters
specified in section 5.1.2.1 of AHRI
1230–2021, and they agreed with DOE
that the proposal would not conflict
with any testing provisions in AHRI
1230–2021. (CA IOUs, No. 11 at p. 4)
Lennox commented that they support
DOE’s proposal to clarify that critical
parameters are limited to compressor
speeds, outdoor fan speeds, and outdoor
variable valve positions, stating that the
proposed definition would provide
clarity and consistency when
conducting a CVP. (Lennox, No. 8 at p.
3)
20 The CA IOUs stated that in proposed updates
to 10 CFR 431.97, subpart F, appendix D1, DOE
states that critical parameter(s) are defined in
section 3.10 of AHRI 1230–2021, but the correct
reference should be to section 3.11 of that industry
standard. (CA IOUs, No. 11 at p. 4) DOE
acknowledges this typographical error and has
corrected the section references in this final rule.
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While section 5.1.2.1 of AHRI 1230–
2021 clearly enumerates the three types
of components that can be specified for
testing and verified by conducting a
CVP, the definition of ‘‘critical
parameter’’ in AHRI 1230–2021 is rather
vague, open-ended, and susceptible to a
reading that would permit inclusion of
components that cannot be overridden
during testing (i.e., components other
than compressor speed(s), outdoor fan
speed(s) and outdoor variable valve
position(s)). DOE concludes that
specifying the relevant components in
the definition will add clarity to the test
procedure without conflicting with
existing provisions or adding
duplicative language into the test
procedure. Therefore, for the reasons
discussed in the December 2021 VRF TP
NOPR and in this paragraph, DOE is
adopting its proposed definition for
critical parameters that specifically
refers to the relevant components:
compressor speed(s), outdoor fan
speed(s) and outdoor variable valve
position(s).
4. Validation of Certified Critical
Parameters
As previously discussed, Sections
C6.1.2 and C6.1.3 of AHRI 1230–2021
specify validation criteria for the CVP
using a budget method that limits the
calculated RSS Points Total across all
three critical parameters. In the
December 2021 VRF TP NOPR, the
Department discussed this matter in
some detail, and DOE 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.
86 FR 70644, 70660 (Dec. 10, 2021). The
phrase ‘‘a measurement period of at
least three minutes and a minimum of
five sample readings’’ could be
misunderstood to indicate a
measurement period with no upper
limit, potentially encompassing the
entire duration of the CVP. This reading
could be misunderstood 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
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average value of RSS points at the time
of measurement. Id.
Accordingly, DOE proposed to clarify
these provisions by providing additional
instructions for validating critical
parameters in 10 CFR 429.134(s)(3)(ii).
Id. Specifically, DOE proposed 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. Id. DOE also proposed 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. Id.
a. Validation Time Period
Regarding DOE’s proposal to clarify
the language about the length of time
used for the critical parameter
validation period, AHRI commented
that DOE should not specify a duration
for the measurement period used for
validating critical parameters. AHRI
argued that it is not necessary to change
existing language, as increasing testing
duration will not improve the ability of
the equipment to conform to testing
conditions. (AHRI, No. 12 at pp. 3–4)
Daikin commented that while they agree
with DOE’s interpretation that
technically a maximum validation time
period is not specified in AHRI 1230–
2021, a longer test run would result in
a higher RSS point total. Daikin stated
that this is detrimental to determining
whether the critical parameters are valid
and asserted that a manufacturer would
likely test using the shortest time period
permitted by AHRI 1230–2021 (3 to 4
minutes). (Daikin, No. 13 at p. 3)
Despite both AHRI and Daikin
indicating that a maximum limit for
critical parameter validation is not
necessary, they acknowledged that there
may be merit in adding a maximum
time period and suggested changing this
period to twice that proposed (i.e., 8
minutes). Daikin and AHRI provided
three reasons to justify their proposals:
(1) there may be difficulty achieving all
three critical parameter values at the
same time; (2) if any one critical
parameter achieves its target setpoint
before the other critical parameters, the
system is penalized for going beyond
the target setpoint; and (3) the newness
of the CVP results in greater uncertainty.
(AHRI, No. 12 at pp. 3–4; Daikin, No. 13
at p. 3)
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In response, DOE understands
Daikin’s comment to reflect a
misunderstanding of the calculation of
the RSS points total, by suggesting the
potential for accumulating more points
as more time passes. As specified in
Section C6.1.1 of AHRI 1230–2021, RSS
points total is calculated at each data
collection interval during the R2
period 21 as an instantaneous
measurement, and, therefore, it does not
accumulate over time. AHRI’s
comments seemingly contradict each
other, as it in one place calls for an 8minute maximum period while at
another place it states that a maximum
period would have no effect. With
respect to AHRI and Daikin’s claims
about the timing with which critical
parameters achieve their target
operating states, DOE is aware of the
possibility that system controls may
achieve desired setpoints for one critical
parameter at a different time during the
CVP than other critical parameters.
However, the purpose of the CVP is to
validate 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. Because the measured
performance of VRF multi-split systems
is dependent on the simultaneous
interaction of each of the critical
parameters, critical parameter variation
must be evaluated based on the
simultaneous positions of each
parameter, not based on the behavior for
each parameter at different periods of
the CVP. Therefore, DOE concludes that
for representative IEER test results, the
critical parameter settings used in IEER
testing should be representative of a
combination of setpoints that would be
used simultaneously in real-word
applications. If the desired critical
parameter setpoints are achieved in the
CVP at times far enough apart that the
RSS Points Total limit is not met within
the maximum length of validation
period, then the certified critical
parameter settings should be invalidated
(i.e., not used for steady-state IEER
testing). Daikin and AHRI also did not
provide any evidence to support their
suggestion for increasing the duration of
the validation period beyond the
duration in DOE’s proposed clarification
of Sections C6.1.2 and C6.1.3 of AHRI
1230–2021. Because, as discussed in
section III.C.1 of this document, the
Working Group unanimously
21 Section C4.4.2 of AHRI 1230–2021 defines the
‘‘R2 period’’ as beginning when the measured
indoor dry-bulb temperature first crosses from
above 82 °F to below 82 °F, and as ending when any
indoor unit that was designated thermally active at
the start of the CVP becomes thermally inactive.
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recommended that DOE adopt a test
procedure referencing AHRI 1230–2021,
DOE understands AHRI 1230–2021 to
represent the industry consensus
opinion. By extension, DOE
understands the critical parameter
validation time period between 3–4
minutes specified in AHRI 1230–2021 to
reflect consensus on an appropriate
validation time interval that provides
for sufficient data collection and
representative results.
For the reasons discussed in the
December 2021 VRF TP NOPR and in
the preceding paragraphs, in this final
rule, DOE is adopting its proposal to
specify in 10 CFR 429.134(v)(3)(ii) the
duration of the time period used for
validating critical parameters. The
additional instruction results in a
validation period lasting a minimum of
three minutes and a maximum of four
minutes. For tests using the longest
allowable data collection interval,22 the
time required to obtain five sample
readings would be four minutes (once at
the start of the interval plus four
successive measurements, once each
minute). For tests using shorter data
collection intervals, the validation time
period would be either the time
required to achieve five sample readings
or three minutes, whichever is longer.
b. Validation Criteria
Regarding DOE’s proposal to validate
certified critical parameters based on
the presence of a period (with duration
discussed in section III.E.4.a of this
document) having an average RSS
points total less than or equal to 70
points, the CA IOUs commented that
they agree that the RSS Point Total
budget of 70 points should be large
enough to account for any potential
source of variability. (CA IOUs, No. 11
at pp. 2–3) In contrast, AHRI and Daikin
commented that CVP testing has only
been conducted on a limited subset of
products, with very few water-source
products and no products over 240,000
Btu/h. These commenters further
asserted that no lab-to-lab test validation
has been conducted, especially between
manufacturer laboratories and thirdparty laboratories. AHRI and Daikin also
asserted that manufacturers have
observed that changes in the indoor
chamber temperature ramp rate impact
the unit’s ability to meet the average
RSS points total and to reach conditions
of the CVP. For these reasons, AHRI and
Daikin recommended that in the case
that a CVP invalidates the certified
critical parameter settings during
22 Table C2 of AHRI 1230–2021 specifies the
minimum data collection intervals for recording
data during the CVP.
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63873
enforcement testing, DOE should
require that a second CVP be conducted
at an adjusted ramp rate to re-attempt
validation. (AHRI, No. 12 at pp. 4–5;
Daikin, No. 13 at pp. 3–4)
Regarding AHRI and Daikin’s claims
about the potential for variation
between different CVP test runs, as
discussed in section III.E.1 of this final
rule, the budget method (adopted at 10
CFR 429.134(v)(3)(ii) in this final rule)
allows manufacturers flexibility in
critical parameter control strategies
while still constraining the overall
variation in VRF multi-split system
performance. Following Working Group
meetings, DOE conducted testing and
sensitivity analysis of several VRF
multi-split systems, the results of which
were incorporated into the development
of the budget method for CVP critical
parameter verification specified in
Section C6 of AHRI 1230–2021. The 70point threshold was developed as part
of AHRI 1230 Technical Committee
meetings in which DOE presented
anonymized and aggregated test data. As
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 account 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 specify
a 70-point budget in AHRI 1230–2021.
Additionally, in the December 2021
VRF TP NOPR, DOE specifically
requested 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. 86 FR
70644, 70662 (Dec. 10, 2021). DOE did
not receive any data in response to this
request. For these reasons, DOE
concludes that based on all available
data, the RSS points total budget of 70
points is appropriately flexible to
account for any issues with lab-to-lab
and unit-to-unit repeatability when
conducting the CVP.
With regard to AHRI and Daikin’s
proposal to allow a second CVP to be
conducted at an alternate ramp rate,
DOE does not have sufficient
information to support such an
addition. As codified in this final rule,
manufacturers will be responsible for
reporting in their STI specific
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instructions for conducting the CVP
including ramp rate, starting
temperature, and thermally active
indoor units. The CVP then includes
provisions for ensuring that the test
laboratory properly conducts the CVP
per manufacturer specifications.
Manufacturers also will be required to
report certified critical parameter values
in their STI, which the manufacturer
may develop based on a CVP conducted
using the same instructions. These three
provisions are all aligned to ensure the
CVP is performed consistently and that
results are more predictable (i.e.,
manufacturers can set their own ramp
rate and CVP conditions, within bounds
of the test procedure, that would
provide the most consistent results).
Additionally, DOE reiterates that the
budget method used for validating
critical parameters was designed to give
enough flexibility to account for lab-tolab and test-to-test variation in CVP
results. Allowing an additional CVP run
to attempt validation of critical
parameters would in effect expand the
uncertainty allowance beyond that
agreed upon by the AHRI 1230
Technical Committee and addressed in
AHRI 1230–2021. Therefore, in this
final rule DOE is not adopting the
suggestion to allow a second CVP to be
conducted at an alternate ramp rate.
AHRI further commented that if
DOE’s proposals regarding CVP
validation of certified critical
parameters were implemented as
enforcement guidance instead of
through regulation, then the provisions
could be changed or rescinded more
easily as industry gains experience with
conducting the CVP. (AHRI, No. 12 at p.
5)
As discussed, the CVP provisions
(including the RSS points total budget
of 70 points) were developed using the
data gathered by testing several VRF
multi-split systems. These data showed
that a 70-point budget would be
sufficient to account for lab-to-lab and
unit-to-unit test variability. The
provisions have also been thoroughly
discussed in Working Group and AHRI
1230 Technical Committee meetings
prior to inclusion in the most recent
industry consensus test procedure AHRI
1230–2021. Therefore, DOE concludes
that the CVP provisions are appropriate
for inclusion in DOE’s regulations.
Further, DOE finds that codifying the
CVP provisions in regulation provides
greater certainty for when and how the
CVP would be used and prevents
sudden shifts in policy or interpretation.
Based on discussion in the December
2021 VRF TP NOPR and in the
preceding paragraphs, DOE is adopting
its proposal at 10 CFR 429.134(v)(3)(ii)
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specifying 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.
5. Determination of Alternate Critical
Parameters
In the December 2021 VRF TP NOPR,
DOE proposed that in cases in which a
CVP is not conducted, or if a CVP is
conducted and the manufacturerspecified critical parameters are
validated, the critical parameter values
certified in the STI are to be used as the
initial control inputs when conducting
the IEER cooling test at the
corresponding full- or part-load cooling
condition. 86 FR 70644, 70661 (Dec. 10,
2021). In cases in which a CVP fails to
validate the certified critical parameter
values, DOE proposed at 10 CFR
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.
Id.
To provide further specification for
determining these alternate parameters,
DOE proposed to use the same
procedure for determination of
measurement period length as was
proposed for validation of certified
critical parameters in 10 CFR
429.134(s)(3)(ii)(A): 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. 86 FR 70644, 70661
(Dec. 10, 2021). DOE also proposed 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 duration. Id. If multiple
such periods exist with the same RSS
Points Total, DOE proposed to select the
period closest to (but before) the time
when the first indoor unit becomes
thermally inactive (tOff). Id.
Daikin agreed that neither the
Working Group nor the AHRI 1230
Technical Committee resolved the
question of how to determine alternate
critical parameter values in the case
where a CVP invalidates the
manufacturer’s certified values. Daikin
concurred with DOE’s suggested
approach for determining alternate
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critical parameter settings. (Daikin, No.
13 at p. 3) DOE did not receive any
other comments specific to the question
of how to determine alternate critical
parameters following a CVP that fails to
validate the manufacturer-certified
critical parameter settings. For the
reasons discussed in the December 2021
VRF TP NOPR and in this section, DOE
is adopting the provisions for
determining alternate critical parameter
values in this final rule as proposed.
F. Allowable Critical Parameter
Adjustment
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. In the
December 2021 VRF TP NOPR, DOE
tentatively determined that amendments
to this section of AHRI 1230–2021 are
required and proposed to specify
allowable critical parameter adjustments
in section 5.2 of appendix D1 to subpart
F of part 431. 86 FR 70644, 70662 (Dec.
10, 2021). Specifically, DOE proposed
(1) 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; (2) clarification 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; and (3)
clarification to 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).
Id. at 86 FR 70662–70663.
Daikin expressed support for DOE’s
proposal to calculate normalized critical
parameter variation during the
adjustment process if tested capacity is
above the target capacity and also
supported the proposal to adjust critical
parameters to meet capacity
requirements. (Daikin, No. 13 at p. 4)
AHRI supported the clarifications
proposed by DOE and commented that
the Department should provide example
calculations for each case so as to
provide additional clarity. Specifically,
AHRI mentioned that for systems with
multiple modules (i.e., outdoor units),
there are two types of critical
parameters: (1) those that can be set for
each module and (2) those that have one
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value for multiple modules. (AHRI, No.
12 at p. 6)
For the reasons discussed in the
December 2021 VRF TP NOPR and in
the preceding paragraphs, DOE is
finalizing its proposals to add clarifying
language to the provisions for
determining allowable critical
parameter adjustments when
conducting IEER testing.
Regarding AHRI’s request that DOE
provide example calculations for ‘‘each
case’’ describing allowable critical
parameter adjustments, the scope of
AHRI’s suggestion is unclear (e.g.,
whether AHRI requested example
calculations for different equipment
classes of VRF multi-split systems or for
different permutations of critical
parameters). Further, DOE finds that the
proposed instructions for critical
parameter adjustments are sufficient for
testing multi-module VRF multi-split
systems, even if parameters are
controlled jointly across modules.
Section 5.2 of appendix D1 describes
critical parameter adjustments and
includes provisions that accommodate
differential or shared adjustments of
multiple instances of the same critical
parameter (e.g., two compressors).
Because the existing test provisions
sufficiently cover the scenario described
by AHRI, and because AHRI did not
provide any other examples of VRF
multi-split system configurations or
control schemes for which the proposed
testing provisions for critical parameter
adjustments are unclear, DOE is not
adding example calculations for critical
parameter adjustments in this final rule.
In the case that a VRF multi-split
system configuration exists that raises
questions about how the DOE test
procedure should apply, DOE notes that
it will receive general inquiries via
email at
ApplianceStandardsQuestions@
ee.doe.gov. DOE also maintains a
repository of frequently asked questions
pertaining to additional guidance issued
by DOE.23 In addition, if it is ultimately
determined that a VRF multi-split
system configuration exists for which
the critical parameter adjustment
procedures will result in an inability to
test the system or provide materially
inaccurate performance results,
manufacturers may petition DOE for a
23 DOE’s website houses frequently asked
questions (FAQs) pertaining to the DOE Appliance
Standards Program. The FAQ list is available at:
https://www.energy.gov/eere/buildings/appliancestandards-guidance-and-frequently-askedquestions-faqs, or interested parties may submit a
new question at: https://www.energy.gov/eere/
buildings/appliance-standards-guidance-andfrequently-asked-questions.
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test procedure waiver under 10 CFR
431.401.
regarding adjustment of alternate critical
parameter values.
2. Adjustment of Alternate Critical
Parameter Values
As described in section III.E.5 of this
document, DOE proposed to clarify
how, in the event that a manufacturer’s
certified critical parameter settings were
invalidated through the CVP, alternate
critical parameters would be determined
and used as control inputs during DOE
enforcement testing. 86 FR 70644, 70663
(Dec. 10, 2021). In the December 2021
VRF TP NOPR, DOE elaborated that in
such a case, it may still be necessary to
adjust the alternate critical parameter
values in order to meet capacity
tolerances and SHR limits for the IEER
test. Accordingly, DOE proposed to
include provisions at 10 CFR
429.134(s)(3)(iii)(B)(3) specifying 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 in order
to comply with capacity and/or SHR
requirements. Id.
Specifically, DOE proposed to rely on
the methods for adjustment of critical
parameters in proposed section 5.2 of
appendix D1 to subpart F of part 431
with two modifications. Id. First, DOE
proposed 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,
DOE proposed 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. Id.
AHRI commented that it supports
DOE’s proposal to use alternate critical
parameters for IEER adjustments in the
case of invalidated STI critical
parameters, as this proposal clarifies
how a test would be run in this
situation. (AHRI, No. 12 at p. 6) Daikin
commented that DOE’s proposed
adjustments to meet capacity
requirements, if not provided by the
manufacturer in the STI, is acceptable.
(Daikin, No. 13 at p. 4) DOE did not
receive any additional comments on this
topic.
Based on the discussion presented in
the December 2021 VRF TP NOPR and
in the preceding paragraphs, DOE is
adopting its proposals for section 5.2 of
appendix D1 to subpart F of part 431
G. Certification, Compliance, and
Enforcement
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1. Determination of Represented Values
a. Introduction
VRF multi-split systems are, by
definition, split-system commercial
package air conditioners and heat
pumps that employ an outdoor unit(s)
and multiple separate indoor fan coil
units connected in a single refrigerant
circuit. 10 CFR 431.92. VRF multi-split
heat pumps can be configured as heat
recovery systems, which allows for
recovered energy from the indoor units
operating in one mode (e.g., cooling) to
be transferred to one or more other
indoor units operating in the other
mode (e.g., heating). This necessitates a
heat recovery box that is installed
between the outdoor unit and indoor
units. Additionally, VRF multi-split
systems are available with different
refrigerant options and are sold with a
wide variety of components, including
many that can optionally be installed on
or within the unit, both in the factory
and in the field. Each optional
component may or may not affect a
model’s measured efficiency when
tested to the DOE test procedure
adopted in this final rule.
In the December 2021 VRF TP NOPR,
DOE proposed several items related to
configuration of the unit under test and
determination of represented values.
These proposals included instructions
on how to select indoor unit models (via
reference of the tested combination
requirements specified in section 6.2.1
of AHRI 1230–2021) and provisions
specifying the different represented
values that must be made for each
indoor unit type within a basic model,
as well as provisions for determination
of represented values for basic models
distributed in commerce with specific
components, heat recovery components,
and multiple refrigerants. 86 FR 70644,
70663–70665 (Dec. 10, 2021). These
proposals and related stakeholder
comments are discussed in paragraph
III.G.1.b of this document.
In this final rule, DOE is providing
additional discussion to help clarify the
interplay between the previously
proposed representation requirements,
the proposed indoor unit tested
combination requirements, and the
proposed approach for specific
components. The approach finalized by
this rule is substantively the same as the
corresponding proposals in the
December 2021 VRF TP NOPR. The
provisions adopted in this final rule and
the justification for adopting these
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provisions are described in greater
detail in section III.G.1.c of this
document.
b. NOPR Proposals and Comments
i. Tested Combination and Indoor Unit
Combinations
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In the December 2021 VRF TP NOPR,
DOE made two proposals pertaining to
represented values for different
combinations of VRF indoor unit
models. First, DOE proposed to
reference the tested combination
provisions from section 6.2.1 of AHRI
1230–2021 in the test procedure at
appendix D1. 86 FR 70644, 70663 (Dec.
10, 2021). These provisions instruct
how to select indoor unit models to
comprise a ducted, non-ducted, or
small-duct high-velocity tested
combination. Section 6.2.1 also specifies
an indoor unit selection hierarchy based
on indoor unit sub-type and other
design characteristics. For example, to
compose a non-ducted tested
combination, AHRI 1230–2021 specifies
compact 4-way ceiling cassettes as the
highest-priority selection and further
requires that the indoor unit model
having the lowest normalized coil
volume and lowest-efficiency indoor fan
motor within the specified indoor unit
type must be selected. Second, DOE
proposed that manufacturers must
determine separate represented values
for each indoor unit tested combination
that is distributed in commerce. 86 FR
70644, 70664 (Dec. 10, 2021). Through
this approach, each VRF basic model
would be required to include separate
representations for each of the ducted,
non-ducted, and small-duct, highvelocity indoor unit tested combinations
(if distributed in commerce in such a
combination). DOE also proposed that
manufacturers would be allowed to
make optional ‘‘mixed’’ representations
based on the simple average of
represented values of any two tested
combinations within a basic model. Id.
In response, AHRI, Carrier, and
Daikin commented that they support
DOE’s proposals for determining
represented values for different indoor
unit combinations/mixed combinations.
(AHRI, No. 12 at p. 6; Carrier, No. 7 at
p. 1; Daikin, No. 13 at p. 5). DOE did
not receive any comments specially
addressing its proposal to reference the
tested combination provisions from
section 6.2.1 of AHRI 1230–2021.
ii. Treatment of Specific Components
AHRI 1230–2021 outlines
requirements for specific components in
Appendix F, ‘‘Unit Configuration for
Standard Efficiency Determination—
Informative.’’ Appendix F provides
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discussion of components which would
not be considered in representations,
and provides instructions either to
minimize their impact during testing or
to determine representations for
individual models with such
components based on other individual
models that do not include them. In the
December 2021 VRF TP NOPR, instead
of referencing Appendix F of AHRI
1230–2021, DOE tentatively determined
that it was necessary to adopt similar
instructions in a more comprehensive
manner, so the Department proposed
provisions in the appendix D1 test
procedure, in the representation
requirements at 10 CFR 429.43, and in
the enforcement provisions at 10 CFR
429.134. 86 FR 70644, 70657 (Dec. 10,
2021).
Specifically, DOE proposed test
provisions in section 6 of appendix D1
that instructed how to test a VRF multisplit system equipped with any specific
component(s) listed in Table 6.1 24 of
that same section. 86 FR 70644, 70686
(Dec. 10, 2021). These provisions were
designed to minimize the impact on
measured performance caused by testing
with the specific component(s) present.
Additionally, DOE proposed
representation requirements in 10 CFR
429.43(a)(4) that explicitly allowed
representations for individual models
with certain components to be based on
testing for individual models without
those components; the proposal
included a table in 10 CFR
429.43(a)(4)(i) listing the two
components for which these provisions
would apply (air economizers and
desiccant dehumidification
components). 86 FR 70644, 70657–
70658 (Dec. 10, 2021). DOE also
proposed corresponding product
enforcement provisions in 10 CFR
429.134 indicating that DOE would
conduct enforcement testing on VRF
multi-split systems having individual
indoor unit models that do not include
air economizers or dehumidification
components, except in certain
circumstances. 86 FR 70644, 70658
(Dec. 10, 2021).
DOE also proposed to adopt language
more specific to VRF multi-split
systems, as compared to the general
language contained in section F2.4 of
AHRI 1230–2021. Specifically, DOE
proposed to use the term ‘‘individual
indoor unit models’’ to account for
potential discrepancies across
24 Table 6.1 includes test provisions for VRF
multi-split systems equipped with desiccant
dehumidification components, air economizers,
fresh air dampers, hail guards, low ambient cooling
dampers, power correction capacitors, and/or
ventilation energy recovery systems (VERS). 86 FR
70644, 70686–70687 (Dec. 10, 2021).
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individual indoor unit models that
comprise the VRF multi-split system
tested combination. 86 FR 70644, 70657
(Dec. 10, 2021). DOE’s proposed
approach would allow for the
individual consideration of specific
components on an indoor unit-byindoor unit basis to account for
scenarios in which individual indoor
unit models in the tested combination
differ in components.
For two components—coated coils
and steam/hydronic heat coils—DOE
did not propose to include these
components in the list of specific
components warranting enforcement
relief (i.e., provisions in 10 CFR
429.43(a)), nor did DOE propose any
provisions to minimize their impact
during testing (i.e., provisions in
appendix D1). DOE noted that coated
coils and steam/hydronic heat coils
were not included in the list of optional
features in Section F2.4 of AHRI 1230–
2021, and determined the industry
consensus to be that coated coils and
steam/hydronic heat options 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. 86 FR
70644, 70657 (Dec. 10, 2021).
Finally, DOE stated that, were DOE to
adopt the provisions in appendix D1, 10
CFR 429.43, and 10 CFR 429.134 as
proposed, DOE would rescind the
Commercial HVAC Enforcement Policy
to the extent it is applicable to VRF
multi-split systems. 86 FR 70644, 70658
(Dec. 10, 2021).
In comments on the December 2021
VRF TP NOPR, Lennox, AHRI, and
Carrier stated that they support DOE’s
proposal to include test provisions for
specific components, as outlined in
Table 6.1 of Appendix D1. (Lennox, No.
8 at p. 2; AHRI, No. 12 at p. 2; Carrier,
No. 7 at p. 1) Further, AHRI encouraged
DOE to specifically exclude VRF multisplit systems from the Commercial
HVAC Enforcement Policy going
forward so as to avoid confusion. (AHRI,
No. 12 at p. 2) Daikin commented that
coated coils, low ambient cooling
dampers, and power correction
capacitors are a part of the outdoor unit
model and asserted that a clarification
was needed at 10 CFR 429.43(a)(4) to
designate both indoor and outdoor unit
models, as opposed to just indoor unit
models. (Daikin, No. 13 at p. 2)
With respect to DOE’s proposals to
exclude coated coils and steam/
hydronic heat coils from the testing
provisions and from consideration when
determining represented values,
Lennox, AHRI, and Daikin all
commented that DOE should also
consider including coated coils and
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steam/hydronic heat coils in table 6.1,
as contained in the DOE Commercial
HVAC Enforcement Policy. (Lennox,
No. 8 at p. 2; AHRI, No. 12 at p. 2;
Daikin, No. 13 at p. 2) AHRI asserted
that coated coils should not be required
for testing because units will always be
available without them (i.e., represented
values should not be required to be
based on a VRF multi-split system with
coated coils when there would always
be an otherwise comparable model
available without coated coils). (AHRI,
No. 12 at p. 2) Daikin stated that adding
steam/hydronic coils to table 6.1 would
align regulations for VRF multi-split
systems with those for other equipment
categories, and that coated coils, low
ambient cooling dampers, and power
correction capacitors might be included
in the outdoor section of VRF multisplit systems. (Daikin, No. 13 at p. 2)
In response, DOE has considered
these comments and has determined
that clarifications are warranted to the
approach proposed in the December
2021 VRF TP NOPR regarding the
treatment of certain components for
determining represented values.
Therefore, DOE is adopting the
proposals made in the December 2021
VRF TP NOPR, with clarifications that
are discussed in detail in section
III.G.1.c of this final rule.
iii. Heat Recovery Components
Section 5.6 of AHRI 1230–2021
specifies that for all VRF heat recovery
systems, the heat recovery control unit
must be attached during all tests.
Similarly, section F2.3 of AHRI 1230–
2021 requires that all heat recovery
components must be present and
installed for testing individual models
distributed in commerce with these
components. DOE proposed in the
December 2021 VRF TP NOPR to
reference Section 5.6 of AHRI 1230–
2021 in its proposed test procedures for
VRF multi-split systems at appendix D1.
86 FR 70644, 70651 (Dec. 10, 2021).
Consistent with section F2.3 of AHRI
1230–2021, DOE also proposed to
specify in 10 CFR 429.43(a) 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. 86 FR 70644, 70656 (Dec.
10, 2021).
DOE did not receive any comments
regarding heat recovery components in
response to the December 2021 VRF TP
NOPR. In this final rule, DOE is
finalizing its proposed test provisions in
appendix D1 but is removing its
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proposal to specify in 10 CFR 429.43(a)
that VRF multi-split systems distributed
in commerce with heat recovery
components must determine
represented value based on a
configuration of the basic model with
heat recovery components installed, as
discussed in section III.G.1.c.ii of this
final rule.
iv. Multiple Refrigerants
DOE proposed in the December 2021
VRF TP NOPR that in cases in which a
basic model of VRF multi-split system
can be used with multiple refrigerants
without requiring different hardware,
then 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. 86 FR 70644, 70665
(Dec. 10, 2021). DOE also clarified that,
should the use of a different refrigerant
require different hardware, this would
represent a different basic model and,
consequently, separate representations
of energy efficiency would be required.
Id.
The Joint Advocates, Lennox, and the
CA IOUs expressed support for DOE’s
proposal to use the refrigerant listed on
the unit’s nameplate that results in the
lowest cooling efficiency for represented
values. (Joint Advocates, No. 9 at p. 1;
Lennox, No. 8 at p. 3; CA IOUs, No. 11
at p. 4) The Joint Advocates commented
that DOE’s proposal would ensure that
when manufacturers test a basic model,
a refrigerant would not be selected that
overstates the efficiency of the
equipment as compared to if it were
charged with another (less-efficient)
refrigerant in the field. (Joint Advocates,
No. 9 at p. 1) The Joint Advocates and
the CA IOUs recommended allowing
manufacturers to make additional
representations for a basic model using
different (i.e., more-efficient)
refrigerants to demonstrate the benefits
of using more-efficient refrigerants.
(Joint Advocates, No. 9 at p. 1; CA IOUs,
No. 11 at p. 4)
DOE has considered these comments
and has determined that the multiple
refrigerant proposals made in the
December 2021 VRF TP NOPR are not
needed because the approach for
determining represented values adopted
in this final rule addresses the issue
consistent with the NOPR proposals
without need to specifically address
multiple refrigerants. This matter is
discussed in greater detail in section
III.G.1.c of this final rule.
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c. Final Rule Approach
i. Summary
As previously introduced, DOE is
finalizing an approach for determining
represented values that improves the
clarity of, but is not substantively
different than, the proposals in the
December 2021 VRF TP NOPR. In this
final rule, DOE is amending language in
10 CFR 429.43(a)(3)(ii) to clarify the
interplay between the indoor unit tested
combination, the representation
requirements pertaining to specific
components, and general requirements
pertaining to represented values. DOE
has structured the provisions at 10 CFR
429.43(a)(3)(ii) to reflect the different
considerations when selecting outdoor
vs. indoor units, and to highlight that
the specific components currently
subject to DOE enforcement relief (i.e.,
desiccant dehumidification components
and air economizers) are only applicable
at the level of indoor units within a
tested combination, not at the basic
model level. DOE is specifying that for
each indoor unit combination within a
basic model (i.e., ducted, non-ducted, or
SDHV), the representation must be
based on a combination of: (1) the leastefficient outdoor unit model distributed
in commerce for that particular basic
model which would be based on the
least-efficient refrigerant (as discussed
in section III.G.1.c.ii of this document);
and (2) the combination of indoor units
selected in accordance with the criteria
described in section III.G.1.c.iii of this
document. By taking this approach,
DOE is clarifying the interaction
between long-standing basic model
provisions, tested combination
requirements, and the treatment of
specific components for VRF multi-split
systems.
ii. Outdoor Unit and Heat Recovery
In this final rule DOE is: (1) clarifying
that the least-efficient outdoor unit
model within a basic model must be
used for determining represented
values; and (2) clarifying that the test
procedure requires that VRF multi-split
heat pumps with heat recovery must be
tested with heat recovery components
present, but without the need for
representation requirements as initially
proposed. DOE is not adopting any
exemptions to the ‘‘least-efficient’’
requirement for outdoor unit(s) used to
determine represented values because
neither of the specific components
listed in Table 2 to 10 CFR
429.43(a)(3)(ii)(B) (i.e., air economizers
and desiccant dehumidification
components—as adopted in this final
rule) are applicable for VRF outdoor
units.
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With respect to comments received
regarding multiple refrigerants available
for a basic model of VRF multi-split
system, because the efficiency of the
VRF multi-split system could be
impacted by different refrigerant
choices, the least-efficient outdoor
model requirement necessitates
consideration of the least-efficient
refrigerant when determining
represented values for that basic model.
Upon further consideration, DOE has
determined that the proposal in the
December 2021 VRF TP NOPR regarding
multiple refrigerants is already included
substantively in the provision adopted
at 10 CFR 429.43(a)(3) regarding leastefficient outdoor units, and that
additional provisions would be
redundant. As such, in this final rule,
DOE is not adopting the refrigerantspecific language at 10 CFR 429.43(a)(3)
that was proposed in the December 2021
NOPR.
Regarding heat recovery components,
as described in section III.G.1.b.iv of
this document, DOE proposed related
testing provisions in appendix D1 and
representation provisions in 10 CFR
429.43(a). In this final rule, DOE is
finalizing its proposed test provisions in
appendix D1 but is removing its
proposal to specify in 10 CFR 429.43(a)
that VRF multi-split systems distributed
in commerce with heat recovery
components must determine
represented value based on a
configuration of the basic model with
heat recovery components installed.
Upon further review of the test
provisions referencing section 5.6 of
AHRI 1230–2021, DOE has determined
that all VRF multi-split heat pumps
with heat recovery capability would
always be required by to be configured
with heat recovery components
installed. Further, DOE’s energy
conservation standards for VRF multisplit systems specified at 10 CFR 431.97
classify systems with and without heat
recovery to be in different equipment
classes, such that a given VRF basic
model does not contain systems with
and without heat recovery (as such
systems are certified under separate
equipment classes).25 The combination
25 DOE distinguishes certain VRF equipment
classes by ‘‘with heat recovery’’ and ‘‘without heat
recovery’’, and other equipment classes with ‘‘no
heating or electric resistance heating’’ and ‘‘all other
types of heating.’’ Footnote 1 to Table 13 to 10 CFR
431.97 specifies that VRF systems with heat
recovery fall under the category of ‘‘all other types
of heating’’ unless they also have electric resistance
heating. In the March 2022 VRF ECS NOPR, DOE
proposed to amend 10 CFR 431.97 to adopt the
equipment class structure found in ASHRAE
Standard 90.1–2016 for VRF multi-split systems,
which, if adopted would create separate equipment
classes for VRF heat pumps with and without heat
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of these provisions ensures that
represented values for VRF multi-split
heat pumps with heat recovery are
always determined with heat recovery
components installed. Therefore, DOE
finds its earlier proposal to be
unnecessary, and accordingly, the
Department is not adopting represented
value provisions related to heat recovery
components in this final rule.
iii. Indoor Unit Specification
DOE made several proposals in the
December 2021 VRF TP NOPR
pertaining to the selection of indoor unit
models when determining represented
values for the basic model of VRF multisplit system. 86 FR 70644, 70664–70665
(Dec. 10, 2021). As discussed elsewhere
in this document, DOE proposed
provisions related to different tested
combinations of indoor units (see
section III.G.1.b.i of this document),
certification reporting requirements (see
section III.G.2 of this document), and
provisions related to treatment of
specific components (see section
III.G.1.b.ii of this document).
As described in section III.G.1.b.i of
this document, DOE received only
supportive comments in response to its
proposals for determining represented
values for different indoor unit tested
combinations (i.e., ducted, non-ducted,
SDHV, and mixed representations
thereof). In light of these comments and
the reasoning provided in the December
2021 VRF TP NOPR, DOE is adopting its
earlier proposals pertaining to this topic
in this final rule.
The adopted provisions provide
guidance for determining required
represented values of indoor unit
combinations (i.e., ducted, non-ducted,
SDHV) and provide guidance for
determining optional mixed
representations that are determined by
taking a simple average of any two of
the required representations. By
adopting these provisions, each VRF
outdoor unit may include up to six
separate representations within the
same basic model number.
Regarding certification requirements,
as discussed in greater detail in section
III.G.2 of this document, DOE proposed
to require that manufacturers publicly
report the indoor unit combination (i.e.,
ducted, non-ducted, SDHV, or mixed)
used to determine represented values, as
well as all outdoor and indoor unit
model numbers used to compose the
tested combination. For the reasons
discussed in the December 2021 VRF TP
recovery for all capacity ranges and heat rejection
media (i.e., replacing any class distinctions based
on supplementary heating type). 87 FR 11335,
11346 (March 1, 2022).
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NOPR and in section III.G.2.a of this
document, DOE is adopting these
amended certification requirements as
proposed. DOE also proposed to require
that manufacturers supply information
in their STI regarding whether specific
components were present or absent
when determining represented values
for the basic model. As discussed in
section III.G.2.b of this document, DOE
is not adopting certification
requirements related to specific
components in this final rule.
Regarding specific components, DOE
is clarifying the provisions at 10 CFR
429.43(a)(3) that cover the
determination of represented values for
VRF multi-split systems. In the
December 2021 VRF TP NOPR, DOE
proposed to individually consider
specific components on an indoor-unitby-indoor unit basis when determining
represented values. 86 FR 70644, 70657
(Dec. 10, 2021). DOE’s approach in this
final rule is consistent with the
approach in the NOPR in that it requires
consideration of specific components
for each indoor unit individually, rather
than at the basic model level. DOE has
also introduced the concept of ‘‘fullyspecified’’ indoor unit model numbers
in order to provide greater clarity about
selection of indoor units and to
explicitly tie these requirements to the
aforementioned certification
requirements.
For cases where an indoor unit model
number is fully specified in the public
certification (i.e., the indoor unit model
number includes sufficient information
to identify the presence or absence of all
components), DOE will require that the
indoor unit model number, precisely as
it appears as certified, shall be used for
determining represented values. For
example, for an indoor unit whose
certified model number affirmatively
designates the presence of
dehumidification components,
represented values must be determined
based on the indoor unit model with
dehumidification components installed,
regardless of whether otherwise
comparable indoor units are distributed
in commerce without dehumidification
components present. This approach
does not conflict with the tested
combination requirements in section 6.2
of AHRI 1230–2021, which sets
minimum criteria for indoor model
specification and does not disallow
further specification (including
specification of dehumidification
components and/or air economizers).
For cases where an indoor unit model
number is not fully-specified as part of
the certified tested combination (i.e.,
where the model number is constructed
in such a way that does not fully specify
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the absence or presence of all
components), DOE is applying the
represented value requirements as
proposed in the NOPR. This approach
requires that for indoor unit model
numbers that are not fully-specified in
the certification, a fully-specified indoor
unit must be selected to determine
represented values for the basic model.
This fully-specified indoor model
number must be consistent with the
certified indoor unit model number (i.e.,
all specified digits must match), and,
among the group of all indoor unit
models having a consistent model
number, must have the least number
(which may include zero) of specific
components (i.e., air economizers and
desiccant dehumidification
components) installed.
Regarding DOE’s proposed testing
provisions for specific components in
10 CFR 431, subpart F, appendix D1,
DOE is adopting the proposals from the
December 2021 VRF TP NOPR.
Specifically, DOE is finalizing
provisions in section 6 to appendix D1
that provide instruction how to test a
VRF multi-split system equipped with
any specific component(s) listed in
Table 6.1 26 of that same section.
As discussed, DOE received
comments suggesting that DOE should
consider including coated coils and
steam/hydronic heat coils in the list of
specific components in table 6.1 to
appendix D1. DOE also received similar
comments pertaining to coated coils in
response to other commercial HVAC
equipment test procedure NOPRs,
specifically the test procedure
supplemental notice of proposed
rulemaking (‘‘SNOPR’’) published for
direct expansion-dedicated outdoor air
systems (‘‘DX–DOASes’’) 27 (Docket No.
EERE–2017–BT–TP–0018, AHRI, No. 34
at p. 4). In response to the DX–DOAS
SNOPR, AHRI and Madison Indoor Air
Quality (‘‘MIAQ’’) asserted that some
coated coils impact performance, but
that each coating is different (Docket
No. EERE–2017–BT–TP–0018, AHRI,
No. 34 at p. 4; MIAQ, No. 29 at p. 4).
AHRI and MIAQ’s assertion that some
coated coils do impact energy use
suggests that there are other
implementations of coated coils that do
not impact energy consumption as
measured by the adopted test procedure
(i.e., the implementation of coated coils
does not necessarily or inherently
impact energy use). DOE has no data
26 Table 6.1 includes test provisions for VRF
multi-split systems equipped with desiccant
dehumidification components, air economizers,
fresh air dampers, hail guards, low ambient cooling
dampers, power correction capacitors, and/or
ventilation energy recovery systems (VERS).
27 See 86 FR 72874 (Dec. 23, 2021).
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indicating the range of impacts for those
coatings that do affect energy use, or
how other characteristics of the
coatings, such as durability and cost,
correlate with energy use impacts.
Absent such data, DOE is unable to
determine the specific range of impacts
on energy use made by coated coils.
Nevertheless, given that comments on
the DX–DOAS SNOPR suggest that
certain implementations of coated coils
do not impact energy use, DOE has
determined that for those units for
which coated coils do impact energy
use, representations should include
those impacts, thereby providing full
disclosure for commercial customers.
Consequently, DOE is not incorporating
coated coils into DOE’s provisions
specified in 10 CFR 429.43(a)(3) which
allow for the exclusion of specified
components when determining
represented values for VRF multi-split
systems. This approach is consistent
with the one DOE has established in a
final rule for the DX–DOAS test
procedure. 87 FR 45164, 45186 (July 27,
2022).
Commenters did not indicate whether
models are available with steam/
hydronic heat, thereby supporting
DOE’s tentative conclusion in the
December 2021 VRF TP NOPR that
steam/hydronic heat components are
not present in VRF multi-split systems
and/or models with these components
are not distributed in commerce. 86 FR
70644, 70657 (Dec. 10, 2021).
Consequently, DOE is finalizing its
proposal to exclude steam/hydronic
heat from the specific components list
for VRF multi-split systems in 10 CFR
429.43(a)(3).
As proposed in the December 2021
VRF TP NOPR, DOE sought to address
VRF multi-split systems that include the
specified excluded components both in
the requirements for representation (i.e.,
10 CFR 429.43) and as part of the
equipment specific enforcement
provisions for assessing compliance
(i.e., 10 CFR 429.143). 86 FR 70644,
70656–70658 (Dec. 10, 2021).
Instruction on which units to test for the
purpose of representations are
addressed in 10 CFR 429.43. DOE has
determined that including parallel
enforcement provisions in 10 CFR
429.134 would be redundant and
potentially cause confusion, because
DOE would select for enforcement only
those individual models that are the
basis for making basic model
representations as specified in 10 CFR
429.43. Therefore, in this final rule,
DOE is providing the requirements for
making representations of VRF multisplit systems that include the specified
components in 10 CFR 429.43, and is
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not including parallel direction in the
enforcement provisions of 10 CFR
429.134 established in this final rule.
However, DOE is finalizing the
provision that allows enforcement
testing of alternative individual models
with specific components, if DOE
cannot obtain for test the individual
models without the components that are
the basis of the representation.
In regards to the NOPR proposal that
DOE shall rescind the commercial
HVAC enforcement policy for VRF
multi-split systems, DOE has provided
substantive guidance for each
component included in both the DOE
Enforcement Policy and the ‘‘Equipment
Features Requiring Test Procedure
Action’’ from the term sheet agreed
upon by an ASRAC working group for
certain commercial HVAC equipment
(‘‘Commercial HVAC CCE Term
Sheet’’).28 (EERE–2013–BT–NOC–0023–
0052) Consequently, these documents
would no longer be applicable to VRF
multi-split systems and could
potentially cause confusion. To prevent
this confusion, DOE is clarifying in this
final rule that the provisions established
in this final rule will take precedence
over those in the DOE Enforcement
Policy and the Commercial HVAC CCE
Term Sheet, and that the
aforementioned documents will no
longer be applicable to VRF multi-split
systems. As previously discussed, this
change will not take effect until the
compliance date of amended energy
conservation standards for VRF multisplit systems denominated in terms of
IEER, should DOE adopt such standards.
2. Certification Reporting Requirements
a. Certification 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. As previously described, in the
December 2021 VRF TP NOPR DOE
proposed to amend the certification
reporting requirements for VRF multisplit systems to address the IEER metric
but did not propose amendments to the
current standards (in terms of EER). 86
FR 70644, 70665 (Dec. 10, 2021).
Subsequently, in the March 2022 VRF
ECS NOPR DOE proposed to amend
28 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.
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standards for VRF multi-split systems to
be in terms of the IEER cooling metric,
with a proposed compliance date of
January 1, 2024. 87 FR 11335, 11349
(March 1, 2022). Therefore, the
amended 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. In the December 2021 VRF TP
NOPR, DOE proposed to add the
following items to the public
certification reporting requirements for
VRF multi-split systems:
• 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; and
• The refrigerant used to determine
the represented values for a basic model
(e.g., EER, IEER, COP, and cooling
capacity).
86 FR 70644, 70665 (Dec. 10, 2021). A
draft certification template reflecting the
proposed changes has been included in
the docket.29
In response to DOE’s certification
proposals, the Joint Advocates
commented that they support DOE’s
proposal to publicly report the heating
capacity for VRF multi-split systems,
stating that this requirement aligns with
reporting requirements for the cooling
metric and that consumers would be
interested in this information. (Joint
Advocates, No. 9 at p. 1) The CA IOUs
supported DOE’s certification proposals
but requested that the certification
report should clarify that COP is
measured per the ‘‘high temperature’’
heating test at 47 °F, to prevent
confusion with other temperatures at
which heating COP tests can be
conducted. As introduced in section
III.G.1.b.v of this document, the CA
IOUs also recommended allowing
manufacturers to make additional
representations for a basic model using
different (i.e., more-efficient)
refrigerants. (CA IOUs, No. 11 at p. 3)
The CA IOUs suggested a corresponding
certification requirement that the global
warming potential (GWP) of each
refrigerant be listed along with the
29 The draft certification template columns can be
found in the docket at: www.regulations.gov/
document/EERE-2021-BT-TP-0019-0001.
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performance information. (CA IOUs, No.
11 at p. 4)
With respect to the CA IOUs’
comment requesting clarification of the
COP heating condition in the
certification report, as discussed in
section III.D.2 of this document, DOE
acknowledges the need to clarify that
the ratings for heating mode tests of aircooled VRF multi-split heat pumps used
for compliance with standards are those
referred to as ‘‘High Temperature
Steady-state Test for Heating’’ in AHRI
1230–2021 and measured at 47 °F
outdoor ambient air temperature.
Additionally, DOE acknowledges the
need to clarify that the ratings for
heating mode tests of water-source VRF
multi-split heat pumps used for
compliance with standards are those
specified for ‘‘Water Loop Heat Pumps’’
in AHRI 1230–2021 and measured at
68 °F entering liquid temperature.
Consistent with the test procedure
provisions adopted in this final rule (as
discussed in section III.D.2 of this
document) and the CA IOUs’ suggestion,
DOE is amending the certification
template to read ‘‘Coefficient of
Performance, measured at 47 °F for airsource VRF multi-split heat pumps or
measured at 68 °F Entering Water
Temperature for water-source VRF
multi-split heat pumps.’’
With respect to the CA IOU’s
comments regarding certification
requirements for VRF multi-split
systems available with multiple
refrigerants, DOE has concluded that
because the efficiency of the VRF multisplit system could be impacted by
different refrigerant choices, the leastefficient outdoor model requirement
necessitates consideration of the leastefficient refrigerant when determining
represented values for that basic model
(see discussion in III.G.1.c.ii of this
document). In this final rule, DOE is
also finalizing its proposal to require
certification of the refrigerant used to
determine the represented values for a
basic model. By combining these
provisions, a set of represented values
will be determined for a given basic
model based on the least-efficient
outdoor unit (and, therefore, as
discussed, the least-efficient refrigerant),
and the refrigerant must be certified by
the manufacturer. Therefore, DOE is not
adopting the CA IOUs’ suggestions to
allow certification of multiple
refrigerants, because it would be
inconsistent with the Department’s
adopted requirement that the
represented values for a basic model be
based on the least-efficient outdoor unit.
Correspondingly, because DOE is not
adopting the CA IOU’s suggestion to
allow certification of multiple
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refrigerants, DOE has concluded that
requiring certification of the associated
refrigerant characteristics (i.e., GWP)
would provide minimal benefit, as there
will not be ratings for different
refrigerants within a basic model to
compare. Therefore, DOE has concluded
that requiring certification of refrigerant
GWP would be unnecessarily
burdensome.
DOE is adopting all other proposals
related to certification reporting
requirements, without change. As
discussed, these amended certification
reporting requirements are not required
until the compliance date of amended
energy conservation standards for VRF
multi-split systems denominated in
terms of IEER, should DOE adopt such
standards.
b. Supplemental Testing Instructions
The December 2021 VRF TP NOPR
included proposals to amend the STI
provisions at 10 CFR 429.43(b)(4) to
reflect the proposed amendments to the
test procedure and the proposed
adoption of the IEER metric. 86 FR
70644, 70666 (Dec. 10, 2021). DOE
proposed amendments and additions to
the STI requirements as follows:
• 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 10 CFR 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
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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;
• Removing the current requirement
to report compressor frequency
setpoints 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 VRF enforcement
provisions 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.
Further, in the December 2021 VRF
TP NOPR, DOE proposed at 10 CFR
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 10 CFR 429.43(a)(4).
Specifically, DOE proposed that the
manufacturer must certify in the STI 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
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. 86 FR 70644,
70666–70667 (Dec. 10, 2021). These
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proposed provisions would require
manufacturers to report whether the
represented values for that VRF multisplit system basic model were
determined based on the presence or
absence of air economizers and/or
desiccant dehumidification
components.
In commenting on DOE’s proposals in
this area, AHRI and Carrier stated that
STI requirements may need to include
provisions that specify which, if any,
components were used when
calculating efficiency ratings. (AHRI,
No. 12 at p. 2; Carrier, No. 7 at p. 1)
In response and as described in
section III.G.1.c.iii of this document,
DOE is finalizing an approach in this
rule requiring that if an indoor unit
model number is not fully specified in
the public certification, then
represented values must be determined
from a fully-specified individual indoor
unit model distributed in commerce that
must be consistent with the certified
indoor unit model number (i.e., all
specified digits must match). Among the
group of all indoor unit models having
a consistent model number, that VRF
system must have the least number
(which may include zero) of specific
components installed. Because the
representation requirements adopted in
this final rule provide clear direction as
to how to determine represented values
for basic models that include specific
components, DOE concludes that a
certification requirement for
manufacturers to report whether
representations are based on model(s)
with specific components installed
would be duplicative and would impose
unnecessary burden on manufacturers.
Therefore, DOE is not adopting any
certification requirements related to
specific components in this final rule.
DOE also proposed to require
reporting as part of the STI the
following manufacturer-specified input
conditions for conducting a CVP at each
of the four IEER cooling test conditions:
b The required thermostat setpoints
to ensure control for 80 °F dry-bulb
temperature when accounting for
setpoint bias;
b The starting indoor dry-bulb
temperature; and
b The indoor dry-bulb temperature
ramp rate.
Id.
The CA IOUs commented that the
system controls setting for steady-state
tests should be included in the STI
requirements. Specifically, the CA IOUs
suggested expanding the requirement
for the ‘‘required dip switch/control
settings for step or variable
components’’ to instead require ‘‘Dip
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63881
switch/Control Settings from the
manufacturer’s installation instructions
used for the full-load cooling and fullload heating tests.’’ The CA IOUs
asserted that this change would reduce
the test burden when determining
which control setting to use for the CVP
as part of enforcement testing. (CA
IOUs, No. 11 at p. 4) AHRI commented
that some certification reporting
requirements, such as compressor
speed, critical parameter settings, and
system device required for testing, are
confidential business information and
that they should be designated as such
for certification. AHRI elaborated on
this point by stating that the information
included in the STI is confidential and
should be designated as such. (AHRI,
No. 12 at pp. 6–7) Similarly, Daikin
commented that they support DOE’s
proposal for certification reporting
requirements, provided that all
confidential information may be
submitted in the STI, because the STI is
not available to the public. (Daikin, No.
13 at p. 5)
With respect to the CA IOU’s request
to amend the language of STI reporting
requirements for dip switch/control
settings, DOE interprets this suggestion
to mean that manufacturers would be
required to specify all dip switch/
control settings required for conducting
the full-load cooling and heating tests.
This would include all settings for ‘‘step
or variable components’’ in addition to
any other settings required for testing
that are not otherwise dictated by the
test procedure but may impact system
behavior—for example, ‘‘mode-type’’
settings (e.g., eco-mode) or settings
related to another function (e.g., noise
reduction settings). DOE finds that the
CA IOUs’ proposal would improve the
clarity of existing certification
requirements, as it would ensure that
the control settings needed for testing
are readily identifiable and that they are
used in a consistent manner during
testing. Further, DOE finds that the CA
IOUs’ suggestion would not require
additional collection of information by
manufacturers, because the settings
used for conducting testing would be
readily available to manufacturers.
Therefore, DOE is adopting the STI
certification requirements for VRF
multi-split systems as proposed in the
December 2021 VRF TP NOPR, with the
clarification that certification of dip
switch/control settings applies more
broadly than just step/variable
components. As discussed previously,
these amended STI certification
requirements are not required until the
compliance date of amended energy
conservation standards denominated in
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terms of IEER, should DOE adopt such
standards.
With respect to AHRI and Daikin’s
comments, DOE notes that certification
reports routinely include both public
and non-public information.
Specifically, 10 CFR 429.43(b)(2)
specifies requirements for public
equipment-specific information, and 10
CFR 429.43(b)(3) and (4) specify
requirements for equipment-specific
information and supplemental
information that are non-public. DOE
notes that the treatment of confidential
business information is addressed
pursuant to the regulations at 10 CFR
1004.11. Any person submitting
information that they believe to be
confidential and exempt by law from
public disclosure should submit via 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. While DOE is
responsible for making the final
determination with regard to the
disclosure or nondisclosure of
information contained in requested
documents, DOE will consider the
submitter’s views in making its
determination. 10 CFR 1004.11(a).
Accordingly, in light of the existing
framework for handling confidential
business information, DOE does not find
it necessary to adopt the additional
measures suggested by AHRI and
Daikin. For the reasons stated in the
December 2021 VRF TP NOPR and the
paragraphs here, DOE is adopting its
proposed amendments related to the
supplemental testing instructions for
VRF multi-split systems along with the
previously discussed modifications
suggested by the CA IOUs.
3. Models Required for AEDM
Validation
In the December 2021 VRF TP NOPR,
DOE proposed that the manufacturer
must validate an AEDM used to make
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 by testing at least a single
tested combination of that type of
indoor unit combination for each of the
two selected basic models. 86 FR 70644,
70667 (Dec. 10, 2021). If a manufacturer
makes representations for two types of
indoor unit combinations (i.e., ducted,
non-ducted, and/or SDHV indoor unit
combinations) within or across all its
basic models to which the AEDM
applies, DOE proposed that the
manufacturer must test at least: (1) a
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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. Id. 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 proposed 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.
Id.
In response, AHRI and Daikin
commented in support of DOE’s
proposal to amend the applicable
requirements for AEDM validation.
(AHRI, No. 12 at p. 7; Daikin, No. 13 at
p. 5) DOE received no other comments
on its AEDM proposals.
Accordingly, DOE is finalizing its
proposed AEDM validation
requirements for VRF multi-split
systems in 10 CFR 429.43(a)(2) and 10
CFR 429.70 to be similar to the sampling
plan requirements for tested units, as
discussed in section III.G.7 of this final
rule. Furthermore, DOE has concluded
that these AEDM validation
requirements are consistent with AHRI
1230–2021, because they ensure the
values developed with an AEDM
conform to the results obtained using
AHRI 1230–2021.
4. Manufacturer Involvement
a. Role of Manufacturer Representative
In light of the complexity of VRF
multi-split systems, the DOE test
procedure at 10 CFR 431.96(f) does
allow for limited manufacturer
involvement, specifying that a
manufacturer’s representative is allowed
to witness assessment and/or
enforcement testing, inspect and discuss
set-up only with a DOE representative,
and adjust only the modulating
components in the presence of a DOE
representative that are necessary to
achieve steady-state operation. In the
December 2021 VRF TP NOPR, DOE
proposed to establish new provisions for
manufacturer involvement as part of the
product-specific enforcement provisions
at 10 CFR 429.134(s)(2). 86 FR 70644,
70667 (Dec. 10, 2021). The proposals
largely align with Sections 5.1.2 and
6.3.3 of AHRI 1230–2021 but prescribe
more precisely the actions that a
manufacturer’s representative may take.
Specifically, DOE proposed that a
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manufacturer’s representative is allowed
to support commissioning of the VRF
multi-split system and to witness DOE
assessment or enforcement testing. Id at
86 FR 70667–70668. For all cooling and
heating tests, DOE proposed that all
control settings other than critical
parameters must be set by a member of
the third-party laboratory, and that a
manufacturer’s representative may
initially set all critical parameters to
their certified values. Id. at 86 FR 70668.
For IEER cooling tests only, DOE
proposed to specify that if additional
adjustments to critical parameters are
required for meeting capacity targets
and/or SHR limits, a manufacturer’s
representative may make such
adjustments in accordance with section
5.1 of appendix D1 using a proprietary
control tool. Id. DOE further proposed
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. Id. For
the heating test, DOE proposed 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. Id.
The CA IOUs, Joint Advocates, and
Lennox commented that they support
DOE’s proposal to specify the
parameters of manufacturer
involvement during testing. (CA IOUs,
No. 11 at p. 3; Joint Advocates, No. 9 at
p. 1; Lennox, No. 8 at p. 3) Joint
Advocates further asserted that the
language in Sections 5.1.2 and 6.3.3 of
AHRI 1230–2021 is ambiguous, and that
DOE’s proposed language clarifies the
role of the manufacturer’s representative
during testing. (Joint Advocates, No. 9 at
p. 1) The CA IOUs stated that DOE’s
proposals strike a reasonable balance
between ensuring objective/repeatable
ratings and the complexity associated
with testing VRF multi-split systems.
(CA IOUs, No. 11 at p. 3)
AHRI commented that, due to the
need for proprietary software, a
manufacturer’s representative, if
present, should set the control settings,
observed by a member of the third-party
lab. They elaborated that a member of a
third-party laboratory should set the
critical parameters in the case where a
manufacturer’s representative is unable
to be physically available or is choosing
not to be present. AHRI further
commented that they agree with DOE’s
proposals with respect to manufacturer
involvement for cooling tests but argued
that the manufacturer’s representative
should also be allowed to adjust the
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critical parameters for heating tests
(similar to IEER cooling tests). (AHRI,
No. 12 at pp. 7–8) Specifically, AHRI
argued that just as critical parameter
adjustments are needed for cooling tests
to meet capacity targets and/or SHR
limits, small adjustments to critical
parameters may be needed during
heating tests to account for set-up
variations between manufacturer and
third-party laboratories. Further, AHRI
asserted that on this topic, there is a
conflict between the language proposed
in the preamble and the proposed
regulatory text of the December 2021
VRF TP NOPR, so further clarification is
needed. The commenter referenced
language from the NOPR’s preamble (86
FR 70644, 70668 (Dec. 10, 2021)) stating
that a manufacturer’s representative
may not make critical parameter
adjustments during heating tests, and
would only be allowed to initially set
critical parameters to their certified
values. AHRI contrasted this with
language in the proposed regulatory text
at 10 CFR 429.134(s)(2)(ii) that would
allow the manufacturer’s representative
to adjust the critical parameters for
heating and IEER cooling tests (86 FR
70644, 70681 (Dec. 10, 2021)). (AHRI,
No. 12 at pp. 7–8)
Regarding AHRI’s request that a
manufacturer’s representative should set
the control settings rather than a
member of the third-party laboratory,
DOE interprets this request to refer to
control settings other than the critical
parameter settings (e.g., airflow control
settings) because, as discussed, DOE
proposed that the manufacturer’s
representative would set critical
parameter settings to their certified
values. DOE finds that requiring a
member of the laboratory to set other
control settings rather than a
manufacturer’s representative will
improve transparency into testing
practices by ensuring that settings used
for testing match the settings specified
in the manufacturer STI. Also, AHRI’s
suggestion conflicts with the language
present in AHRI 1230–2021 regarding
control settings other than critical
parameters. Specifically, Section 5.1.2.3
of AHRI 1230–2021 states that ‘‘control
settings shall be set by a member of the
laboratory. All control settings are to
remain unchanged for all load points
once system set up has been
completed.’’ DOE’s proposed approach
(i.e., requiring that all control settings
other than critical parameters be set by
a member of the third-party laboratory)
is consistent with the language from
Section 5.1.2.3 of AHRI 1230–2021,
which DOE understands to reflect the
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industry consensus approach and the
intent of the Working Group.
DOE interprets AHRI’s concern about
‘‘proprietary software’’ to suggest that a
member of the third-party laboratory
should not be allowed to interact with
such software. DOE finds that the use of
proprietary software is not a valid
reason to preclude involvement of thirdparty laboratory personnel during
testing. Per DOE’s proposal, a
manufacturer’s representative would be
allowed to support commissioning of
the VRF multi-split system to ensure
that any proprietary software is being
properly utilized by a member of the
third-party laboratory. The amended STI
certification requirements (described in
section III.G.2.b of this document)
ensure that members of the third-party
laboratory will be equipped with all
necessary information in order to set
control settings during testing. If a
manufacturer’s representative is not
available for testing, then testing would
proceed with a member of the thirdparty laboratory using the control tool as
provided by the manufacturer (see
discussion in section III.G.4.b of this
document)—an approach which was
similarly suggested by AHRI in their
comment. (AHRI, No. 12 at p. 8)
Therefore, DOE is finalizing its proposal
to require that members of the thirdparty laboratory set all control settings
(other than critical parameters) during
testing.
With regard to AHRI’s argument for
allowing critical parameter adjustments
for heating tests, the cooling capacity
targets and SHR limits specified in
Section 6.3.3 of AHRI 1230–2021 and
Section 5.2 of the proposed test
procedure in appendix D1 do not apply
to heating tests, and neither DOE’s
proposed test procedure nor AHRI
1230–2021 include any restrictions for
heating tests that would warrant critical
parameter adjustments. Further, DOE
disagrees with AHRI’s claim that critical
parameter adjustments are needed for
heating tests to account for set-up
variation between manufacturer and
third-party laboratories. DOE concludes
that the STI provides manufacturers
sufficient opportunity to certify critical
parameters, control settings, and any
additional testing information needed
for the third-party laboratories to
consistently test VRF multi-split
systems. Therefore, DOE finds that
allowing for critical parameter
adjustments during heating tests is
unnecessary and is inconsistent with
the industry consensus test procedure
recommended by the Working Group.
Regarding AHRI’s claim of
contradictory language, the language in
10 CFR 429.134(s)(2)(ii) proposed in the
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December 2021 VRF TP NOPR states, in
relevant part, the following under a
heading of ‘‘Manufacturer involvement
in heating tests and IEER cooling tests’’:
‘‘Critical 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).’’ 86 FR
70644, 70681 (Dec. 10, 2021). Neither
section 5.1 nor section 5.2 include any
provisions allowing critical parameter
adjustments during heating tests.
Specifically, section 5.1 of proposed
appendix D1 specifies provisions for
initially setting control settings
applicable for cooling and heating tests,
and section 5.2 specifies provisions for
allowable critical parameter adjustments
that apply only for IEER cooling tests.
Because the phrasing in proposed 10
CFR 429.134(s)(2)(ii) allows critical
parameter adjustments as described in
sections 5.1 and 5.2 of appendix D1,
which do not allow for critical
parameter adjustments during heating
tests, DOE concludes that the proposed
regulatory text is consistent with the
preamble discussion highlighted by
AHRI (86 FR 70644, 70668 (Dec. 10,
2021)). However, DOE recognizes the
potential to improve the clarity of the
regulatory text regarding the specific
adjustments that can be made by a
manufacturer representative.
Accordingly, in this final rule DOE is
adopting the proposed provisions for
manufacturer involvement as part of
product-specific enforcement provisions
at 10 CFR 429.134(v)(2). However, in
light of the confusion reflected in
AHRI’s comment, DOE is adopting
language in 10 CFR 429.134(v)(2) that
clarifies that critical parameter
adjustments apply only to IEER cooling
tests, not to heating tests.
b. Control Tool
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 the initial
settings or make additional adjustments
required by the test procedure. In the
December 2021 VRF TP NOPR, DOE
proposed to amend its enforcement test
notice requirements for VRF multi-split
systems at 10 CFR 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. 86 FR
70644, 70668 (Dec. 10, 2021).
Correspondingly, DOE proposed
provisions for VRF multi-split systems
at 10 CFR 429.104(b) that would require
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manufacturers to provide a means of
control for assessment testing, although
manufacturers would not be required to
provide the VRF multi-split system for
assessment testing. Id. 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.
Id. DOE also proposed 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. Id.
AHRI commented that the means of
control of the unit could not be shipped
‘‘from a retailer or distributor’’ because
it is not sold with the unit and,
therefore, not sold by a distributor. They
further commented that the means of
control would need to be provided by
the manufacturer, and preferably by the
manufacturer’s representative due to
confidentiality. They suggested the
following language: ‘‘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.’’ (AHRI, No. 12 at
pp. 7–8)
Daikin commented that DOE’s
proposal regarding manufacturer
involvement during assessment and
enforcement testing is acceptable,
provided that, should testing be
scheduled and then delayed due to
unforeseen circumstances (e.g., travel
issues, positive COVID–19 tests), the
provision stating ‘‘If a manufacturer’s
representative is not present for testing,
a member of the third-party laboratory
must set and adjust critical parameters
. . .’’ would not be invoked, but rather
the testing would be rescheduled.
Daikin further commented that a means
of control for running the CVP would
not be sold by retailers or distributors,
as it contains confidential company
intellectual property. Daikin suggested
regulatory text that would require the
manufacturer to ship any means of
control necessary for conducting testing,
if requested by DOE. Daikin also
suggested language specifying that the
means of control may be provided
separately from the system(s) selected
for testing, stating that it is not
appropriate to ship the controls tool
(usually a laptop) along with the VRF
equipment via less than truckload (LTL)
freight shipping. (Daikin, No. 13 at pp.
5–6)
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With regard to the logistics around
sending manufacturer control tools,
DOE acknowledges the comments from
AHRI and Daikin indicating that means
of control are not typically provided
with a VRF multi-split system and
would, therefore, not come from a
retailer or distributor, but directly from
the manufacturer, and potentially
separate from the VRF equipment itself.
Consequently, DOE is adopting the
proposed provisions at 10 CFR
429.104(b) and 10 CFR 429.110(b)(1)(iv)
with modifications to specify that, while
manufacturers must provide a means of
control for assessment testing, the
means of control (necessary for testing
conducted in accordance with appendix
D1) may be shipped directly from the
manufacturer, and separately from the
system(s) selected for testing. These
revisions are consistent with the
language proposed by Daikin in their
comment.
With regard to Daikin’s suggestion
that enforcement testing be rescheduled
if the manufacturer is unable to attend
due to ‘‘unforeseen circumstances,’’
DOE will consider such circumstances
as they arise on a case-by-case basis, and
the Department will balance between
providing reasonable flexibility and
maintaining the integrity of the
enforcement program. With regard to
AHRI’s suggestion that 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. DOE finds
that this suggestion is already consistent
with the proposed provisions covering
manufacturer involvement and with the
discussion in this section. In
consideration of all input received on
this topic, DOE is adopting its proposed
provisions at 10 CFR 429.104, 10 CFR
429.110, and 10 CFR 429.134 as
proposed, with the additional
clarifications previously discussed in
this section.
5. Break-In Period
The current Federal test procedure for
VRF multi-split systems specifies at 10
CFR 431.96(c) that 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
by AHRI 1230–2010. In the December
2021 VRF TP NOPR, DOE proposed to
include similar provisions for VRF
multi-split systems, but as part of the
STI certification requirements rather
than the proposed test procedure. 86 FR
70644, 70666 (Dec. 10, 2021). DOE did
not receive any comments in response
to this proposal.
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However, DOE inadvertently omitted
the 20-hour maximum time period from
the proposed STI certification
requirements. A 20-hour maximum time
period prevents DOE testing from being
unduly burdensome and is consistent
with the current Federal test procedures
for VRF multi-split systems as well as
numerous other categories of air
conditioners and heat pumps, including
three-phase CUAC/HPs with cooling
capacity less than 65,000 Btu/h, single
package vertical units, computer room
air conditioners, and central air
conditioners and heat pumps.
Therefore, DOE concludes that a 20hour limit on the specified break-in
period should also apply to testing VRF
multi-split systems according to
Appendix D1.
As such, for the reasons previously
stated, DOE is specifying in 10 CFR
429.43(b)(4) that a manufacturer may
certify a compressor break-in period
duration of 20 hours or less in its STI.
Further, DOE is adding a clarifying
provision at 10 CFR 429.134(v)(4)
stating that, during assessment and
enforcement testing, DOE will perform a
break-in period on VRF multi-split
systems using a duration specified by
the manufacturer only if a break-in
period duration is specified in the STI.
6. Certified Critical Parameter
Operational Settings
DOE proposed in the December 2021
VRF TP NOPR to add a certification
reporting provision specific to VRF
multi-split systems in 10 CFR
429.43(b)(5) stating 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. 86 FR 70644,
70668 (Dec. 10, 2021). DOE also
proposed to amend the enforcement
testing requirements at 10 CFR
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. Id. at
86 FR 70669.
Joint Advocates commented that DOE
should provide additional clarification
in the case when a manufacturer
becomes aware that their certified
critical parameter values have been
invalidated, and these commenters
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specifically suggested that DOE should
specify a timeline between becoming
aware of the invalid parameters and
recertifying the impacted models. (Joint
Advocates, No. 9 at p. 2) The CA IOUs
commented that they support DOE’s
proposal for evaluating compliance of a
system whose STI-reported critical
parameters have been invalidated. (CA
IOUs, No. 11 at p. 2) AHRI commented
that in the context of a ‘‘another party’’
(i.e., other than DOE) conducting a CVP
that results in invalidated operational
settings for critical parameters for a
basic model, DOE should clarify that
‘‘another party’’ should not be a
competitor, university, or party other
than DOE. They commented that only
DOE, a third-party lab contracted by
DOE, or AHRI should have access to the
STI. Further, they commented that if
‘‘another party’’ becomes aware of a
potential issue, an investigation should
take place rather than enforcement
action. (AHRI, No. 12 at p. 8)
In response, regarding the comments
received from the Joint Advocates and
AHRI about DOE’s procedures for
recertification and for initiating
enforcement testing, DOE notes that
these procedures pertain to DOE
enforcement testing policy more
generally, not just to VRF multi-split
systems. Under 10 CFR 429.102(a)(8), it
is a prohibited act for a manufacturer or
private labeler to knowingly
misrepresent the efficiency rating of any
covered product or covered equipment
distributed in commerce in a manner
that is not supported by test data (e.g.,
a manufacturer determines IEER rating
based on certified critical parameter
values which are later invalidated via a
CVP). For any other regulated product
types, DOE does not specify in
regulations a required timeline for
recertification or any constraints on the
information sources that DOE may
consider as part of an enforcement case.
For other categories of regulated air
conditioners and heat pumps for which
similar proprietary information may be
included in STI or non-public sections
of certification reports, the treatment of
any proprietary aspects of the
certification materials has been
adequately addressed under the existing
enforcement regulations without any
product-specific restrictions. Therefore,
while DOE acknowledges AHRI’s
concern that the critical parameter
settings necessary for testing contain
sensitive information, DOE has
concluded that VRF multi-split systems
do not warrant additional productspecific restrictions to the existing
enforcement regulations. Therefore,
DOE is not adopting a timeline
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regarding re-certification or defining
which entities are able to submit
information that may instigate potential
enforcement action for VRF multi-split
systems in this final rule. DOE will
consider any appropriately submitted
information in its assessment of
compliance on a case-by-case basis.
Based on the discussion presented in
the December 2021 VRF TP NOPR and
in the preceding paragraphs, DOE is
adopting the provisions as proposed in
the NOPR regarding the CCE process in
the event that certified critical
parameter operational settings have
been invalidated by a CVP. This process
is visually represented in Figure 1 in
section II of this document.
7. Enforcement Sampling Plan
The enforcement sampling plan for
VRF multi-split systems was last
amended in a final rule published in the
Federal Register on March 7, 2011,
which addressed certification,
compliance, and enforcement for
consumer products and commercial and
industrial equipment. 76 FR 12422
(‘‘March 2011 CCE Final Rule’’). In the
March 2011 CCE Final Rule, DOE
specified flexible sampling provisions
for certain covered products and
equipment for which there is a lower
market volume and/or manufacturing
tends to be more customized. 76 FR
12422, 12436 (March 7, 2011). DOE
included among such covered
equipment commercial heating, airconditioning, and ventilation
equipment, which includes VRF multisplit systems. Id. As established by the
March 2011 CCE Final Rule, 10 CFR
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 units when determining
a basic model’s compliance with
applicable energy conservation
standards.
In the December 2021 VRF TP NOPR,
DOE proposed to amend its enforcement
sampling plan requirements specific to
VRF multi-split systems to require a
sample size of two VRF multi-split
systems. DOE proposed a reduced
sample size to reflect what the
Department considers to be an adequate
sample size for assessment and
enforcement testing but that also
recognizes of the involved nature of
testing VRF multi-split systems. DOE
did not propose to amend the process
for determining compliance with energy
conservation standards (i.e., the
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
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63885
sample size of n1 = 2). 86 FR 70644,
70669 (Dec. 10, 2021).
The Joint Advocates commented that
they support DOE’s proposed sampling
plan, due to the complexity of the test
procedure commissioning for VRF
equipment. (Joint Advocates, No. 9 at p.
2). Daikin agreed that the cost burden of
testing VRF multi-split systems is high,
including the equipment itself, copper
piping, refrigerant, and laboratory
testing. (Daikin, No. 13 at p. 6)
However, Daikin expressed concern
with using a sample size of two
combined with the sampling plan found
in appendix B to subpart C of part 429.
Specifically, Daikin worried that the
sample size of only two units would be
unlikely to produce a sample mean and
standard deviation that match the
population mean and standard
deviation. Daikin provided examples
illustrating that a two-unit sample with
lower and more varied test results could
be determined compliant with the
standard (e.g., first sample testing at
16.1 and the second sample testing at
15.5 would be considered to meet a 17
IEER standard), while a different twounit sample with higher and less varied
test results could be determined noncompliant (e.g., first sample testing at
16.1 and the second sample testing at
16.2 would be considered to fail to meet
a 17 IEER standard). Daikin concluded
by asserting that it is not impractical,
due to inherent statistics, to test four
samples for enforcement. (Daikin, No.
13 at p. 6) AHRI commented that while
costs associated with procurement of
VRF multi-split systems may be high,
there is not sufficient technical
justification to deviate from the fourunit sample used for enforcement
testing. AHRI stated that using a
statistical sample to develop testing is
an important feature of DOE’s
enforcement program. (AHRI, No. 12 at
p. 9)
DOE recognizes the concerns from
AHRI and Daikin regarding the
proposed reduced enforcement
sampling plan for VRF multi-split
systems. In particular, DOE
acknowledges Daikin’s comments that
modifying the regulations to specify a
two-system enforcement sample with
the existing sampling plan at appendix
B to subpart C of part 429 could result
in further variation between the sample
standard deviation and the population
standard deviation. Therefore, DOE is
not amending the enforcement sampling
plan for VRF multi-split systems at 10
CFR 429.110(e)(2) as proposed, which
would have reduced the required
sample size from four units to two units.
Figure 1 in section II of this document
reflects this determination.
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Although DOE is not amending the
enforcement sampling plan for VRF
multi-split systems in this final rule,
DOE notes that stakeholder comments
agreed with DOE’s position in the
December 2021 VRF TP NOPR that the
burden associated with testing VRF
multi-split systems is significantly
higher than for other types of
commercial HVAC equipment. In the
March 2011 CCE Final Rule, DOE
established an initial sample size of four
units for this equipment and included
provisions that provides for testing of
fewer than four units if they are
unavailable at the time that the test
notice is received. 10 CFR 429.110(e)(3).
The enforcement provisions also
include a general provision applicable
to all covered products and equipment
that states if testing of the available or
subsequently available units of a basic
model would be impractical, as for
example when a basic model has
unusual testing requirements or has
limited production, DOE may in its
discretion decide to base the
determination of compliance on the
testing of fewer than the otherwise
required number of units. 10 CFR
429.110(e)(7). DOE explained in the
March 2011 CCE Final Rule that it
would, in its evaluation of testing
availability, take into consideration the
units themselves as well as availability
of third-party testing facilities to run the
DOE test procedure. 76 FR 12422, 12436
(March 7, 2011).
8. Certified vs. Tested Performance
In the December 2021 VRF TP NOPR,
DOE proposed a process for assessment
and enforcement testing for VRF multisplit systems to incorporate the CVP,
which was illustrated via a flowchart in
Figure 1 of that NOPR (repeated here as
Figure 2). 86 FR 70644, 70662 (Dec. 10,
2021). One of the paths in the diagram
showed that if a system was tested for
IEER and was determined to be in
compliance with the Federal standards,
but did not meet the certified IEER
value, then it would constitute an
improper certification and
manufacturers would be required to rerate and recertify that model.
DOE selects
sample of two
systems for testing
For one system only,
DOE conducts CVP at
each of the four IEER
cooling conditions
Certified critical
parameters are
valid for that
condition
YES
For both systems, DOE
conducts IEER test using
combination of certified
and/or alternate critical
parameters, as appropriate
alternate critical
parameters for
that condition
Daikin commented that this figure
illustrates that regardless of whether a
CVP is performed, the basic model must
be re-rated if the IEER testing results are
deemed invalid. Daikin asserted that the
proposed regulatory text did not
indicate that if critical parameters are
validated but the IEER is not validated
then a re-rate is required, as indicated
in the figure. (Daikin, No. 13 at p. 7)
AHRI asserted that DOE’s proposal
would introduce a tolerance on the
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certified IEER and claimed that DOE’s
proposal for certified IEER to be within
any tolerance of the rated IEER would
create a more stringent requirement for
VRF equipment than for other
Federally-regulated products. AHRI
further asserted that verification of
published ratings is the purpose of the
AHRI certification program, and that
DOE’s enforcement authority is to
ensure compliance with energy
conservation standards. However, AHRI
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acknowledged DOE’s enforcement
authority under 10 CFR 429.102(a)(8),
10 CFR 429.102(b), and 10 CFR
429.106(a), and further recognized that
10 CFR 429.114(b) provides that DOE
may issue a notice of noncompliance
determination in the event that the
Department determines a manufacturer
has failed to comply with an applicable
certification requirement with respect to
a particular basic model. However,
AHRI argued that besides DOE’s
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TPNOPR
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regulations for application of an AEDM
at 10 CFR 429.70,30 there are no other
references to or requirements
surrounding the accuracy of certified
ratings in subpart B—Certification.
(AHRI, No. 12 at p. 9)
In response, DOE clarifies that it did
not propose and is not adopting
amendments to the enforcement process
as it pertains to validating certified
performance with test results. DOE did
not propose any percentage agreement
between certified and tested
performance, and is not making any
such amendment to its regulations in
this final rule. As acknowledged by
AHRI in their comment, in the event
that DOE determines a manufacturer has
failed to comply with an applicable
certification requirement with respect to
a particular basic model, DOE may issue
a notice of noncompliance
determination to the manufacturer or
private labeler. 10 CFR 429.114(b). This
notice of noncompliance determination
will notify the manufacturer or private
labeler of its obligations including the
obligation to immediately comply with
the applicable certification requirement.
10 CFR 429.114(b)(2). To avoid further
confusion, DOE has clarified these
mechanisms in a revised CCE process
diagram for this final rule (see Figure 1
at section II of this document).
AHRI asserted that DOE’s proposal
would introduce a tolerance on the
certified IEER and claimed that DOE’s
proposal for certified IEER to be within
any tolerance of the rated IEER would
create a more stringent requirement for
VRF equipment than for other
Federally-regulated products. AHRI
further asserted that verification of
published ratings is the purpose of the
AHRI certification program, and that
DOE’s enforcement authority is to
ensure compliance with energy
conservation standards. However, AHRI
acknowledged DOE’s enforcement
authority under 10 CFR 429.102(a)(8),
10 CFR 429.102(b), and 10 CFR
429.106(a), and further recognized that
10 CFR 429.114(b) provides that DOE
may issue a notice of noncompliance
determination in the event that the
Department determines a manufacturer
has failed to comply with an applicable
certification requirement with respect to
a particular basic model. However,
AHRI argued that besides DOE’s
regulations for application of an AEDM
at 10 CFR 429.70,31 there are no other
references to or requirements
surrounding the accuracy of certified
ratings in subpart B—Certification.
(AHRI, No. 12 at p. 9)
In response, DOE clarifies that it did
not propose and is not adopting
amendments to the enforcement process
as it pertains to validating certified
performance with test results. DOE did
not propose any percentage agreement
between certified and tested
performance, and is not making any
such amendment to its regulations in
this final rule. As acknowledged by
AHRI in their comment, in the event
that DOE determines a manufacturer has
failed to comply with an applicable
certification requirement with respect to
a particular basic model, DOE may issue
a notice of noncompliance
determination to the manufacturer or
private labeler. 10 CFR 429.114(b). This
notice of noncompliance determination
will notify the manufacturer or private
labeler of its obligations including the
obligation to immediately comply with
the applicable certification requirement.
10 CFR 429.114(b)(2). To avoid further
confusion, DOE has clarified these
mechanisms in a revised CCE process
diagram for this final rule (see Figure 1
at section II of this document).
30 AHRI acknowledged that10 CFR 429.70
requires that for covered products with an energy
efficiency metric, the predicted efficiency of each
model calculated by applying the AEDM may not
be more than five percent greater than the efficiency
determined from the corresponding test of the
model.
31 AHRI acknowledged that 10 CFR 429.70
requires that for covered products with an energy
efficiency metric, the predicted efficiency of each
model calculated by applying the AEDM may not
be more than five percent greater than the efficiency
determined from the corresponding test of the
model.
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H. Effective and Compliance Dates
The effective date for the adopted test
procedure amendment will be 30 days
after publication of this final rule in the
Federal Register. EPCA prescribes that
all representations of energy efficiency
and energy use, including those made
on marketing materials and product
labels, must be made in accordance with
an amended test procedure, beginning
360 days after publication of the final
rule in the Federal Register. (42 U.S.C.
6314(d)(1)) To the extent the modified
test procedure adopted in this final rule
is required only for the evaluation and
issuance of updated efficiency standards
(e.g., standards using the IEER metric),
compliance with the amended test
procedure does not require use of such
modified test procedure provisions until
the compliance date of updated
standards.
I. Test Procedure Costs
In this final rule, DOE amends the
current test procedure for VRF multisplit systems at 10 CFR 431.96 by: (1)
incorporating by reference AHRI 1230–
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63887
2021 and ANSI/ASHRAE 37–2009; and
(2) establishing provisions for
determining IEER for VRF multi-split
systems. DOE also amends its 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 changes include the
incorporation of the 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 has determined that these
amended test procedures will be more
representative of an average use cycle
and will not be unduly burdensome for
manufacturers to conduct. The amended
appendix D, measuring EER and COP
per ANSI/AHRI 1230–2010, is simply a
relocation of and does not contain any
changes to the current Federal test
procedure, and, therefore, it will not
require retesting solely as a result of
DOE’s adoption of this amendment to
the test procedure. The test procedure in
appendix D1, measuring IEER and COP
per AHRI 1230–2021, will lead to an
increase in cost from appendix D
testing. DOE estimates that the cost for
third-party laboratory testing according
to 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 III.D.1 of this
document, the test procedure provisions
regarding IEER will not be mandatory
unless DOE amends the energy
conservation standards for VRF multisplit systems based on IEER. In the
event testing is required pursuant to
appendix D1, DOE has determined that
the new test procedure would not be
expected to increase the testing burden
on VRF multi-split system
manufacturers. All VRF multi-split
system manufacturers are AHRI
members; DOE is adopting the relevant
provisions of 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 by AHRI members
participating in AHRI’s certification
program. Additionally, DOE has
determined that the test procedure
amendments will not require
manufacturers to redesign any of the
covered equipment, will not require
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changes to how the equipment is
manufactured, and will not impact the
utility of the equipment.
IV. Procedural Issues and Regulatory
Review
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A. Review Under Executive Orders
12866 and 13563
Executive Order (‘‘E.O.’’) 12866,
‘‘Regulatory Planning and Review,’’ 58
FR 51735 (Oct. 4, 1993), as
supplemented and reaffirmed by E.O.
13563, ‘‘Improving Regulation and
Regulatory Review, 76 FR 3821 (Jan. 21,
2011), requires agencies, to the extent
permitted by law, to: (1) propose or
adopt a regulation only upon a reasoned
determination that its benefits justify its
costs (recognizing that some benefits
and costs are difficult to quantify); (2)
tailor regulations to impose the least
burden on society, consistent with
obtaining regulatory objectives, taking
into account, among other things, and to
the extent practicable, the costs of
cumulative regulations; (3) select, in
choosing among alternative regulatory
approaches, those approaches that
maximize net benefits (including
potential economic, environmental,
public health and safety, and other
advantages; distributive impacts; and
equity); (4) to the extent feasible, specify
performance objectives, rather than
specifying the behavior or manner of
compliance that regulated entities must
adopt; and (5) identify and assess
available alternatives to direct
regulation, including providing
economic incentives to encourage the
desired behavior, such as user fees or
marketable permits, or providing
information upon which choices can be
made by the public. DOE emphasizes as
well that E.O. 13563 requires agencies to
use the best available techniques to
quantify anticipated present and future
benefits and costs as accurately as
possible. In its guidance, the Office of
Information and Regulatory Affairs
(‘‘OIRA’’) in the Office of Management
and Budget (‘‘OMB’’) has emphasized
that such techniques may include
identifying changing future compliance
costs that might result from
technological innovation or anticipated
behavioral changes. For the reasons
stated in the preamble, this final
regulatory action is consistent with
these principles.
Section 6(a) of E.O. 12866 also
requires agencies to submit ‘‘significant
regulatory actions’’ to OIRA for review.
OIRA has determined that this final
regulatory action does not constitute a
‘‘significant regulatory action’’ under
section 3(f) of E.O. 12866. Accordingly,
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this action was not submitted to OIRA
for review under E.O. 12866.
B. Review Under the Regulatory
Flexibility Act
The Regulatory Flexibility Act (5
U.S.C. 601 et seq.) requires preparation
of a final regulatory flexibility analysis
(FRFA) for any final rule where the
agency was first required by law to
publish a proposed rule for public
comment, unless the agency certifies
that the rule, if promulgated, will not
have a significant economic impact on
a substantial number of small entities.
As required by Executive Order 13272,
‘‘Proper Consideration of Small Entities
in Agency Rulemaking,’’ 67 FR 53461
(August 16, 2002), DOE published
procedures and policies on February 19,
2003, to ensure that the potential
impacts of its rules on small entities are
properly considered during the DOE
rulemaking process. 68 FR 7990. DOE
has made its procedures and policies
available on the Office of the General
Counsel’s website: www.energy.gov/gc/
office-general-counsel. DOE reviewed
this final rule under the provisions of
the Regulatory Flexibility Act and the
procedures and policies published on
February 19, 2003.
DOE reviewed this rule under the
provisions of the Regulatory Flexibility
Act and the procedures and policies
published on February 19, 2003. DOE
certifies that the rule will not have a
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 amending 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(a)(1)(A))
DOE is updating 10 CFR 431.96,
‘‘Uniform test method for the
measurement of energy efficiency of
commercial air conditioners and heat
pumps,’’ as follows: (1) incorporate by
reference AHRI 1230–2021 and ANSI/
ASHRAE 37–2009, as corrected by the
Errata Sheet issued March 27, 2019; and
(2) establish provisions for determining
IEER for VRF multi-split systems. DOE
is adding new appendices D and D1 to
subpart F of part 431, both titled
‘‘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’’,
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respectively). The current DOE test
procedure for VRF multi-split systems is
being relocated to appendix D without
change, and the new test procedure
adopting AHRI 1230–2021 is being
established in appendix D1 for
determining IEER. Compliance with
appendix D1 is not required until the
compliance date of amended energy
conservation standards for VRF multisplit systems that rely on IEER, should
DOE adopt such standards.
DOE is also updating 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 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.
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 333415,32 ‘‘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 33 and the AHRI database.34
DOE identified ten original equipment
manufacturers (‘‘OEMs’’) of the covered
equipment.
In reviewing the ten OEMs for the
December 2021 VRF TP NOPR, DOE did
not identify any companies that met the
SBA criteria for a small entity because
all identified OEMs surpassed the SBA’s
employee threshold. 86 FR 70644,
32 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 7, 2022).
33 DOE’s Compliance Certification Database is
available at: www.regulations.doe.gov/ccms (Last
accessed April 22, 2022).
34 The AHRI Database is available at:
www.ahridirectory.org/ (Last accessed April 22,
2022).
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70671 (Dec. 10, 2021). DOE tentatively
concluded that the proposed rule would
not have a significant economic impact
on a substantial number of small
entities. DOE requested comment
regarding this assessment in the
December 2021 VRF TP NOPR. Id.
Because no comments were received in
response to this request and having
subsequently found no additional
information to the contrary, DOE
finalizes its conclusion that this final
rule will not have a significant
economic impact on a substantial
number of small entities.
Therefore, in the absence of small
business manufacturers, DOE concludes
that the cost effects accruing from this
test procedure final rule will not have
a ‘‘significant economic impact on a
substantial number of small entities,’’
and that the preparation of a FRFA is
not warranted. DOE has submitted a
certification and supporting statement
of factual basis to the Chief Counsel for
Advocacy of the Small Business
Administration for review under 5
U.S.C. 605(b).
C. Review Under the Paperwork
Reduction Act of 1995
Manufacturers of VRF multi-split
systems must certify to DOE that their
products comply with any applicable
energy conservation standards. To
certify compliance, manufacturers must
first obtain test data for their products
according to the DOE test procedures,
including any amendments adopted for
those test procedures. DOE has
established regulations for the
certification and recordkeeping
requirements for all covered consumer
products and commercial equipment,
including VRF multi-split systems. (See
generally 10 CFR part 429.) The
collection-of-information requirement
for the certification and recordkeeping
is subject to review and approval by
OMB under the Paperwork Reduction
Act (PRA). This requirement has been
approved by OMB under OMB control
number 1910–1400. Public reporting
burden for the certification is estimated
to average 35 hours per response,
including the time for reviewing
instructions, searching existing data
sources, gathering and maintaining the
data needed, and completing and
reviewing the collection of information.
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
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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
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-specific
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.
In this final rule, DOE is amending
the reporting requirements for VRF
multi-split systems as discussed in
section III.G.2 of this document. DOE
sent a revised information collection
approval to OMB under the existing
Control Number 1910–1400, which
reflected the changes in this rulemaking
as an amendment to the existing
information collection. More
specifically, in this final rule, DOE is
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63889
adding IEER, rated heating capacity,
indoor unit combination, and the
refrigerant used to determine the
represented values for a basic model to
the certification reporting requirements
for VRF multi-split systems. These
amended certification requirements
enable the use of the industry test
procedure, AHRI 1230–2021 (which, as
described in III.C.1 of this document,
DOE has concluded is more
representative for measuring VRF
performance). AHRI supported DOE’s
proposal to adopt IEER as determined
under AHRI 1230–2021 in the federal
test procedure for VRF multi-split
systems. (AHRI, No. 12 at p. 2) DOE
infers from AHRI’s supportive
comments that AHRI also plans to use
AHRI 1230–2021 as the test procedure
for its certification program for VRF
multi-split systems. Therefore, DOE
expects that manufacturers will already
have the required certification
information in order to test according to
the amended industry test procedure.
Additionally, AHRI 1230–2021 includes
an informative appendix D, which
specifies rated heating capacity and
indoor unit combination as fields to
include in the OEM’s certified
supplemental testing instructions.
Therefore, DOE concludes that adopting
the certification requirements in this
final rule will not constitute additional
burden, as compared to expected
industry practice.
DOE is requiring in this final rule that
respondents must submit electronic
forms using DOE’s online CCMS. DOE’s
CCMS is 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 also concludes that
manufacturers will rely on existing
record keeping systems to maintain the
additional information reported.
OMB has approved this revised
information collection under existing
OMB Control Number 1910–1400.
Notwithstanding any other provision of
the law, no person is required to
respond to, nor shall any person be
subject to a penalty for failure to comply
with, a collection of information subject
to the requirements of the PRA, unless
that collection of information displays a
currently valid OMB Control Number.
D. Review Under the National
Environmental Policy Act of 1969
In this final rule, DOE amends the test
procedure for VRF multi-split systems,
amendments which it expects will be
used to develop and implement future
energy conservation standards for such
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equipment. 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.
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E. Review Under Executive Order 13132
Executive Order 13132, ‘‘Federalism,’’
64 FR 43255 (August 10, 1999), imposes
certain requirements on agencies
formulating and implementing policies
or regulations that preempt State law or
that have federalism implications. The
Executive order requires agencies to
examine the constitutional and statutory
authority supporting any action that
would limit the policymaking discretion
of the States and to carefully assess the
necessity for such actions. The
Executive order also requires agencies to
have an accountable process to ensure
meaningful and timely input by State
and local officials in the development of
regulatory policies that have federalism
implications. On March 14, 2000, DOE
published a statement of policy
describing the intergovernmental
consultation process it will follow in the
development of such regulations. 65 FR
13735. DOE examined this final rule
and determined that it will not have a
substantial direct effect on the States, on
the relationship between the national
government and the States, or on the
distribution of power and
responsibilities among the various
levels of government. EPCA governs and
prescribes Federal preemption of State
regulations as to energy conservation for
the products that are the subject of this
final rule. States can petition DOE for
exemption from such preemption to the
extent, and based on criteria, set forth in
EPCA. (42 U.S.C. 6297(d)) No further
action is required by Executive Order
13132.
F. Review Under Executive Order 12988
Regarding the review of existing
regulations and the promulgation of
new regulations, section 3(a) of
Executive Order 12988, ‘‘Civil Justice
Reform,’’ 61 FR 4729 (Feb. 7, 1996),
imposes on Federal agencies the general
duty to adhere to the following
requirements: (1) eliminate drafting
errors and ambiguity; (2) write
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regulations to minimize litigation; (3)
provide a clear legal standard for
affected conduct rather than a general
standard; and (4) promote simplification
and burden reduction. Section 3(b) of
Executive Order 12988 specifically
requires that Executive agencies make
every reasonable effort to ensure that the
regulation: (1) clearly specifies the
preemptive effect, if any; (2) clearly
specifies any effect on existing Federal
law or regulation; (3) provides a clear
legal standard for affected conduct
while promoting simplification and
burden reduction; (4) specifies the
retroactive effect, if any; (5) adequately
defines key terms; and (6) addresses
other important issues affecting clarity
and general draftsmanship under any
guidelines issued by the Attorney
General. Section 3(c) of Executive Order
12988 requires Executive agencies to
review regulations in light of applicable
standards in sections 3(a) and 3(b) to
determine whether they are met or it is
unreasonable to meet one or more of
them. DOE has completed the required
review and determined that, to the
extent permitted by law, this final rule
meets the relevant standards of
Executive Order 12988.
G. Review Under the Unfunded
Mandates Reform Act of 1995
Title II of the Unfunded Mandates
Reform Act of 1995 (‘‘UMRA’’) requires
each Federal agency to assess the effects
of Federal regulatory actions on State,
local, and Tribal governments and the
private sector. Pub. L. 104–4, sec. 201
(codified at 2 U.S.C. 1531). For a
regulatory action resulting in a rule that
may cause the expenditure by State,
local, and Tribal governments, in the
aggregate, or by the private sector of
$100 million or more in any one year
(adjusted annually for inflation), section
202 of UMRA requires a Federal agency
to publish a written statement that
estimates the resulting costs, benefits,
and other effects on the national
economy. (2 U.S.C. 1532(a), (b)) The
UMRA also requires a Federal agency to
develop an effective process to permit
timely input by elected officers of State,
local, and Tribal governments on a
proposed ‘‘significant intergovernmental
mandate,’’ and requires an agency plan
for giving notice and opportunity for
timely input to potentially affected
small governments before establishing
any requirements that might
significantly or uniquely affect small
governments. On March 18, 1997, DOE
published a statement of policy on its
process for intergovernmental
consultation under UMRA. 62 FR
12820; also available at energy.gov/gc/
office-general-counsel. DOE examined
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this final rule according to UMRA and
its statement of policy and determined
that the rule contains neither an
intergovernmental mandate, nor a
mandate that may result in the
expenditure of $100 million or more in
any year, so these requirements do not
apply.
H. Review Under the Treasury and
General Government Appropriations
Act, 1999
Section 654 of the Treasury and
General Government Appropriations
Act, 1999 (Pub. L. 105–277) requires
Federal agencies to issue a Family
Policymaking Assessment for any rule
that may affect family well-being. This
final rule will not have any impact on
the autonomy or integrity of the family
as an institution. Accordingly, DOE has
concluded that it is not necessary to
prepare a Family Policymaking
Assessment.
I. Review Under Executive Order 12630
DOE has determined, under Executive
Order 12630, ‘‘Governmental Actions
and Interference with Constitutionally
Protected Property Rights,’’ 53 FR 8859
(March 18, 1988), that this regulation
will not result in any takings that might
require compensation under the Fifth
Amendment to the U.S. Constitution.
J. Review Under Treasury and General
Government Appropriations Act, 2001
Section 515 of the Treasury and
General Government Appropriations
Act, 2001 (44 U.S.C. 3516 note) provides
for agencies to review most
disseminations of information to the
public under guidelines established by
each agency pursuant to general
guidelines issued by OMB. OMB’s
guidelines were published at 67 FR
8452 (Feb. 22, 2002), and DOE’s
guidelines were published at 67 FR
62446 (Oct. 7, 2002). Pursuant to OMB
Memorandum M–19–15, Improving
Implementation of the Information
Quality Act (April 24, 2019), DOE
published updated guidelines which are
available at: www.energy.gov/sites/prod/
files/2019/12/f70/DOE%20Final%20
Updated%20IQA%20Guidelines
%20Dec%202019.pdf. DOE has
reviewed this final rule under the OMB
and DOE guidelines and has concluded
that it is consistent with applicable
policies in those guidelines.
K. Review Under Executive Order 13211
Executive Order 13211, ‘‘Actions
Concerning Regulations That
Significantly Affect Energy Supply,
Distribution, or Use,’’ 66 FR 28355 (May
22, 2001), requires Federal agencies to
prepare and submit to OMB, a
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Statement of Energy Effects for any
significant energy action. A ‘‘significant
energy action’’ is defined as any action
by an agency that promulgated or is
expected to lead to promulgation of a
final rule, and that: (1) is a significant
regulatory action under Executive Order
12866, or any successor order; and (2)
is likely to have a significant adverse
effect on the supply, distribution, or use
of energy; or (3) is designated by the
Administrator of OIRA as a significant
energy action. For any significant energy
action, the agency must give a detailed
statement of any adverse effects on
energy supply, distribution, or use if the
regulation is implemented, and of
reasonable alternatives to the action and
their expected benefits on energy
supply, distribution, and use.
This regulatory action is not a
significant regulatory action under
Executive Order 12866. Moreover, it
would not have a significant adverse
effect on the supply, distribution, or use
of energy, nor has it been designated as
a significant energy action by the
Administrator of OIRA. Therefore, it is
not a significant energy action, and,
accordingly, DOE has not prepared a
Statement of Energy Effects.
L. Review Under Section 32 of the
Federal Energy Administration Act of
1974
Under section 301 of the Department
of Energy Organization Act (Pub. L. 95–
91; 42 U.S.C. 7101), DOE must comply
with section 32 of the Federal Energy
Administration Act of 1974, as amended
by the Federal Energy Administration
Authorization Act of 1977. (15 U.S.C.
788; ‘‘FEAA’’) Section 32 essentially
provides in relevant part that, where a
proposed rule authorizes or requires use
of commercial standards, the notice of
proposed rulemaking must inform the
public of the use and background of
such standards. In addition, section
32(c) requires DOE to consult with the
Attorney General and the Chairman of
the Federal Trade Commission (‘‘FTC’’)
concerning the impact of the
commercial or industry standards on
competition.
The modifications to the Federal test
procedure for VRF multi-split systems
adopted in this final rule incorporates
testing methods contained in certain
sections of the following applicable
commercial test standards: AHRI 1230–
2021 and ANSI/ASHRAE 37–2009. DOE
has evaluated these standards and is
unable to conclude whether they fully
comply with the requirements of section
32(b) of the FEAA (i.e., whether they
were developed in a manner that fully
provides for public participation,
comment, and review). DOE has
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consulted with both the Attorney
General and the Chairman of the FTC
about the impact on competition of
using the methods contained in these
standards and has received no
comments objecting to their use.
M. Congressional Notification
As required by 5 U.S.C. 801, DOE will
report to Congress on the promulgation
of this rule before its effective date. The
report will state that it has been
determined that the final rule is not a
‘‘major rule’’ as defined by 5 U.S.C.
804(2).
N. Description of Materials Incorporated
by Reference
In this final rule, DOE incorporates by
reference the following test standards:
(1) AHRI 1230–2021 is an industryaccepted test procedure for measuring
the performance of VRF multi-split
systems. AHRI 1230–2021 is available
on AHRI’s website at www.ahrinet.org/
search-standards.aspx.
(2) ANSI/AHRI 1230–2010 is an
industry-accepted test procedure for
measuring the performance of VRF
multi-split systems. ANSI/AHRI 1230–
2010 is available on AHRI’s website at
www.ahrinet.org/search-standards.aspx.
(3) ANSI/ASHRAE Standard 37–2009.
ANSI/ASHRAE Standard 37–2009 is an
industry-accepted test procedure that
provides a method of test for many
categories of air conditioning and
heating equipment. ANSI/ASHRAE
Standard 37–2009 is available on
ANSI’s website at webstore.ansi.org/
RecordDetail.aspx?
sku=ANSI%2FASHRAE+Standard+37–
2009.
(4) ASHRAE Errata Sheet to ANSI/
ASHRAE Standard 37–2009 is a
technical corrections sheet for ANSI/
ASHRAE 37–2009. The errata sheet for
ANSI/ASHRAE 37–2009 is reasonably
available on ASHRAE’s website at:
www.ashrae.org/.
The following standards were
previously approved for incorporation
by reference in the section where they
appear and no change is made: AHRI
210/240–2008, AHRI 340/360–2007,
AHRI 390–2003, ASHRAE 127–2007,
and ISO Standard 13256–1.
V. Approval of the Office of the
Secretary
The Secretary of Energy has approved
publication of this final rule.
List of Subjects
10 CFR Part 429
Administrative practice and
procedure, Confidential business
information, Energy conservation,
Household appliances, Imports,
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63891
Incorporation by reference,
Intergovernmental relations, Reporting
and recordkeeping requirements, Small
businesses.
10 CFR Part 431
Administrative practice and
procedure, Confidential business
information, Energy conservation,
Incorporation by reference, Reporting
and recordkeeping requirements.
Signing Authority
This document of the Department of
Energy was signed on October 6, 2022,
by Francisco Alejandro Moreno, Acting
Assistant Secretary for Energy Efficiency
and Renewable Energy, pursuant to
delegated authority from the Secretary
of Energy. That document with the
original signature and date is
maintained by DOE. For administrative
purposes only, and in compliance with
requirements of the Office of the Federal
Register, the undersigned DOE Federal
Register Liaison Officer has been
authorized to sign and submit the
document in electronic format for
publication, as an official document of
the Department of Energy. This
administrative process in no way alters
the legal effect of this document upon
publication in the Federal Register.
Signed in Washington, DC, on October 12,
2022.
Treena V. Garrett,
Federal Register Liaison Officer, U.S.
Department of Energy.
For the reasons stated in the
preamble, DOE amends parts 429 and
431 of chapter II, of title 10, Code of
Federal Regulations as set forth below:
PART 429—CERTIFICATION,
COMPLIANCE, AND ENFORCEMENT
FOR CONSUMER PRODUCTS AND
COMMERCIAL AND INDUSTRIAL
EQUIPMENT
1. The authority citation for part 429
continues to read as follows:
■
Authority: 42 U.S.C. 6291–6317; 28 U.S.C.
2461 note.
2. Amend § 429.4 by:
a. Revising paragraph (a); and
b. Redesignating paragraph (c)(2) as
(c)(3) and adding new paragraph (c)(2).
The revision and addition read as
follows.
■
■
■
§ 429.4 Materials incorporated by
reference.
(a) Certain material is incorporated by
reference into this part 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
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this section, the U.S. Department of
Energy (DOE) must publish a document
in the Federal Register and the material
must be available to the public. All
approved incorporation by reference
(IBR) material is available for inspection
at DOE and at the National Archives and
Records Administration (NARA).
Contact DOE at: 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, www.energy.gov/eere/
buildings/building-technologies-office.
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. The material may
be obtained from the sources in the
following paragraphs of this section.
*
*
*
*
*
(c) * * *
(2) AHRI Standard 1230(I–P) (‘‘AHRI
1230–2021’’), 2021 Standard for
Performance Rating of Variable
Refrigerant Flow (VRF) Multi-Split AirConditioning and Heat Pump
Equipment, copyright 2021; IBR
approved for §§ 429.43; 429.134.
*
*
*
*
*
3. Amend § 429.43 by:
a. Revising paragraphs (a)
introductory text, (a)(1)(ii)(A)
introductory text, and (a)(1)(ii)(B)
introductory text;
■ b. Redesignating table 1 to paragraph
(a)(3) as table 1 to paragraph (a)(3)(i)(A);
■ c. In paragraph (a)(3)(i), removing the
text ‘‘Table 1 to paragraph (a)(3)’’,
wherever it appears, and adding in its
place the text ‘‘table 1 to paragraph
(a)(3)(i)(A)’’ and removing the text
‘‘Table 1’’, wherever is appears, and
adding in its place the text ‘‘table 1’’;
■ d. Adding reserved paragraph
(a)(3)(i)(B);
■ e. Adding paragraph (a)(3)(ii);
■
■
f. Revising paragraphs (b)(2)(xi) and
(xii);
■ g. Removing paragraph (b)(2)(xiii);
■ h. Redesignating paragraphs
(b)(2)(xiv) and (xv) as (b)(2)(xiii) and
(xiv), respectively;
■ i. Revising paragraphs (b)(4)(vii) and
(viii);
■ j. Removing paragraph (b)(4)(ix);
■ k. Redesignating paragraphs (b)(4)(x)
through (b)(4)(xiv) as (b)(4)(ix) through
(b)(4)(xiii), respectively; and
■ l. 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
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)(ii)(C) 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)(ii)(C) of this
section, for which consumers would
favor higher values shall be less than or
equal to the lower of:
*
*
*
*
*
(3) * * *
(i) * * *
(B) [Reserved]
(ii) 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) Outdoor Unit Model Selection. All
representations for basic models of VRF
multi-split systems must be based on
the least-efficient outdoor unit model(s)
distributed in commerce within the
basic model.
(B) Indoor Unit Model Selection. A
manufacturer must determine
represented values for basic models of
VRF multi-split systems based on the
following provisions regarding selection
of indoor units:
(1) The combination of indoor unit
models shall be selected per the
certified tested combination in the STI,
subject to the provisions in paragraph
(a)(3)(ii)(B)(2) of this section.
(2) For each indoor unit model
identified in the tested combination for
which the model number certified in the
STI does not fully specify the presence
or absence of all components, a fullyspecified indoor unit model shall be
selected that meets the following
qualifications:
(i) Is distributed in commerce; and
(ii) Has a model number consistent
with the certified indoor unit model
number (i.e., shares all digits of the
model number that are specified in the
certified indoor unit model number);
and
(iii) Among the group of all indoor
models meeting the criteria from
paragraphs (a)(3)(ii)(B)(2)(i) and (ii) of
this section, has the least number
(which could be zero) of components
listed in Table 2 to paragraph
(a)(3)(ii)(B)(2) of this section.
TABLE 2 TO PARAGRAPH (a)(3)(ii)(B)(2)—SPECIFIC COMPONENTS FOR VARIABLE REFRIGERANT FLOW MULTI-SPLIT
SYSTEMS
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 ...
(C) Represented Values for Different
Indoor Unit Combinations. (1) If a basic
model includes only one type of indoor
unit combination (i.e., ducted, nonducted, or SDHV), a manufacturer must
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determine the represented values for the
basic model in accordance with the
sampling plan set forth in § 429.11 and
paragraph (a)(1) of this section if the
represented values are determined
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through testing, or in accordance with
the provisions for applying an AEDM
set forth in paragraph (a)(2) of this
section and § 429.70. Indoor unit
models must be selected in accordance
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with paragraph (a)(3)(ii)(B) of this
section.
(2) If a basic model includes more
than one type of indoor unit
combination (i.e., ducted, non-ducted,
and/or SDHV):
(i) 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 that represents 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.
Indoor unit models within the indoor
unit combination must be selected in
accordance with paragraph (a)(3)(ii)(B)
of this section.
(ii) A manufacturer may also
determine optional ‘‘mixed’’
representations by calculating the mean
value across any two required
representations described in the
paragraph (a)(3)(ii)(C)(2)(i) of this
section (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).
(b) * * *
(2) * * *
(xi) Variable refrigerant flow multisplit air-cooled air conditioners (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)), 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)(ii)(C) 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
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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)(ii)(C) 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 (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); outdoor unit(s) and indoor
units identified in the tested
combination; components needed for
heat recovery, if applicable; rated
airflow in standard cubic feet per
minute (scfm) for each indoor unit;
rated static pressure in inches of water;
compressor frequency setpoints;
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
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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)(ii)(C) 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 of 20 hours or
less; the frequency of oil recovery
cycles; operational settings for all
critical parameters to be controlled at
each of the four IEER cooling test
conditions; all dip switch/control
settings used for the full-load cooling
test; 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 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
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setpoints to ensure control for 80 °F drybulb temperature when accounting for
setpoint bias, the starting indoor drybulb temperature, and the indoor drybulb 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), set-up instructions for
indoor units and outdoor units, and
charging instructions consistent with
the installation manual.
(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
per minute (gpm) for water-cooled units
only; rated static pressure in inches of
water; compressor frequency setpoints;
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)(ii)(C) 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
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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 of 20 hours or
less; 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; all dip switch/control
settings used for the full-load cooling
and full-load heating tests;
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 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 setpoint 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), set-up
instructions for indoor units and
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outdoor units, and charging instructions
consistent with the installation manual.
*
*
*
*
*
(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
critical parameters to be controlled
during IEER tests (per paragraph
(b)(4)(vii)(B) or (b)(4)(viii)(B) of this
section) are invalid according to the
results of a controls verification
procedure conducted according to
§ 429.134(v)(3), then the manufacturer
must re-rate and re-certify using valid
operational settings for critical
parameters for 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.
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(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
of a selected basic model for one of
those two types of indoor unit
combination, and at least a single tested
combination of a different selected basic
model for the other of those two types
of indoor unit combination, each tested
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), when
DOE may require that the manufacturer
of a basic model ship at its expense any
means of control for the basic model
necessary for conducting testing in
accordance with Appendix D1 to
subpart F of 10 CFR part 431 of this
subchapter.
■ 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); and
■ c. Revising paragraph (b)(1)(iv).
The addition and revision read as
follows.
§ 429.110
Enforcement testing.
(a) * * *
(2) For variable refrigerant flow multisplit air conditioners and heat pumps
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(other than air-cooled with rated cooling
capacity less than 65,000 Btu/h), when
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 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 subpart F of 10 CFR part 431 of this
subchapter. The manufacturer may ship
the means of control separately from the
system(s) selected for testing.
*
*
*
*
*
■ 7. Amend § 429.134 by:
■ a. In paragraph (s)(1), removing the
text ‘‘Table 1 of § 429.43(a)(3)’’ and
adding in its place the text ‘‘table 1 to
§ 429.43(a)(3)(i)(A)’’; and
■ b. Adding paragraph (v) to read as
follows:
§ 429.134 Product-specific enforcement
provisions.
*
*
*
*
*
(v) 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. For each
indoor unit model identified in the
tested combination for which the model
number certified in the STI does not
fully specify the presence or absence of
components listed at table 2 to 10 CFR
429.43(a)(3)(ii)(B), the following
provision applies. If DOE is not able to
obtain an individual model with the
least number of those components, then
DOE may test a system that includes any
individual indoor unit model that has a
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63895
model number consistent with the
certified indoor unit model number.
(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 (v)(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
consistent with the provisions in section
5.1 of appendix D1 to subpart F of 10
CFR part 431. Critical parameters must
operate automatically from the system
controls and must not be manually
controlled or adjusted at any point by
any party during the 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 consistent
with the provisions of section 5.1 of
appendix D1 to subpart F of 10 CFR part
431. In heating tests and IEER cooling
tests, critical parameters may be
manually controlled by a manufacturer’s
representative and initially set to their
certified values as described in section
5.1 of appendix D1 to subpart F of 10
CFR part 431. During IEER cooling
mode tests only, a manufacturer’s
representative may also make additional
adjustments to the critical parameters as
described in section 5.2 of appendix D1
to subpart F of 10 CFR part 431. Setting
and adjustment of critical parameters by
a manufacturer’s representative must be
monitored by third-party laboratory
personnel using a service tool. Other
than critical parameter adjustments
made in accordance with section 5.3 of
appendix D1 to subpart F of 10 CFR part
431, 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
means of control provided by the
manufacturer, as 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 10 CFR part
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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 10 CFR part
431; the CVP is not conducted at 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
(v)(3)(ii)(A) of this section exists before
tOFF that has an average root-sum-square
(‘‘RSS’’) points total (as defined in
Section 3.27 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
(v)(3)(ii)(A) of this section exists before
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 10 CFR 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 10 CFR part 431.
(B) Invalidated critical parameter
settings. At each load point, if certified
critical parameter values identified
pursuant to paragraph (v)(3) of this
section are found to be invalid
according to the results of the CVP,
determine alternate critical parameter
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values for use in the corresponding IEER
test (as specified in appendix D1 to
subpart F of 10 CFR part 431) as follows:
(1) Select the CVP measurement
period—this period must have duration
determined per paragraph (v)(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 (v)(3)(iii)(B)(1) of this
section. When initially setting critical
parameters per section 5.1 of appendix
D1 to subpart F of 10 CFR 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 (v)(3)(iii)(B)(3) of this
section.
(3) For each system, determine
whether critical parameter adjustments
are needed to achieve the target capacity
or 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 10 CFR part 431, with
the following exceptions:
(i) Replace all references to ‘‘certified
critical parameter values’’ with
‘‘alternate critical parameter values’’ as
determined in paragraph (v)(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.
(4) Break-in period. DOE will perform
a compressor break-in period during
assessment or enforcement testing using
a duration specified by the
manufacturer only if a break-in period
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duration is provided in the
supplemental testing instructions.
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 to 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 to 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 (b)(7);
■ b. Adding paragraph (b)(8);
■ c. Revising paragraph (c)(2);
■ d. Redesignating paragraphs (c)(3)
through (7) as (c)(4) through (8); and
■ e. Adding new paragraph (c)(3).
The revisions and addition read as
follows:
§ 431.95 Materials incorporated by
reference.
*
*
*
*
*
(b) * * *
(7) ANSI/AHRI Standard 1230–2010,
(‘‘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; IBR approved for § 431.96 and
appendix D to this subpart.
(8) AHRI Standard 1230 (I–P), (‘‘AHRI
1230–2021’), ‘‘2021 Standard for
Performance Rating of Variable
Refrigerant Flow (VRF) Multi-Split AirConditioning and Heat Pump
Equipment’’, copyright in 2021; IBR
approved for appendix D1 to this
subpart.
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(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,’’ ASHRAE approved
June 24, 2009; IBR approved for § 431.96
and appendices A, B, and D1 to this
subpart.
(3) Errata Sheet for ANSI/ASHRAE
Standard 37–2009, Methods of Testing
for Rating Electrically Driven Unitary
Air-Conditioning and Heat Pump
Equipment, March 27, 2019; IBR
approved for appendix D1 to this
subpart.
*
*
*
*
*
11. Amend § 431.96 by revising
paragraph (b)(1) and table 1 to
paragraph (b) to read as follows:
■
§ 431.96 Uniform test method for the
measurement of energy efficiency of
commercial air conditioners and heat
pumps.
*
*
*
*
*
(b) * * *
(1) Determine the energy efficiency of
each type of covered equipment by
conducting the test procedure(s) listed
63897
in table 1 to this paragraph (b) 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
paragraph (b) must not be used. For
equipment with multiple appendices
listed in table 1 to this paragraph (b),
consult the notes at the beginning of
those appendices to determine the
applicable appendix to use for testing.
*
*
*
*
*
TABLE 1 TO PARAGRAPH (b)—TEST PROCEDURES FOR COMMERCIAL AIR CONDITIONERS AND HEAT PUMPS
Equipment type
Small Commercial Package Air-Conditioning
and Heating Equipment.
Cooling capacity or
moisture removal capacity 2
Energy efficiency
descriptor
Air-Cooled, 3-Phase,
AC and HP.
<65,000 Btu/h ...............
SEER and HSPF ..........
AHRI 210/240–2008
(omit section 6.5).
Paragraphs (c) and (e).
Air-Cooled AC and HP
≥65,000 Btu/h and
<135,000 Btu/h.
<65,000 Btu/h ...............
EER, IEER, and COP ..
Appendix A to this subpart.
AHRI 210/240–2008
(omit section 6.5).
None.
≥65,000 Btu/h and
<135,000 Btu/h.
<135,000 Btu/h .............
≥135,000 Btu/h and
<240,000 Btu/h.
EER ..............................
AHRI 340/360–2007
(omit section 6.3).
ISO Standard 13256–1
Appendix A to this subpart.
Paragraphs (c) and (e).
Category
Water-Cooled and
Evaporatively-Cooled
AC.
Large Commercial Package Air-Conditioning
and Heating Equipment.
Very Large Commercial
Package Air-Conditioning and Heating
Equipment.
Packaged Terminal Air
Conditioners and Heat
Pumps.
Computer Room Air
Conditioners.
Variable Refrigerant
Flow Multi-split Systems.
Variable Refrigerant
Flow Multi-split Systems, Air-cooled.
Variable Refrigerant
Flow Multi-split Systems, Air-cooled.
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Variable Refrigerant
Flow Multi-split Systems, Water-source.
Single Package Vertical
Air Conditioners and
Single Package
Vertical Heat Pumps.
Direct Expansion-Dedicated Outdoor Air
Systems.
Water-Source HP .........
Air-Cooled AC and HP
EER ..............................
EER and COP ..............
EER, IEER and COP ...
Use tests, conditions,
and
procedures 1 in
Paragraph (e).
None.
≥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
Evaporatively-Cooled
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).
SCOP ...........................
AC .................................
≥65,000 Btu/h and
<760,000 Btu/h.
<65,000 Btu/h (3-phase)
HP .................................
<65,000 Btu/h (3-phase)
SEER and HSPF ..........
AC and HP ...................
≥65,000 Btu/h and
<760,000 Btu/h.
EER and COP ..............
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 to this subpart 3.
≥65,000 Btu/h and
<760,000 Btu/h.
<760,000 Btu/h .............
IEER and COP .............
<760,000 Btu/h .............
IEER and COP .............
AC and HP ...................
<760,000 Btu/h .............
EER and COP ..............
All ..................................
<324 lbs. of moisture
removal/hr.
ISMRE2 and ISCOP2 ...
HP .................................
SEER ............................
EER and COP ..............
Appendix D1 to this
subpart 3.
Appendix D to this subpart 3.
Appendix D1 to this
subpart 3.
AHRI 390–2003 (omit
section 6.4).
Appendix B to this subpart.
by reference; see § 431.95.
removal capacity applies only to direct expansion-dedicated outdoor air systems.
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Paragraphs (c) and (e).
Water-Cooled and
Evaporatively-Cooled
AC.
Air-Cooled AC and HP
1 Incorporated
2 Moisture
Additional test procedure provisions as indicated in the listed
paragraphs of this section
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Paragraphs (c) and (e).
Paragraphs (c), (d), (e), and (f).
Paragraphs (c), (d), (e), and (f).
None.
None.
None.
None.
Paragraphs (c) and (e).
None.
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3 For 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.
*
*
*
*
*
Appendix C to Subpart F of Part 431
[Reserved]
12. Add reserved appendix C to
subpart F of part 431.
■
13. Add appendix D to subpart F of
part 431 to read as follows:
■
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)
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Note: Manufacturers must use the results of
testing under this appendix to determine
compliance with the relevant standard from
§ 431.97 as that standard appeared in the
January 1, 2022 edition of 10 CFR parts 200–
499. Specifically, 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, 2022.
For any amended standards for variable
refrigerant flow multi-split air conditioners
and heat pumps that rely on integrated
energy efficiency ratio (IEER) published after
January 1, 2022, 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, enumerated provisions of
ANSI/AHRI 1230–2010, as listed in this
section 1, are excluded. To the extent there
is a conflict between the terms or provisions
of a referenced industry standard and the
CFR, the CFR provisions control.
1.1 ANSI/AHRI 1230–2010:
(a) Section 5.1.2—Manufacturer
involvement.
(b) Section 6.6—Verification testing and
uncertainty is inapplicable as specified in
section 2.2 of this appendix.
1.2
[Reserved.]
2. General. Determine the energy efficiency
ratio (EER) and coefficient of performance
(COP) (as applicable) in accordance with
ANSI/AHRI 1230–2010.
Note: 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 set-ups 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 manual 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
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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
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.
14. Add appendix D1 to subpart F of
part 431 to read as follows:
■
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Cooling capacity
correction
(%)
1
2
3
4
5
6
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,
2022, 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 1230–2021 and
ANSI/ASHRAE 37–2009, as corrected by the
Errata sheet for ANSI/ASHRAE 37–2009
issued on March 27, 2019 (‘‘ANSI/ASHRAE
37–2009 (as corrected)’’). However, only
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enumerated provisions of AHRI 1230–2021
and ANSI/ASHRAE 37–2009 are required or
excluded, as listed in this section 1. To the
extent there is a conflict between the terms
or provisions of a referenced industry
standard and the CFR, the CFR provisions
control.
1.1 Provisions Required
1.1.1 AHRI 1230–2021
(a) Section 3—Definitions, except section
3.11, as specified in section 2 of this
appendix,
(b) Section 5—Test Requirements, except
section 5.1.2, as specified in sections 2 and
5.1 of this appendix,
(c) Section 6—Rating Requirements, except
sections 6.3.3 and 6.5, as specified in
sections 2, 4.1, 4.1.1, 4.2, 4.2.1, and 5.1 of
this appendix,
(d) Section 11—Calculations is applicable
as specified in sections 2, 5.2.1.2, and 5.2.2
of this appendix,
(e) Section 12—Symbols, Subscripts, and
Superscripts as specified in section 2 of this
appendix,
(f) Appendix E—ANSI/ASHRAE Standard
37–2009 Clarifications/Exceptions—
Normative as specified in section 2 of this
appendix.
1.1.2 [Reserved]
1.2
Provisions Excluded
1.2.1 ANSI/ASHRAE 37–2009 (as
Corrected)
(a) Section 1—Purpose,
(b) Section 2—Scope, and
(c) Section 4—Classification.
2. General. Determine IEER and coefficient
of performance (COP) (as applicable) in
accordance with AHRI 1230–2021 and ANSI/
ASHRAE 37–2009 (as corrected). 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 (as
corrected).
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(v)(3).
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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
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‘‘Standard Rating Conditions (High
Temperature Steady-state Test for Heating)’’
conditions for heat pump heating mode tests,
as specified in Table 9 in Section 6 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 in Section 6 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 in Section 6
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 Section 6 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 Section 6 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 systems 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 airflowcontrol 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 supplemental
testing instructions (STI) provided by the
manufacturer pursuant to § 429.43(b)(4) of
this chapter. In cases in which 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 set-up (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 sensible
heat ratio (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
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63899
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
system, increase compressor speed by the
same absolute increment in RPM or Hz for
each compressor for which the following
conditions apply:
(a) The STI specifies a non-zero
compressor speed for the compressor for that
test and
(b) 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:
(a) The STI specifies a non-zero
compressor speed for the compressor for that
test and
(b) The compressor has not yet reached
minimum speed. Continue reducing cooling
capacity in this manner until one of the
following occurs:
(1) The unit operates within 3% of the
target cooling capacity; or
(2) 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:
(a) First, use equation 5.2–1 to calculate the
absolute parameter percent difference ()
between each adjusted critical parameter and
the value for that parameter certified in the
STI.
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Federal Register / Vol. 87, No. 202 / Thursday, October 20, 2022 / Rules and Regulations
Equation 5 .2-1
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
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
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
Equation 5.2-2
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:
Equation 5.2-3
PPDi
x NPVi
TABLE 5.1—CRITICAL PARAMETER
NOMINAL POINT VALUES
Nominal point
value
Critical parameter
Compressor Speed(s) ..........
Outdoor Fan Speed(s) ..........
Outdoor Variable Valve Position(s) ................................
RSS Points
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
=
Pointsi
=
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.
(b) Next, use equation 5.2–2 to this section
to determine the accrued points for each
critical parameter:
(c) Finally, use equation 5.2–3 to this
section to calculate the root-sum-squared
(RSS) Points Total across all critical
parameters.
13
7
1
(Pointscompressors) 2
+ (PointsFans) 2 + (Pointsvatves) 2
the system, increase compressor speed by the
same absolute increment for each compressor
for which the following conditions apply:
(a) The STI specifies a non-zero
compressor speed for the compressor for that
test and
(b) 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
shall 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 to this
appendix, test in accordance with the set-up
and test provisions specified in table 6.1.
Desiccant Dehumidification
Components.
lotter on DSK11XQN23PROD with RULES2
Air Economizers ...................
Description
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 mild 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.
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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.
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TABLE 6.1—TEST PROVISIONS FOR SPECIFIC COMPONENTS
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63901
TABLE 6.1—TEST PROVISIONS FOR SPECIFIC COMPONENTS—Continued
Component
Low Ambient Cooling
Dampers.
Power Correction Capacitors
Ventilation Energy Recovery
Systems (VERS).
Description
Test provisions
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.
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.
Remove low ambient cooling dampers for testing.
Remove power correction capacitors for testing.
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. 2022–22511 Filed 10–19–22; 8:45 am]
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BILLING CODE 6450–01–P
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]]>Agencies
[Federal Register Volume 87, Number 202 (Thursday, October 20, 2022)]
[Rules and Regulations]
[Pages 63860-63901]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2022-22511]
[[Page 63859]]
Vol. 87
Thursday,
No. 202
October 20, 2022
Part II
Department of Energy
-----------------------------------------------------------------------
10 CFR Parts 429 and 431
Energy Conservation Program: Test Procedure for VRF Multi-Split
Systems; Final Rule
Federal Register / Vol. 87 , No. 202 / Thursday, October 20, 2022 /
Rules and Regulations
[[Page 63860]]
-----------------------------------------------------------------------
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: Final rule.
-----------------------------------------------------------------------
SUMMARY: This final rule amends the test procedure for variable
refrigerant flow (``VRF'') multi-split air conditioners and heat pumps
(``VRF multi-split systems'') to incorporate by reference the latest
version of the applicable industry test standard. This final rule also
adopts the integrated energy efficiency ratio metric in its test
procedures for VRF multi-split systems. Additionally, this final rule
adopts provisions in the updated industry test procedure relevant to
certification and enforcement, including a controls verification
procedure.
DATES: The effective date of this rule is November 21, 2022. The final
rule changes will be mandatory for VRF multi-split systems equipment
testing October 16, 2023. The incorporation by reference of certain
publications listed in this rule is approved by the Director of the
Federal Register on November 21, 2022. The incorporation by reference
of certain other publications listed in this rule was approved by the
Director of the Federal Register as of July 30, 2015, and July 16,
2012.
ADDRESSES: The docket, which includes Federal Register notices, public
meeting webinar attendee lists and transcripts, comments, and other
supporting documents/materials, is available for review at
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.
A link to 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.
For further information on how to review the docket, contact the
Appliance and Equipment Standards Program staff at (202) 287-1445 or by
email: [email protected].
FOR FURTHER INFORMATION CONTACT:
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 20585-0121.
Telephone: (202) 586-5827. Email: [email protected].
SUPPLEMENTARY INFORMATION: DOE incorporates by reference the following
industry standards as follows:
AHRI Standard 1230 (I-P), ``2021 Standard for Performance Rating of
Variable Refrigerant Flow (VRF) Multi-Split Air-Conditioning and Heat
Pump Equipment;'' copyright 2021 (``AHRI 1230-2021'')--into parts 429
and 431.
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 (``ANSI/AHRI 1230-2010'')--into part 431.
Copies of AHRI 1230-2021 and ANSI/AHRI 1230-2010 can be obtained
from the Air-Conditioning, Heating, and Refrigeration Institute (AHRI),
2311 Wilson Blvd., Suite 400, Arlington, VA 22201, (703) 524-8800, or
online at: www.ahrinet.org/search-standards.aspx.
ANSIASHRAE Standard 37-2009, ``Methods of Testing for Rating
Electrically Driven Unitary Air-Conditioning and Heat Pump Equipment,''
ASHRAE approved June 24, 2009, (``ANSI/ASHRAE 37-2009'')--into part
431.
ASHRAE Errata Sheet for ANSI/ASHRAE Standard 37-2009--Methods of
Testing for Rating Electrically Driven Unitary Air-Conditioning and
Heat Pump Equipment, ASHRAE approved March 27, 2019, (``ASHRAE Errata
Sheet for ANSI/ASHRAE Standard 37-2009'').
Copies of ANSI/ASHRAE Standard 37-2009 and ASHRAE Errata Sheet for
ANSI/ASHRAE Standard 37-2009 are available from ASHRAE, 180 Technology
Parkway NW, Peachtree Corners, GA 30092, (404)-636-8400, or online at
www.ashrae.org/.
See section IV.N 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 Final Rule
III. Discussion
A. Scope of Applicability
B. Organization of the VRF Multi-Split System Test Procedure
C. Industry Standards
1. Updates to AHRI 1230
2. ASHRAE 37
D. Metrics
1. IEER
2. Test Conditions Used for Efficiency Metrics
E. Controls Verification Procedure
1. Background
2. When the CVP Is Conducted
3. Critical Parameter Definition
4. Validation of Certified Critical Parameters
a. Validation Time Period
b. Validation Criteria
5. Determination of Alternate Critical Parameters
F. Allowable Critical Parameter Adjustment
1. Adjustment of Certified Critical Parameter Values
2. Adjustment of Alternate Critical Parameter Values
G. Certification, Compliance, and Enforcement
1. Determination of Represented Values
a. Introduction
b. NOPR Proposals and Comments
c. Final Rule Approach
2. Certification Reporting Requirements
a. Certification Requirements
b. Supplemental Testing Instructions
3. Models Required for AEDM Validation
4. Manufacturer Involvement
a. Role of Manufacturer Representative
b. Control Tool
5. Break-In Period
6. Certified Critical Parameter Operational Settings
7. Enforcement Sampling Plan
8. Certified vs. Tested Performance
H. Effective and Compliance Dates
I. Test Procedure Costs
IV. Procedural Issues and Regulatory Review
A. Review Under Executive Orders 12866 and 13563
B. Review Under the Regulatory Flexibility Act
C. Review Under the Paperwork Reduction Act of 1995
D. Review Under the National Environmental Policy Act of 1969
E. Review Under Executive Order 13132
F. Review Under Executive Order 12988
G. Review Under the Unfunded Mandates Reform Act of 1995
H. Review Under the Treasury and General Government
Appropriations Act, 1999
I. Review Under Executive Order 12630
J. Review Under Treasury and General Government Appropriations
Act, 2001
K. Review Under Executive Order 13211
L. Review Under Section 32 of the Federal Energy Administration
Act of 1974
M. Congressional Notification
N. Description of Materials Incorporated by Reference
V. Approval of the Office of the Secretary
[[Page 63861]]
I. Authority and Background
Commercial package air conditioning and heating equipment is
included in the list of ``covered equipment'' for which the U.S.
Department of Energy (``DOE'') is authorized to establish and amend
energy conservation standards and test procedures. (42 U.S.C.
6311(1)(B)-(D)) Commercial package air conditioning and heating
equipment includes 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 test procedures for VRF multi-split systems and relevant
background information regarding DOE's consideration of test procedures
for this equipment.
A. Authority
The Energy Policy and Conservation Act, as amended (``EPCA''),\1\
Public Law 94-163 (42 U.S.C. 6291-6317, as codified), among other
things, authorizes DOE to regulate the energy efficiency of a number of
consumer products and certain industrial equipment. Title III, Part C
\2\ of EPCA, added by Public Law 95-619, Title IV, section 441(a),
established the Energy Conservation Program for Certain Industrial
Equipment, which sets forth a variety of provisions designed to improve
energy efficiency. This equipment includes small, large, and very large
commercial package air conditioning and heating equipment, which
includes VRF multi-split systems, the subject of this document. (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), which reflect the last statutory amendments that impact
Parts A and A-1 of EPCA.
\2\ For editorial reasons, upon codification in the U.S. Code,
Part C was redesignated as 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; 42
U.S.C. 6296).
The Federal testing requirements consist of test procedures that
manufacturers of covered equipment must use as the basis for: (1)
certifying to DOE that their equipment complies with the applicable
energy conservation standards adopted pursuant to EPCA (42 U.S.C.
6316(b); 42 U.S.C. 6296), and (2) making other representations about
the efficiency of that equipment (42 U.S.C. 6314(d)). Similarly, DOE
uses these test procedures to determine whether the equipment complies
with relevant standards promulgated under EPCA.
Federal energy efficiency requirements for covered equipment
established under EPCA generally supersede State laws and regulations
concerning energy conservation testing, labeling, and standards. (42
U.S.C. 6316(a) 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 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 DOE 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))
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, DOE 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 comments on the proposed test procedures. (42 U.S.C.
6314(b)) If DOE determines that test procedure revisions are not
appropriate, DOE must publish in the Federal Register its determination
not to amend the test procedures. (42 U.S.C. 6314(a)(1)(A)(ii))
DOE is publishing this final rule amending the test procedure 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 in the Federal
Register 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 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 (``ANSI/AHRI 1230-2010''). 77 FR 28928, 28945-
28946 (May 16, 2012); 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 (May 16, 2012). The May 2012 Final Rule
also adopted additional requirements, listed in 10 CFR 431.96(c)
through (f), for measuring the energy efficiency ratio (``EER'') and
coefficient of performance (``COP'') for air-cooled VRF multi-split
systems with a cooling
[[Page 63862]]
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 (May 16, 2012).
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 in the Federal Register 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 review requirement.
82 FR 34427, 34429 (July 25, 2017). 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 (July 25, 2017).
---------------------------------------------------------------------------
\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).
---------------------------------------------------------------------------
In September 2017, AHRI published an update to ANSI/AHRI 1230-2010,
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 \4\ and the Negotiated Rulemaking Act,\5\ 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\ 5 U.S.C. App. 2, Public Law 92-463.
\5\ 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.\6\ On October 1, 2019, the Working Group reached
consensus on a term sheet (``VRF TP Term Sheet''; Docket No. EERE-2018-
BT-STD-0003-0044) that includes the following recommendations, which
highlight the most substantial changes:
---------------------------------------------------------------------------
\6\ 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)
On May 18, 2021, AHRI published an updated industry test standard
for VRF multi-split systems AHRI Standard 1230 (I-P), ``2021 Standard
for Performance Rating of Variable Refrigerant Flow (VRF) Multi-Split
Air-Conditioning and Heat Pump Equipment'' (``AHRI 1230-2021''). AHRI
1230-2021 references ANSI/ASHRAE Standard 37-2009, ``Methods of Testing
for Rating Electrically Driven Unitary Air-Conditioning and Heat Pump
Equipment'' (``ANSI/ASHRAE 37-2009''), as corrected by the Errata Sheet
issued March 27, 2019, for additional test set-up and methodology
specifications.
These changes, along with comments received in response to the July
2017 ASHRAE TP RFI, were addressed in a test procedure NOPR for VRF
multi-split systems published in the Federal Register on December 10,
2021 (``December 2021 VRF TP NOPR''). 86 FR 70644. In that NOPR, DOE
proposed to incorporate by reference AHRI 1230-2021 and ANSI/ASHRAE 37-
2009, as corrected by the Errata Sheet issued March 27, 2019) and
establish provisions for determining IEER for VRF multi-split systems.
Id. DOE also proposed 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. DOE
held a public meeting related to this NOPR on January 20, 2022
(hereafter, the ``NOPR public meeting'').
DOE received comments in response to the December 2021 VRF TP NOPR
from the interested parties listed in Table I.1.
Table I-1--List of Commenters With Written Submissions in Response to the December 2021 VRF TP NOPR
----------------------------------------------------------------------------------------------------------------
Reference in this final Docket entry
Commenter(s) rule No. Commenter type
----------------------------------------------------------------------------------------------------------------
Air-Conditioning, Heating, & AHRI...................... 12 Trade Association.
Refrigeration Institute.
Appliance Standards Awareness Project, Joint Advocates........... 9 Efficiency Advocacy
American Council for an Energy- Organization.
Efficient Economy, and Natural
Resources Defense Council.
California Energy Commission............ CEC....................... 10 State Official/Agency.
California Investor-Owned Utilities..... CA IOUs................... 11 Utilities.
Carrier Global Corporation.............. Carrier................... 7 Manufacturer.
Daikin North America LLC................ Daikin.................... 13 Manufacturer.
Lennox International.................... Lennox.................... 8 Manufacturer.
Northwest Energy Efficiency Analysis.... NEEA...................... 14 Efficiency Advocacy
Organization.
New York State Energy Research and NYSERDA................... 6 State Official/Agency.
Development Authority.
----------------------------------------------------------------------------------------------------------------
[[Page 63863]]
A parenthetical reference at the end of a comment quotation or
paraphrase provides the location of the item in the public record.\7\
To the extent that interested parties have provided written comments
that are substantively consistent with any oral comments provided
during the NOPR public meeting, DOE cites the written comments
throughout this final rule. DOE did not identify any oral comments
provided during the webinar that are not substantively addressed by
written comments.
---------------------------------------------------------------------------
\7\ The parenthetical reference provides a reference for
information located in the docket of DOE's rulemaking to develop
test procedures for VRF multi-split systems. (Docket No. EERE-2021-
BT-TP-0019, which is maintained at www.regulations.gov). The
references are arranged as follows: (commenter name, comment docket
ID number, page of that document).
---------------------------------------------------------------------------
On March 1, 2022, DOE published in the Federal Register an energy
conservation standards NOPR (``March 2022 VRF ECS NOPR'') that proposed
amended energy conservation standards for VRF multi-split systems that
rely on the new IEER cooling metric and are equivalent to the levels
specified in ASHRAE Standard 90.1-2019. 87 FR 11335.
II. Synopsis of the Final Rule
In this final rule, DOE is amending 10 CFR 431.96, ``Uniform test
method for the measurement of energy efficiency of commercial air
conditioners and heat pumps,'' to revise the relevant references to the
most recent version of the industry test procedure as follows: (1)
incorporating by reference AHRI 1230-2021 and ANSI/ASHRAE 37-2009, as
corrected by the Errata Sheet issued March 27, 2019; and (2)
establishing provisions for determining IEER for VRF multi-split
systems. DOE is also adding new appendices D and D1 to subpart F of
part 431, both titled ``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 is relocated from 10 CFR 431.96 to 10 CFR part 431, subpart F,
appendix D without change, and the new test procedure adopting AHRI
1230-2021 is established in appendix D1 for determining IEER.
Compliance with appendix D1 is not 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 final rule, DOE is also updating its certification,
compliance, and enforcement (``CCE'') provisions for VRF multi-split
systems, to require reporting of information that is necessary for
testing VRF multi-split systems consistent with the updated industry
test procedure AHRI 1230-2021. Most significantly, these 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. Additionally, DOE is specifying tested
combinations to align with AHRI 1230-2021, clarifying the role of
manufacturer involvement during testing, and specifying how to
determine represented values for systems using different indoor unit
combinations DOE is not reducing the enforcement testing sample size
from four units to two units, as was proposed in the December 2021 VRF
TP NOPR. Figure 1 presents a process diagram for DOE's certification,
compliance, and enforcement regulations for VRF multi-split systems, as
described in this final rule.
BILLING CODE 6450-01-P
[[Page 63864]]
[GRAPHIC] [TIFF OMITTED] TR20OC22.000
BILLING CODE 6450-01-C
The adopted amendments are summarized in Table II.1 and are
compared to the test procedure provisions in place prior to these
latest amendments, as well as the reason for each adopted change.
Table II-1--Summary of Changes in the Amended Test Procedure
------------------------------------------------------------------------
DOE test procedure prior to
amendment Amended test 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 as corrected
by the Errata Sheet
issued March 27, 2019.
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- provisions for
CFR 429.43. split systems to determination
determine represented of represented
values for models values.
with specific
components, and
determine represented
values for different
indoor unit
combinations.
Includes certification Adopts reporting Establish
requirements in 10 CFR 429.43 requirements reporting
consistent with testing to consistent with new requirements
EER per ANSI/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,
testing of systems
with specific
components, break-in
period, 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.
------------------------------------------------------------------------
[[Page 63865]]
DOE has determined that the amendments described in section III of
this document regarding the establishment of appendix D do not alter
the measured efficiency of VRF multi-split systems or require retesting
solely as a result of DOE's adoption of the amendments to the test
procedure. DOE has determined that the amendments regarding the test
procedure in appendix D1 do alter the measured efficiency and are
consistent with the updated industry test procedure AHRI 1230-2021.
Further, use of the updated industry test procedure provisions and
amended representation requirements in 10 CFR 429.43 and 10 CFR 429.70
would not be required until the compliance date of any amended
standards based on IEER. Additionally, DOE has determined that the
finalized amendments will not increase the cost of testing relative to
the updated industry test procedure. The effective date for the amended
test procedures adopted in this final rule is 30 days after publication
of this document in the Federal Register. Discussion of DOE's actions
are addressed in detail in section III of this document.
III. Discussion
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. Id. 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 amending the scope of the Federal test procedure for VRF
multi-split systems. DOE's current 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 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 final
rule and are instead 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
(see Docket No. EERE-2017-BT-TP-0031).
---------------------------------------------------------------------------
\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. Organization of the VRF Multi-Split System Test Procedure
In the December 2021 VRF TP NOPR, DOE proposed to relocate and
centralize the current test procedure for VRF multi-split systems to a
new appendix D to subpart F of part 431, such that appendix D would not
amend the current test procedure. 86 FR 70644, 70649 (Dec. 10, 2021).
The proposed appendix D would also centralize the additional test
provisions currently applicable under 10 CFR 431.96 (i.e., optional
break-in period for tests conducted using ANSI/AHRI 1230-2010 (10 CFR
431.96(c)); refrigerant line length corrections for tests conducted
using ANSI/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. Id.
Similarly, DOE proposed 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 proposed to adopt the updated version of
AHRI 1230, including the IEER metric. Id. As proposed, VRF multi-split
systems would not be required to be tested 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. Id.
DOE did not receive any comments in response to the proposed
organization of the test procedure. Accordingly, for the reasons
discussed in the December 2021 VRF TP NOPR and as discussed in the
preceding paragraphs, DOE is finalizing the proposed organization of
the test procedure by establishing appendices D and D1 for testing VRF
multi-split systems.
C. Industry Standards
1. Updates to AHRI 1230
As discussed in section I.B of this document, the VRF TP Term Sheet
recommended that DOE adopt the 2019 draft version of AHRI 1230 with
several changes, including:
Adding 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'').
Providing equations and example calculations of
adjustments to measured results for steady-state tests if sensible heat
ratio (``SHR'') \9\ limits are not met at the 100-percent full-load
and/or 75-percent part-load cooling test points.
---------------------------------------------------------------------------
\9\ Cooling load is composed of both sensible and latent
portions. The sensible load is the energy required to reduce the
temperature of the incoming air, without any phase change. 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.
---------------------------------------------------------------------------
Amending the definition of the draft CVP to include a
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
three outstanding items identified in the VRF TP Term Sheet. For 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
[[Page 63866]]
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.'' The
AHRI 1230 Technical Committee incorporated a budget of 70 points (a
measure of critical parameter variation) in the draft AHRI 1230, which
is outlined in section III.E.1 of this document.
Following the completion of the AHRI 1230 Technical Committee
meetings, in May 2021, AHRI published AHRI 1230-2021, which
incorporated the changes consistent with those recommended in the VRF
TP Term Sheet. The following list includes substantive changes in AHRI
1230-2021 as compared to ANSI/AHRI 1230-2010, the version currently
used for certification:
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.''
Maximum SHR limits of 0.82 and 0.85 were added for full-
load and 75-percent part-load conditions, respectively.
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.
A hierarchy was added indicating which sources of
manufacturer's instructions to use during testing in the case of
conflicting information among different sources.
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.
For water-source equipment, the maximum water flow rate
was reduced and part-load entering water temperatures were modified.
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.
The provisions for tested combinations, which specify the
indoor unit combination to be used for testing, were updated to replace
``highest sales volume'' requirements with a specific hierarchy based
on ``indoor unit model family'' (e.g., wall-mounted, compact 4-way
ceiling cassette, mid-static ducted).
A maximum airflow rate of 55 standard cubic feet per
minute (``scfm'') per 1,000 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 1,000 Btu/h to 42 scfm per 1,000 Btu/h.
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.
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.
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.
As part of the December 2021 VRF TP NOPR, DOE evaluated the extent
to which a test procedure based on AHRI 1230-2021 would meet the EPCA
requirements to produce test results that reflect the energy
efficiency, energy use, and estimated operating costs of that equipment
during a representative average use cycle, and for such test procedure
to not be unduly burdensome to conduct. DOE tentatively concluded that
the changes in AHRI 1230-2021 better reflect the field performance of
VRF multi-split systems and provide additional clarification for
testing provisions. 86 FR 70644, 70650, 70669 (Dec. 10, 2021). DOE also
tentatively determined that a test procedure based on AHRI 1230-2021
would not be unduly burdensome to conduct. 86 FR 70644, 70669 (Dec. 10,
2021).
Therefore, DOE proposed to adopt the updated version of AHRI 1230,
including the IEER metric, and to incorporate by reference AHRI 1230-
2021 in a new appendix D1 to subpart F of part 431. 86 FR 70644, 70650
(Dec. 10, 2021). DOE proposed to reference the following sections from
AHRI 1230-2021: Section 3 (except 3.11),\10\ Section 5 (except 5.1.2),
Section 6 (except 6.3.3 and 6.5), Section 11, Section 12, and Appendix
E. 86 FR 70644, 70650-70651 (Dec. 10, 2021). The remaining sections
were excluded as 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 proposed modifications. Id.
---------------------------------------------------------------------------
\10\ The CA IOUs stated that in proposed updates to 10 CFR
431.97, subpart F, appendix D1, DOE states that critical
parameter(s) are defined in section 3.10 of AHRI 1230-2021, but the
correct reference should be to section 3.11 of that industry
standard. (CA IOUs, No. 11 at p. 4) DOE acknowledges this
typographical error and has corrected the section references in this
final rule.
---------------------------------------------------------------------------
In the December 2021 VRF TP NOPR, DOE included discussion on
several test method topics about which DOE requested comment in the
July 2017 ASHRAE TP RFI and received stakeholder comments in response
to that RFI. These topics included setting indoor airflow and external
static pressure, condenser head pressure controls, indoor unit
operation during part-load tests, oil recovery mode during transient
testing, secondary methods for capacity measurement, and heat recovery.
All of these test method topics were addressed in AHRI 1230-2021, and
DOE did not propose any deviations from AHRI 1230-2021 on any of the
topics. 86 FR 70644, 70653-70656 (Dec. 10, 2021). DOE did not receive
any comments regarding these test method topics in response to the
December 2021 VRF TP NOPR, but as discussed, the Department did receive
comments generally supportive of DOE's proposal to adopt AHRI 1230-
2021. Along these lines, Carrier, Lennox, the CA IOUs, AHRI, Daikin,
and NEEA all commented that they support DOE's proposal to adopt AHRI
1230-2021. (Carrier, No. 7 at p. 1; Lennox, No. 8 at pp. 1-2; CA IOUs,
No. 11 at p. 3; AHRI, No. 12 at p. 2; Daikin, No. 13 at p. 2; NEEA, No.
14 at p. 2) NEEA further commented that AHRI 1230-2021 adds clarifying
provisions that will reduce variability in results. (NEEA, No. 14 at p.
2)
For the reasons discussed in the December 2021 VRF TP NOPR and
consistent with the comments received in support of DOE adopting AHRI
1230-2021, DOE concludes that as compared to previous versions of AHRI
1230 (including ANSI/AHRI 1230-2010 which is referenced in the current
Federal test procedure), AHRI 1230-2021 generally provides results that
are more representative of an average use cycle for VRF multi-split
systems, provides additional clarification for
[[Page 63867]]
testing provisions, and is not unduly burdensome to conduct. In
particular, DOE finds that AHRI 1230-2021 includes several test
procedure amendments that better reflect typical operation and
performance of VRF indoor units, including the addition of SHR limits,
further specification of indoor airflow, and changes to indoor unit
tested combinations. DOE also finds that the addition of the CVP in
AHRI 1230-2021 (which DOE is adopting in enforcement provisions) will
improve representativeness by more closely tying controls behavior
during testing to controls behavior that would be expected to occur in
a field installation under native controls. Therefore, in this final
rule DOE is incorporating by reference AHRI 1230-2021 and adopting
specific sections for testing VRF multi-split systems as proposed.
Sections of AHRI 1230-2021 for which DOE is adopting modifications are
discussed in following sections of this final rule.
2. ASHRAE 37
ANSI/ASHRAE Standard 37, 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. ANSI/ASHRAE 37-2005 is
referenced in ANSI/AHRI 1230-2010, which is the currently referenced
industry test standard in the DOE test procedure for VRF multi-split
systems.\11\ ANSI/ASHRAE 37-2009 is referenced in ANSI/AHRI 1230-2014
with Addendum 1 and AHRI 1230-2021. To reflect the use of ANSI/ASHRAE
37-2009 in conducting testing according to AHRI 1230-2021, DOE proposed
in the December 2021 VRF TP NOPR to incorporate by reference ANSI/
ASHRAE 37-2009 (except for sections 1, 2, and 4) including the errata
sheet issued March 27, 2019 (which corrected the total heating capacity
equations for the outdoor liquid coil method in section 7.6.5.1 of that
test standard) \12\ in the proposed appendix D1 for the VRF multi-split
systems test procedure. 86 FR 70644, 70651 (Dec. 10, 2021). DOE did not
receive any comments in response to its proposal to reference ASHRAE
37-2009 in the test method for VRF multi-split systems. Accordingly,
DOE concludes that ASHRAE 37-2009 is an integral component of testing
VRF multi-split systems (per the 2014 and 2021 versions of AHRI 1230)
and that it ensures representativeness and repeatability of the test
procedure by specifying instrumentation requirements, test set-up
provisions, calculation methods, and test tolerances. Therefore, DOE
incorporates by reference ANSI/ASHRAE 37-2009 (as corrected by the most
recent errata sheet issued March 27, 2019) and adopts the relevant
sections for testing VRF multi-split systems, as proposed.
---------------------------------------------------------------------------
\11\ In the December 2021 VRF TP NOPR, DOE incorrectly stated
that ANSI/AHRI 1230-2010 references ANSI/ASHRAE 37-2009. 86 FR
70644, 70651 (Dec. 10, 2021).
\12\ The errata sheet, which was updated on March 27, 2019, is
available at: www.ashrae.org/file%20library/technical%20resources/standards%20and%20guidelines/standards%20errata/standards/37-2009errata-3-27-2019-.pdf (Last accessed Sept. 7, 2022).
---------------------------------------------------------------------------
D. Metrics
1. IEER
In the December 2021 VRF TP NOPR, DOE provided considerable
background on the IEER metric, and the Department proposed to adopt the
IEER metric and the relevant provisions in AHRI 1230-2021 to determine
IEER for VRF multi-split systems. 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.
EER and COP capture the system performance at single, full-load
operating points in cooling and heating mode, respectively (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. 86
FR 70644, 70651 (Dec. 10, 2021).
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. Id.
IEER was first specified in a 2008 supplement to ASHRAE Standard
90.1-2007 for commercial air-cooled, water-cooled, and evaporatively-
cooled air conditioning and heat pump equipment. 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 in the Federal Register 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.
The proposal to adopt the IEER metric and relevant provisions of
AHRI 1230-2021 in the test procedure for VRF multi-split systems
aligned with the VRF TP Term Sheet upon which the ASRAC Working Group
agreed. 86 FR 70644, 70652 (Dec. 10, 2021). DOE also proposed to amend
the definition for IEER at 10 CFR 431.92 to distinguish between the
test procedures for ACUACs and VRF multi-split systems. Id.
Lennox, the CA IOUs, AHRI, Daikin, and NEEA commented that they
support DOE's proposal to adopt the IEER metric for VRF multi-split
systems. (Lennox, No. 8 at pp. 1-2; CA IOUs, No. 11 at p. 3; AHRI, No.
12 at p. 2; Daikin, No. 13 at p. 2; NEEA, No. 14 at p. 2) Lennox and
NEEA stated that IEER improves the representativeness of the tested
value for VRF multi-split systems. (Lennox, No. 8 at p. 2; NEEA, No. 14
at p. 2) The CA IOUs and NEEA commented that IEER informs consumers of
the part-load performance benefits of variable speed equipment. (CA
IOUs, No. 11 at p. 3; NEEA, No. 14 at p. 2) AHRI, Daikin, and Lennox
supported DOE's proposed revision to the definition of IEER to
differentiate between the test procedures for ACUAC and VRF multi-split
systems. (AHRI, No. 12 at p. 2; Daikin, No. 13 at p. 2; Lennox, No. 8
at p. 2)
NEEA commented that DOE should investigate the differences between
AHRI 1230-2021 and ANSI/AHRI 1230-2010, because manufacturers currently
certify IEER measured per 1230-2010 for the AHRI certification program.
The commenter stated that testing according to the new version of AHRI
1230 could result in different IEER values, which could cause market
confusion, so NEEA suggested that DOE consider changing the name of the
metric measured per AHRI 1230-2021 to ``IEER2.'' (NEEA, No. 14 at p. 2)
Regarding NEEA's comment, the changes in AHRI 1230-2021 as compared
to ANSI/AHRI 1230-2010 better reflect typical operation and performance
of VRF multi-split systems (see section III.C.1 of this document for
further discussion). In particular, DOE
[[Page 63868]]
finds that AHRI 1230-2021 includes several test procedure amendments
that better reflect typical operation and performance of VRF indoor
units, including the addition of SHR limits, further specification of
indoor airflow, and changes to indoor unit tested combinations. DOE
also finds that the addition of the CVP in AHRI 1230-2021 (which DOE is
adopting in enforcement provisions) will improve representativeness by
more closely tying controls behavior during testing to native controls
behavior that would be expected to occur in a field installation. DOE
also notes that the VRF TP Term Sheet included as Recommendation #1
that VRF multi-split systems should be rated with the IEER metric.
(Docket No. EERE-2018-BT-STD-0003-0044) This recommendation was
unanimously agreed upon by all Working Group members, as it allowed for
comparisons to CUAC ratings, which also use the IEER efficiency metric.
Further, DOE does not require certification of IEER as measured per
ANSI/AHRI 1230-2010 nor does it include IEER in its current test
procedure for VRF multi-split systems. Therefore, DOE concludes that
there is not a need to deviate from the metric name ``IEER'' specified
in AHRI 1230-2021 and that doing so might spawn unnecessary confusion
by suggesting that there is some significant difference as to how that
term is used in the context of the amended Federal test procedure as
compared to AHRI 1230-2021. Consequently, DOE is adopting the IEER
metric measured per AHRI 1230-2021 in the Federal test procedure for
VRF multi-split systems, as proposed. Further, DOE is adopting the
proposed revisions to the definition for IEER at 10 CFR 431.92 to
distinguish between the test procedures for ACUACs and VRF multi-split
systems.
2. Test Conditions Used for Efficiency Metrics
AHRI 1230-2021 includes a number of test conditions used to
determine rated performance of VRF multi-split systems in both cooling
mode and heating mode. Standard rating tests in cooling mode include
the full-load cooling and three part-load cooling tests used to
determine IEER. Standard rating tests in heating mode differ depending
on whether the VRF multi-split heat pump is water-source or air-source.
For water-source systems, there is only one heating mode standard
rating test. For air-source systems, there are two heating mode
standard rating tests (one at 47 [deg]F outdoor temperature and another
at 17 [deg]F outdoor temperature).
In the December 2021 VRF TP NOPR, DOE proposed 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. 86 FR
70644, 70652-70653 (Dec. 10, 2021). Specifically, for air-cooled VRF
multi-split systems, DOE proposed 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 8 \13\ of AHRI 1230-2021. DOE also proposed to specify in section
4.1 of the proposed appendix D1 that the heating test condition used
for compliance would be the ``Standard Rating Conditions, High
Temperature Steady-State Test for Heating'' conditions (47 [deg]F)
specified in Table 8 of AHRI 1230-2021. DOE also proposed to specify in
section 4.1.1 of the proposed appendix D1 that representations of COP
would be optional for the ``Low Temperature Steady-state Test for
Heating'' conditions (17 [deg]F), also specified in Table 8 of AHRI
1230-2021. For water-source VRF multi-split heat pumps, DOE proposed to
specify in section 3.2 of the proposed appendix D1 that the test
conditions used for compliance would be the standard rating test
conditions for ``Water Loop Heat Pumps'' and proposed in section 4.2.1
of proposed appendix D1 that representations of EER and COP at the
standard rating conditions for ``Ground-loop Heat Pumps'' would be
optional. Id.
---------------------------------------------------------------------------
\13\ AHRI commented in response to the December 2021 NOPR that
DOE incorrectly identified the relevant table numbers of AHRI 1230-
2021. They clarified that Table 8 of AHRI 1230-2021 outlines
``standard rating conditions'' for air-source VRF multi-split
systems, while Tables 9 and 10 provide these conditions for water-
source VRF multi-split systems for cooling mode and heating mode,
respectively. (AHRI, No. 12 at p. 10) DOE has corrected these
references in this final rule.
---------------------------------------------------------------------------
In response to DOE's proposed rating conditions, NYSERDA encouraged
DOE to work with industry stakeholders to improve the
representativeness of heating-mode performance ratings by: (1) adding
rating points at colder ambient temperatures and (2) encouraging DOE to
shift from regulating based on a single test point to an integrated
heating metric. NYSERDA asserted that the VRF heating performance
rating (COP at 47 [deg]F) does not provide customers with sufficient
information to determine equipment performance at temperatures
experienced by New Yorkers during much of the winter season.
Specifically, the commenter advocated that a rating condition at colder
temperatures such as 5 [deg]F or 0 [deg]F is needed to provide colder
climates with the data necessary to determine which VRF equipment is
most appropriate. NYSERDA also encouraged DOE to change the test
condition used for determining heating capacity from 47 [deg]F to 17
[deg]F (or lower). Regarding an integrated heating metric, NYSERDA
commented that although integrated ratings are not reflective of any
specific building type or climate zone, they provide a relative ranking
of products, thereby allowing consumers to understand which models are
likely to perform better than others across a range of ambient
temperatures and load levels on the equipment. NYSERDA commented that
an integrated heating metric for VRFs would be more representative than
COP at 47 [deg]F. (NYSERDA, No. 6 at p. 2) Furthermore, NYSERDA
requested that if its comments could not be addressed in the current
rulemaking, then it asked DOE to consider its comments for the next
update of VRF test procedures. (NYSERDA, No. 6 at p. 3) No other
comments were received as to the proposed test conditions for VRF
multi-split systems.
In response, DOE notes that for VRF multi-split systems, the
generally accepted industry test procedure is AHRI 1230-2021, which for
air-source heat pumps only includes provisions to determine the COP
rating at a high temperature point of 47 [deg]F and at a low
temperature point of 17 [deg]F (outdoor air dry-bulb temperatures).
Neither AHRI 1230-2021 nor previous versions of AHRI 1230 include the
provisions needed to determine heating performance at other outdoor
temperatures or specify an integrated metric for heating.
Regarding the addition of heating conditions at temperatures colder
than 17 [deg]F or adoption of an integrated heating metric (which as
described by NYSERDA, would involve adding part-load heating tests), at
this time, DOE lacks sufficient evidence to adopt tests for VRF multi-
split systems at conditions other than those specified in the updated
industry consensus test procedure, AHRI 1230-2021. Further, DOE does
not have data as to representative test conditions, load levels, and
weighting factors to be included in an integrated heating metric for
VRF multi-split systems.
Regarding the suggestion that rated heating capacity be based on
performance at 17 [deg]F instead of 47 [deg]F,
[[Page 63869]]
NYSERDA did not provide evidence that heating capacity measured at 17
[deg]F would be more representative for VRF multi-split systems for the
nation as a whole. Further, all other commercial heat pump equipment
categories regulated by DOE also have the rated heating capacity
measured at 47 [deg]F, thus allowing comparison at the same condition
across equipment categories. Additionally, the AHRI Directory of
Certified Product Performance \14\ includes heating capacity measured
at both 47 [deg]F and 17 [deg]F; therefore, to the extent stakeholders
are interested in heating capacity of VRF multi-split systems at 17
[deg]F, they can obtain such information from the data made publicly
available in the AHRI Directory for systems included in AHRI's
certification program.
---------------------------------------------------------------------------
\14\ The AHRI directory for VRF multi-split systems is available
at: www.ahridirectory.org/NewSearch?programId=72&searchTypeId=3
(Last accessed July 8, 2022).
---------------------------------------------------------------------------
DOE notes that NYSERDA acknowledged that the Department is
finalizing its test procedure rulemaking for VRF multi-split systems
and that the commenter's suggestions may not be able to be incorporated
in this rulemaking. Absent data supporting the representativeness of
alternate test conditions and an alternate metric, as well as a lack of
information as to which test conditions would be included in a
representative integrated heating metric, DOE is not considering test
conditions or metrics for VRF multi-split systems other than those
proposed in the December 2021 VRF TP NOPR. Therefore, DOE is not
adopting a lower-temperature heating test or an integrated heating
metric for VRF multi-split systems, as recommended by NYSERDA. For the
reasons discussed in the December 2021 VRF TP NOPR and in the preceding
paragraphs, DOE is finalizing its proposals from the December 2021 VRF
TP NOPR regarding test conditions for VRF multi-split systems.
E. 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 STI-certified values) during testing.
AHRI 1230-2021 also includes a normative Appendix C that specifies
a 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.E.4 of
this final rule 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. The December 2021 VRF
TP NOPR includes additional information about the CVP. See 86 FR 70644,
70658-70663 (Dec. 10, 2021).
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 (May 16, 2012). DOE's current certification requirements
for VRF multi-split systems, found at 10 CFR 429.43(b)(4), specify that
the STI must include compressor frequency setpoints 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 multi-split 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 operation.
In October 2018, during the negotiation meetings of the Working
Group, the CA IOUs raised concern (supported by field and laboratory
test data) as to 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) Ultimately, 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)
Appendix C of AHRI 1230-2021 establishes a CVP.\15\ The CVP
verifies whether critical parameter settings certified in the STI,
implemented by the manufacturer's representative during full-load and
part-load 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 dry-bulb 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
[deg]F and 86 [deg]F, and the VRF indoor units are set to control to a
constant indoor temperature, 80 [deg]F, except as explained by Section
5.1.5 of AHRI 1230-2021. Section 5.1.5 provides instructions for
adjusting the VRF indoor unit setpoints (deviating from 80 [deg]F) to
account for setpoint bias and setpoint offset.\16\ VRF indoor units
[[Page 63870]]
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.
---------------------------------------------------------------------------
\15\ The concept for the CVP originated from a minimum
compressor speed verification procedure 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.
\16\ AHRI 1230-2021 provides the following definitions for these
terms in sections 3.29 and 3.30, respectively:
Setpoint Bias--The difference between 80 [deg]F and the nominal
thermostat setpoint required for the thermostat to control for 80
[deg]F sensed temperature at the sensed location.
Setpoint Offset--The difference between the temperature
indicated by a thermostat's temperature sensor and the actual
temperature at the sensor's location.
---------------------------------------------------------------------------
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 setpoint bias and offset to ensure repeatable
test results. After setting initial indoor air temperature, including
any adjustments to control for setpoint 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.\17\ VRF multi-split systems typically unload by modulating
component settings, including critical parameters, from the values used
when providing full-load cooling capacity.
---------------------------------------------------------------------------
\17\ Figure C.1 in AHRI 1230-2021 displays an example schematic
of the indoor dry-bulb temperature in [deg]F, compressor speed in
Hz, and the number of thermally active indoor units over the
duration of a CVP test.
---------------------------------------------------------------------------
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. Once the first indoor unit becomes thermally inactive, the
indoor room dry-bulb temperature continues decreasing until the indoor
room reaches 77 [deg]F. Section C6 of AHRI 1230-2021 includes equations
for determining ``RSS Points Total'' \18\--an aggregated and normalized
measure of deviation of all critical parameters from their certified
values--and also includes criteria for determining whether or not the
CVP has validated the certified critical parameter settings. The
verification criteria specified in Section C6 of AHRI 1230-2021 for
critical parameters measured during the CVP constitute a ``budget
method'' that applies a limit to the calculated RSS Points Total across
all three critical parameters instead of applying individual tolerances
to each individual critical parameter.\19\ 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. 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 specifies the converse,
i.e., if no such measurement period satisfying those critical
parameters exists within the CVP, then certified critical parameter
values are deemed invalid. As discussed and for the reasons explained
in the following sections, DOE is generally adopting the CVP provisions
as proposed in the December 2021 VRF TP NOPR.
---------------------------------------------------------------------------
\18\ In response to the December 2021 NOPR, the CA IOUs
commented that there were certain incorrect section references in
the December 2021 NOPR. They stated that proposed changes to 10 CFR
429.134(s)(3)(ii)(B) state that the RSS points total is defined in
Section 3.26 of AHRI 1230-2021, while the definition is actually in
section 3.27. (CA IOUs, No. 11 at p. 4). DOE has corrected the
section references in this final rule.
\19\ In addition to recommending inclusion of a CVP as 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. The results were used to develop the
``budget method'' for CVP critical parameter verification specified
in Section C6 of AHRI 1230-2021.
---------------------------------------------------------------------------
2. When the CVP Is Conducted
In the December 2021 VRF TP NOPR, DOE proposed to adopt the CVP
that is specified in appendix C of AHRI 1230-2021 in the product-
specific enforcement provisions for VRF multi-split systems at 10 CFR
429.134(s). 86 FR 70644, 70661 (Dec. 10, 2021). Additionally, DOE
proposed to specify at 10 CFR 429.134(s)(3) that DOE would conduct a
CVP at each of the four IEER cooling test conditions in the December
2021 VRF TP NOPR. Id. DOE also proposed 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. Id.
The CA IOUs, Daikin, and AHRI commented that they support DOE's
proposal to incorporate the CVP into its product-specific enforcement
provisions. (CA IOUs, No. 11 at p. 2; Daikin, No. 13 at p. 4; AHRI, No.
12 at p. 5) The CA IOUs stated that this proposal captured the intent
of the VRF TP Term Sheet and that this proposal will capture the
benefits of the CVP while limiting test burden primarily to the systems
included in enforcement testing. (CA IOUs, No. 11 at p. 2)
NEEA commented that the CVP is an essential process to verify that
the system can perform according to its rating. NEEA recommended that
the CVP should be required as a part of the test procedure, not only
included in enforcement provisions. The commenter stated that, without
performing a CVP as part of the test procedure, the manufacturer may
not be aware that its equipment is underperforming until DOE selects it
for enforcement testing. (NEEA, No. 14 at pp. 2-3)
Joint Advocates and the CA IOUs commented that they support DOE's
proposal to conduct a CVP at each of the four load points. The CA IOUs
stated that the CVP is important at part-load conditions, where
deviation in the VRF system performance is expected to be largest. (CA
IOUs, No. 11 at p. 2; Joint Advocates, No. 9 at p. 2) AHRI and Daikin
pointed out that DOE's proposal to conduct a CVP at each load point
would be more than what is required for AHRI's certification program.
(AHRI, No. 12 at p. 10; Daikin, No. 13 at p. 7) Daikin further
commented that, due to the relative newness of the CVP, manufacturers
would likely perform the same CVP tests that DOE would perform as part
of enforcement testing, thereby increasing test burden. (Daikin, No. 13
at p. 7) AHRI further commented that other than conducting the CVP at
all load points, the burdens of the NOPR proposals are similar to
current industry practice as indicated by AHRI 1230-2021. (AHRI, No. 12
at p. 10)
With regards to NEEA's comment, DOE did consider the potential
burden and benefits of including the CVP as part of the Federal test
procedure, and this evaluation revealed the following. To start, DOE
notes that the CVP is not required for rating models as part of the
industry consensus test procedure (AHRI 1230-2021). Per the
certification requirements adopted in this final rule (see section
III.G.2.b of this document), manufacturers will be required to report
[[Page 63871]]
the critical parameter settings at each of the IEER test conditions as
part of their STI. Consequently, DOE expects that manufacturers likely
will develop these certified values first through investigative testing
of some basic models and then later, as knowledge of VRF control
systems improves, through simulations. However, DOE expects that
manufacturers may determine that they do not need to conduct the CVP on
every basic model in order to understand the behavior of the system
controls to develop certified critical parameters. For instance, a
manufacturer may conduct a CVP on one or two models within a model line
and find that the resulting information provides an adequate basis to
develop certified critical parameters for other models in the model
line (e.g., similar models of differing capacities). Further,
manufacturers likely will have some understanding of the dynamic system
controls behavior of their models without conducting the CVP. Requiring
conducting the CVP for rating every basic model would not provide
manufacturers this discretion, and it could result in unnecessary and
costly testing.
Requiring the CVP to be conducted for every basic model would
require manufacturers to physically test every basic model of VRF
multi-split systems. Per current regulations at 10 CFR 429.43 and 10
CFR 429.70, manufacturers are allowed to rate VRF multi-split systems
using AEDMs and are not required to test every basic model. Therefore,
requiring the CVP to be conducted for every basic model would
substantially increase the number of basic models required to be
physically tested. Further, as described in the December 2021 VRF TP
NOPR, DOE estimated that the CVP would add approximately eight hours of
test time at each of the four IEER load conditions during enforcement
testing. 86 FR 70644, 70669 (Dec. 10, 2021). If the CVP were required
to be used at each IEER test condition, each basic model would
potentially require over 30 hours of testing time for the CVP, beyond
the testing time required to measure IEER.
Because manufacturers likely will conduct CVP testing and
simulation on a number of their VRF models in order to determine
representative certified settings for critical parameters in the STI
for all basic models, DOE finds that NEEA's suggestion to include the
CVP as part of the test procedure for VRF multi-split systems would not
substantially change the critical parameter settings manufacturers
would certify, and, thus, would not provide a significant increase in
representativeness of the test procedure. Further, NEEA's suggestion
would impose significantly more burden on manufacturers than the
approach proposed in the December 2021 VRF TP NOPR, because it would
require physical testing and conducting the CVP for every basic model,
rather than allowing manufacturers to decide the appropriate balance of
CVP testing and test burden to develop certified critical parameter
settings. Contrary to what NEEA suggests, DOE also finds it unlikely
that manufacturers would not take appropriate steps to assess their
equipment's performance under the CVP, particularly given the potential
business disruptions likely to result were underperformance to be
encountered for the first time in the context of DOE enforcement
testing. Given that not requiring the CVP for testing is consistent
with the VRF TP Term Sheet and the most recent industry consensus test
procedure, DOE does not have sufficient evidence to conclude that
requiring the CVP for testing would improve the representativeness of
the test procedure without being unduly burdensome. Therefore, DOE is
adopting the CVP as product-specific enforcement provisions for VRF
multi-split systems in 10 CFR 429.134(s) as proposed.
With regard to conducting the CVP at all four IEER load points, DOE
found through its investigative testing that there is substantial
variability in VRF system behavior observed at different IEER load
points, and that the system controls behavior at one IEER point does
not necessarily predict behavior at a different load point. Therefore,
DOE concludes that separately validating critical parameter behavior at
each IEER condition is needed as part of DOE enforcement testing in
order to sufficiently ensure representative system controls behavior.
In consideration of these factors and comments received, in this final
rule, DOE is adopting its proposals at 10 CFR 429.134(v)(3) regarding
performing a CVP at full-load cooling conditions first, then at each of
the part-load cooling conditions.
Adoption of the CVP in enforcement provisions will not require
manufacturers to conduct the CVP on every basic model. As previously
discussed, manufacturers likely will choose not to conduct the CVP for
every basic model of VRF multi-split systems, as they may find that
simulations, similarity between basic models (particularly between
models within a model line), and their understanding of the behavior of
their system controls provide sufficient basis to develop certified
critical parameter settings for some of their model offerings. To the
extent that manufacturers conduct CVP testing on their models in order
to sufficiently understand systems behavior, DOE acknowledges that its
adoption of CVP testing at all four IEER load points for enforcement
testing (rather than just at one IEER load point) may result in
manufacturers conducting the CVP at more IEER load conditions than they
otherwise would have. DOE acknowledges that in certain scenarios,
running three more CVPs could take up to 24 hours. However, by
performing the CVP at the same time as IEER testing, there would be no
additional test burden associated with unit set-up/commissioning.
Additionally, a CVP could be completed immediately following a steady-
state test run at the corresponding IEER load point, in which case
there would be no need to change the test chamber temperatures prior to
conducting the CVP. Therefore, DOE concludes that for the basic models
for which manufacturers choose to conduct the CVP, conducting the CVP
at all four IEER load points would not be unduly burdensome and would
increase the representativeness of the test procedure. As discussed,
DOE has concluded that conducting the CVP at all four IEER load points
is needed to ensure representative system behavior. Therefore, DOE is
adopting its proposals at 10 CFR 429.134(v)(3) that as part of
assessment or enforcement testing, DOE will perform a CVP at full-load
cooling conditions first, then at each of the part-load cooling
conditions.
In the December 2021 VRF TP NOPR, DOE also proposed to specify that
the CVP would be performed on a single system of the two-system sample
during enforcement testing. 86 FR 70644, 70661-70662 (Dec. 10, 2021).
AHRI, Lennox, the CA IOUs, and Daikin commented that performing a
CVP on a single system is adequate, provided that the testing
laboratory ensures the set-up is correct and that a manufacturer
representative is involved. (AHRI, No. 12 at p. 5; Lennox, No. 8 at p.
3; CA IOUs, No. 11 at p. 2; Daikin, No. 13 at p. 4)
For the reasons discussed in the December 2021 VRF TP NOPR and in
the preceding paragraphs, DOE adopts its proposal to perform the CVP on
a single system during assessment or enforcement testing. DOE is
clarifying in this final rule that a CVP would be performed on a single
system, regardless of the sample size used for enforcement (see section
III.G.7 of this document for further discussion of the enforcement
sampling plan). DOE's use of the CVP during assessment and enforcement
[[Page 63872]]
testing is illustrated in Figure 1 in section II of this final rule.
3. Critical Parameter Definition
In the December 2021 VRF TP NOPR, DOE proposed not to reference the
definition of ``critical parameters'' in Section 3.11 \20\ of AHRI
1230-2021 in order to be more explicit that the term ``critical
parameters'' refers only to those parameters specified by Section
5.1.2.1 of AHRI 1230-2021. DOE proposed to define critical parameters
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). 86 FR 70644, 70659 (Dec. 10, 2021). DOE
tentatively concluded that the proposed change to the definition is
editorial in nature and would not change or conflict with any testing
provisions in AHRI 1230-2021. Id. at 86 FR 70659-70660.
---------------------------------------------------------------------------
\20\ The CA IOUs stated that in proposed updates to 10 CFR
431.97, subpart F, appendix D1, DOE states that critical
parameter(s) are defined in section 3.10 of AHRI 1230-2021, but the
correct reference should be to section 3.11 of that industry
standard. (CA IOUs, No. 11 at p. 4) DOE acknowledges this
typographical error and has corrected the section references in this
final rule.
---------------------------------------------------------------------------
AHRI and Daikin commented that the original definition for critical
parameters as written in AHRI 1230-2021 should be used in the DOE test
procedure. (AHRI, No. 12 at p. 3; Daikin, No. 13 at p. 2) AHRI stated
that Section 5.1.2.1 of AHRI 1230-2021 specifies what the critical
parameters are for a given system and stated their preference that this
be enumerated in the test requirements rather than the definition so as
to align with AHRI 1230-2021. (AHRI, No. 12 at p. 3) Daikin argued that
the proposed revision to the definition does not add more specificity
to which components can be adjusted. (Daikin, No. 13 at p. 2) The CA
IOUs commented that they support DOE's proposed definition for
``critical parameters'' and limiting the term to the parameters
specified in section 5.1.2.1 of AHRI 1230-2021, and they agreed with
DOE that the proposal would not conflict with any testing provisions in
AHRI 1230-2021. (CA IOUs, No. 11 at p. 4) Lennox commented that they
support DOE's proposal to clarify that critical parameters are limited
to compressor speeds, outdoor fan speeds, and outdoor variable valve
positions, stating that the proposed definition would provide clarity
and consistency when conducting a CVP. (Lennox, No. 8 at p. 3)
While section 5.1.2.1 of AHRI 1230-2021 clearly enumerates the
three types of components that can be specified for testing and
verified by conducting a CVP, the definition of ``critical parameter''
in AHRI 1230-2021 is rather vague, open-ended, and susceptible to a
reading that would permit inclusion of components that cannot be
overridden during testing (i.e., components other than compressor
speed(s), outdoor fan speed(s) and outdoor variable valve position(s)).
DOE concludes that specifying the relevant components in the definition
will add clarity to the test procedure without conflicting with
existing provisions or adding duplicative language into the test
procedure. Therefore, for the reasons discussed in the December 2021
VRF TP NOPR and in this paragraph, DOE is adopting its proposed
definition for critical parameters that specifically refers to the
relevant components: compressor speed(s), outdoor fan speed(s) and
outdoor variable valve position(s).
4. Validation of Certified Critical Parameters
As previously discussed, Sections C6.1.2 and C6.1.3 of AHRI 1230-
2021 specify validation criteria for the CVP using a budget method that
limits the calculated RSS Points Total across all three critical
parameters. In the December 2021 VRF TP NOPR, the Department discussed
this matter in some detail, and DOE 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. 86 FR 70644, 70660 (Dec. 10, 2021). The phrase
``a measurement period of at least three minutes and a minimum of five
sample readings'' could be misunderstood to indicate a measurement
period with no upper limit, potentially encompassing the entire
duration of the CVP. This reading could be misunderstood 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 four-minute 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. Id.
Accordingly, DOE proposed to clarify these provisions by providing
additional instructions for validating critical parameters in 10 CFR
429.134(s)(3)(ii). Id. Specifically, DOE proposed 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.
Id. DOE also proposed 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. Id.
a. Validation Time Period
Regarding DOE's proposal to clarify the language about the length
of time used for the critical parameter validation period, AHRI
commented that DOE should not specify a duration for the measurement
period used for validating critical parameters. AHRI argued that it is
not necessary to change existing language, as increasing testing
duration will not improve the ability of the equipment to conform to
testing conditions. (AHRI, No. 12 at pp. 3-4) Daikin commented that
while they agree with DOE's interpretation that technically a maximum
validation time period is not specified in AHRI 1230-2021, a longer
test run would result in a higher RSS point total. Daikin stated that
this is detrimental to determining whether the critical parameters are
valid and asserted that a manufacturer would likely test using the
shortest time period permitted by AHRI 1230-2021 (3 to 4 minutes).
(Daikin, No. 13 at p. 3) Despite both AHRI and Daikin indicating that a
maximum limit for critical parameter validation is not necessary, they
acknowledged that there may be merit in adding a maximum time period
and suggested changing this period to twice that proposed (i.e., 8
minutes). Daikin and AHRI provided three reasons to justify their
proposals: (1) there may be difficulty achieving all three critical
parameter values at the same time; (2) if any one critical parameter
achieves its target setpoint before the other critical parameters, the
system is penalized for going beyond the target setpoint; and (3) the
newness of the CVP results in greater uncertainty. (AHRI, No. 12 at pp.
3-4; Daikin, No. 13 at p. 3)
[[Page 63873]]
In response, DOE understands Daikin's comment to reflect a
misunderstanding of the calculation of the RSS points total, by
suggesting the potential for accumulating more points as more time
passes. As specified in Section C6.1.1 of AHRI 1230-2021, RSS points
total is calculated at each data collection interval during the R2
period \21\ as an instantaneous measurement, and, therefore, it does
not accumulate over time. AHRI's comments seemingly contradict each
other, as it in one place calls for an 8-minute maximum period while at
another place it states that a maximum period would have no effect.
With respect to AHRI and Daikin's claims about the timing with which
critical parameters achieve their target operating states, DOE is aware
of the possibility that system controls may achieve desired setpoints
for one critical parameter at a different time during the CVP than
other critical parameters. However, the purpose of the CVP is to
validate 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. Because the
measured performance of VRF multi-split systems is dependent on the
simultaneous interaction of each of the critical parameters, critical
parameter variation must be evaluated based on the simultaneous
positions of each parameter, not based on the behavior for each
parameter at different periods of the CVP. Therefore, DOE concludes
that for representative IEER test results, the critical parameter
settings used in IEER testing should be representative of a combination
of setpoints that would be used simultaneously in real-word
applications. If the desired critical parameter setpoints are achieved
in the CVP at times far enough apart that the RSS Points Total limit is
not met within the maximum length of validation period, then the
certified critical parameter settings should be invalidated (i.e., not
used for steady-state IEER testing). Daikin and AHRI also did not
provide any evidence to support their suggestion for increasing the
duration of the validation period beyond the duration in DOE's proposed
clarification of Sections C6.1.2 and C6.1.3 of AHRI 1230-2021. Because,
as discussed in section III.C.1 of this document, the Working Group
unanimously recommended that DOE adopt a test procedure referencing
AHRI 1230-2021, DOE understands AHRI 1230-2021 to represent the
industry consensus opinion. By extension, DOE understands the critical
parameter validation time period between 3-4 minutes specified in AHRI
1230-2021 to reflect consensus on an appropriate validation time
interval that provides for sufficient data collection and
representative results.
---------------------------------------------------------------------------
\21\ Section C4.4.2 of AHRI 1230-2021 defines the ``R2 period''
as beginning when the measured indoor dry-bulb temperature first
crosses from above 82 [deg]F to below 82 [deg]F, and as ending when
any indoor unit that was designated thermally active at the start of
the CVP becomes thermally inactive.
---------------------------------------------------------------------------
For the reasons discussed in the December 2021 VRF TP NOPR and in
the preceding paragraphs, in this final rule, DOE is adopting its
proposal to specify in 10 CFR 429.134(v)(3)(ii) the duration of the
time period used for validating critical parameters. The additional
instruction results in a validation period lasting a minimum of three
minutes and a maximum of four minutes. For tests using the longest
allowable data collection interval,\22\ the time required to obtain
five sample readings would be four minutes (once at the start of the
interval plus four successive measurements, once each minute). For
tests using shorter data collection intervals, the validation time
period would be either the time required to achieve five sample
readings or three minutes, whichever is longer.
---------------------------------------------------------------------------
\22\ Table C2 of AHRI 1230-2021 specifies the minimum data
collection intervals for recording data during the CVP.
---------------------------------------------------------------------------
b. Validation Criteria
Regarding DOE's proposal to validate certified critical parameters
based on the presence of a period (with duration discussed in section
III.E.4.a of this document) having an average RSS points total less
than or equal to 70 points, the CA IOUs commented that they agree that
the RSS Point Total budget of 70 points should be large enough to
account for any potential source of variability. (CA IOUs, No. 11 at
pp. 2-3) In contrast, AHRI and Daikin commented that CVP testing has
only been conducted on a limited subset of products, with very few
water-source products and no products over 240,000 Btu/h. These
commenters further asserted that no lab-to-lab test validation has been
conducted, especially between manufacturer laboratories and third-party
laboratories. AHRI and Daikin also asserted that manufacturers have
observed that changes in the indoor chamber temperature ramp rate
impact the unit's ability to meet the average RSS points total and to
reach conditions of the CVP. For these reasons, AHRI and Daikin
recommended that in the case that a CVP invalidates the certified
critical parameter settings during enforcement testing, DOE should
require that a second CVP be conducted at an adjusted ramp rate to re-
attempt validation. (AHRI, No. 12 at pp. 4-5; Daikin, No. 13 at pp. 3-
4)
Regarding AHRI and Daikin's claims about the potential for
variation between different CVP test runs, as discussed in section
III.E.1 of this final rule, the budget method (adopted at 10 CFR
429.134(v)(3)(ii) in this final rule) allows manufacturers flexibility
in critical parameter control strategies while still constraining the
overall variation in VRF multi-split system performance. Following
Working Group meetings, DOE conducted testing and sensitivity analysis
of several VRF multi-split systems, the results of which were
incorporated into the development of the budget method for CVP critical
parameter verification specified in Section C6 of AHRI 1230-2021. The
70-point threshold was developed as part of AHRI 1230 Technical
Committee meetings in which DOE presented anonymized and aggregated
test data. As 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 account 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 specify a 70-point budget in
AHRI 1230-2021. Additionally, in the December 2021 VRF TP NOPR, DOE
specifically requested 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. 86 FR
70644, 70662 (Dec. 10, 2021). DOE did not receive any data in response
to this request. For these reasons, DOE concludes that based on all
available data, the RSS points total budget of 70 points is
appropriately flexible to account for any issues with lab-to-lab and
unit-to-unit repeatability when conducting the CVP.
With regard to AHRI and Daikin's proposal to allow a second CVP to
be conducted at an alternate ramp rate, DOE does not have sufficient
information to support such an addition. As codified in this final
rule, manufacturers will be responsible for reporting in their STI
specific
[[Page 63874]]
instructions for conducting the CVP including ramp rate, starting
temperature, and thermally active indoor units. The CVP then includes
provisions for ensuring that the test laboratory properly conducts the
CVP per manufacturer specifications. Manufacturers also will be
required to report certified critical parameter values in their STI,
which the manufacturer may develop based on a CVP conducted using the
same instructions. These three provisions are all aligned to ensure the
CVP is performed consistently and that results are more predictable
(i.e., manufacturers can set their own ramp rate and CVP conditions,
within bounds of the test procedure, that would provide the most
consistent results). Additionally, DOE reiterates that the budget
method used for validating critical parameters was designed to give
enough flexibility to account for lab-to-lab and test-to-test variation
in CVP results. Allowing an additional CVP run to attempt validation of
critical parameters would in effect expand the uncertainty allowance
beyond that agreed upon by the AHRI 1230 Technical Committee and
addressed in AHRI 1230-2021. Therefore, in this final rule DOE is not
adopting the suggestion to allow a second CVP to be conducted at an
alternate ramp rate.
AHRI further commented that if DOE's proposals regarding CVP
validation of certified critical parameters were implemented as
enforcement guidance instead of through regulation, then the provisions
could be changed or rescinded more easily as industry gains experience
with conducting the CVP. (AHRI, No. 12 at p. 5)
As discussed, the CVP provisions (including the RSS points total
budget of 70 points) were developed using the data gathered by testing
several VRF multi-split systems. These data showed that a 70-point
budget would be sufficient to account for lab-to-lab and unit-to-unit
test variability. The provisions have also been thoroughly discussed in
Working Group and AHRI 1230 Technical Committee meetings prior to
inclusion in the most recent industry consensus test procedure AHRI
1230-2021. Therefore, DOE concludes that the CVP provisions are
appropriate for inclusion in DOE's regulations. Further, DOE finds that
codifying the CVP provisions in regulation provides greater certainty
for when and how the CVP would be used and prevents sudden shifts in
policy or interpretation.
Based on discussion in the December 2021 VRF TP NOPR and in the
preceding paragraphs, DOE is adopting its proposal at 10 CFR
429.134(v)(3)(ii) specifying 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.
5. Determination of Alternate Critical Parameters
In the December 2021 VRF TP NOPR, DOE proposed that in cases in
which a CVP is not conducted, or if a CVP is conducted and the
manufacturer-specified critical parameters are validated, the critical
parameter values certified in the STI are to be used as the initial
control inputs when conducting the IEER cooling test at the
corresponding full- or part-load cooling condition. 86 FR 70644, 70661
(Dec. 10, 2021). In cases in which a CVP fails to validate the
certified critical parameter values, DOE proposed at 10 CFR
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. Id.
To provide further specification for determining these alternate
parameters, DOE proposed to use the same procedure for determination of
measurement period length as was proposed for validation of certified
critical parameters in 10 CFR 429.134(s)(3)(ii)(A): 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. 86 FR 70644, 70661 (Dec. 10, 2021). DOE also
proposed 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 duration. Id. If multiple
such periods exist with the same RSS Points Total, DOE proposed to
select the period closest to (but before) the time when the first
indoor unit becomes thermally inactive (tOff). Id.
Daikin agreed that neither the Working Group nor the AHRI 1230
Technical Committee resolved the question of how to determine alternate
critical parameter values in the case where a CVP invalidates the
manufacturer's certified values. Daikin concurred with DOE's suggested
approach for determining alternate critical parameter settings.
(Daikin, No. 13 at p. 3) DOE did not receive any other comments
specific to the question of how to determine alternate critical
parameters following a CVP that fails to validate the manufacturer-
certified critical parameter settings. For the reasons discussed in the
December 2021 VRF TP NOPR and in this section, DOE is adopting the
provisions for determining alternate critical parameter values in this
final rule as proposed.
F. Allowable Critical Parameter Adjustment
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. In the December 2021 VRF TP
NOPR, DOE tentatively determined that amendments to this section of
AHRI 1230-2021 are required and proposed to specify allowable critical
parameter adjustments in section 5.2 of appendix D1 to subpart F of
part 431. 86 FR 70644, 70662 (Dec. 10, 2021). Specifically, DOE
proposed (1) 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; (2)
clarification 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;
and (3) clarification to 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). Id. at 86 FR 70662-70663.
Daikin expressed support for DOE's proposal to calculate normalized
critical parameter variation during the adjustment process if tested
capacity is above the target capacity and also supported the proposal
to adjust critical parameters to meet capacity requirements. (Daikin,
No. 13 at p. 4) AHRI supported the clarifications proposed by DOE and
commented that the Department should provide example calculations for
each case so as to provide additional clarity. Specifically, AHRI
mentioned that for systems with multiple modules (i.e., outdoor units),
there are two types of critical parameters: (1) those that can be set
for each module and (2) those that have one
[[Page 63875]]
value for multiple modules. (AHRI, No. 12 at p. 6)
For the reasons discussed in the December 2021 VRF TP NOPR and in
the preceding paragraphs, DOE is finalizing its proposals to add
clarifying language to the provisions for determining allowable
critical parameter adjustments when conducting IEER testing.
Regarding AHRI's request that DOE provide example calculations for
``each case'' describing allowable critical parameter adjustments, the
scope of AHRI's suggestion is unclear (e.g., whether AHRI requested
example calculations for different equipment classes of VRF multi-split
systems or for different permutations of critical parameters). Further,
DOE finds that the proposed instructions for critical parameter
adjustments are sufficient for testing multi-module VRF multi-split
systems, even if parameters are controlled jointly across modules.
Section 5.2 of appendix D1 describes critical parameter adjustments and
includes provisions that accommodate differential or shared adjustments
of multiple instances of the same critical parameter (e.g., two
compressors). Because the existing test provisions sufficiently cover
the scenario described by AHRI, and because AHRI did not provide any
other examples of VRF multi-split system configurations or control
schemes for which the proposed testing provisions for critical
parameter adjustments are unclear, DOE is not adding example
calculations for critical parameter adjustments in this final rule.
In the case that a VRF multi-split system configuration exists that
raises questions about how the DOE test procedure should apply, DOE
notes that it will receive general inquiries via email at
[email protected]. DOE also maintains a repository
of frequently asked questions pertaining to additional guidance issued
by DOE.\23\ In addition, if it is ultimately determined that a VRF
multi-split system configuration exists for which the critical
parameter adjustment procedures will result in an inability to test the
system or provide materially inaccurate performance results,
manufacturers may petition DOE for a test procedure waiver under 10 CFR
431.401.
---------------------------------------------------------------------------
\23\ DOE's website houses frequently asked questions (FAQs)
pertaining to the DOE Appliance Standards Program. The FAQ list is
available at: https://www.energy.gov/eere/buildings/appliance-standards-guidance-and-frequently-asked-questions-faqs, or
interested parties may submit a new question at: https://www.energy.gov/eere/buildings/appliance-standards-guidance-and-frequently-asked-questions.
---------------------------------------------------------------------------
2. Adjustment of Alternate Critical Parameter Values
As described in section III.E.5 of this document, DOE proposed to
clarify how, in the event that a manufacturer's certified critical
parameter settings were invalidated through the CVP, alternate critical
parameters would be determined and used as control inputs during DOE
enforcement testing. 86 FR 70644, 70663 (Dec. 10, 2021). In the
December 2021 VRF TP NOPR, DOE elaborated that in such a case, it may
still be necessary to adjust the alternate critical parameter values in
order to meet capacity tolerances and SHR limits for the IEER test.
Accordingly, DOE proposed to include provisions at 10 CFR
429.134(s)(3)(iii)(B)(3) specifying 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 in order to comply with capacity and/or SHR requirements.
Id.
Specifically, DOE proposed to rely on the methods for adjustment of
critical parameters in proposed section 5.2 of appendix D1 to subpart F
of part 431 with two modifications. Id. First, DOE proposed 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, DOE proposed 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. Id.
AHRI commented that it supports DOE's proposal to use alternate
critical parameters for IEER adjustments in the case of invalidated STI
critical parameters, as this proposal clarifies how a test would be run
in this situation. (AHRI, No. 12 at p. 6) Daikin commented that DOE's
proposed adjustments to meet capacity requirements, if not provided by
the manufacturer in the STI, is acceptable. (Daikin, No. 13 at p. 4)
DOE did not receive any additional comments on this topic.
Based on the discussion presented in the December 2021 VRF TP NOPR
and in the preceding paragraphs, DOE is adopting its proposals for
section 5.2 of appendix D1 to subpart F of part 431 regarding
adjustment of alternate critical parameter values.
G. Certification, Compliance, and Enforcement
1. Determination of Represented Values
a. Introduction
VRF multi-split systems are, by definition, split-system commercial
package air conditioners and heat pumps that employ an outdoor unit(s)
and multiple separate indoor fan coil units connected in a single
refrigerant circuit. 10 CFR 431.92. VRF multi-split heat pumps can be
configured as heat recovery systems, which allows for recovered energy
from the indoor units operating in one mode (e.g., cooling) to be
transferred to one or more other indoor units operating in the other
mode (e.g., heating). This necessitates a heat recovery box that is
installed between the outdoor unit and indoor units. Additionally, VRF
multi-split systems are available with different refrigerant options
and are sold with a wide variety of components, including many that can
optionally be installed on or within the unit, both in the factory and
in the field. Each optional component may or may not affect a model's
measured efficiency when tested to the DOE test procedure adopted in
this final rule.
In the December 2021 VRF TP NOPR, DOE proposed several items
related to configuration of the unit under test and determination of
represented values. These proposals included instructions on how to
select indoor unit models (via reference of the tested combination
requirements specified in section 6.2.1 of AHRI 1230-2021) and
provisions specifying the different represented values that must be
made for each indoor unit type within a basic model, as well as
provisions for determination of represented values for basic models
distributed in commerce with specific components, heat recovery
components, and multiple refrigerants. 86 FR 70644, 70663-70665 (Dec.
10, 2021). These proposals and related stakeholder comments are
discussed in paragraph III.G.1.b of this document.
In this final rule, DOE is providing additional discussion to help
clarify the interplay between the previously proposed representation
requirements, the proposed indoor unit tested combination requirements,
and the proposed approach for specific components. The approach
finalized by this rule is substantively the same as the corresponding
proposals in the December 2021 VRF TP NOPR. The provisions adopted in
this final rule and the justification for adopting these
[[Page 63876]]
provisions are described in greater detail in section III.G.1.c of this
document.
b. NOPR Proposals and Comments
i. Tested Combination and Indoor Unit Combinations
In the December 2021 VRF TP NOPR, DOE made two proposals pertaining
to represented values for different combinations of VRF indoor unit
models. First, DOE proposed to reference the tested combination
provisions from section 6.2.1 of AHRI 1230-2021 in the test procedure
at appendix D1. 86 FR 70644, 70663 (Dec. 10, 2021). These provisions
instruct how to select indoor unit models to comprise a ducted, non-
ducted, or small-duct high-velocity tested combination. Section 6.2.1
also specifies an indoor unit selection hierarchy based on indoor unit
sub-type and other design characteristics. For example, to compose a
non-ducted tested combination, AHRI 1230-2021 specifies compact 4-way
ceiling cassettes as the highest-priority selection and further
requires that the indoor unit model having the lowest normalized coil
volume and lowest-efficiency indoor fan motor within the specified
indoor unit type must be selected. Second, DOE proposed that
manufacturers must determine separate represented values for each
indoor unit tested combination that is distributed in commerce. 86 FR
70644, 70664 (Dec. 10, 2021). Through this approach, each VRF basic
model would be required to include separate representations for each of
the ducted, non-ducted, and small-duct, high-velocity indoor unit
tested combinations (if distributed in commerce in such a combination).
DOE also proposed that manufacturers would be allowed to make optional
``mixed'' representations based on the simple average of represented
values of any two tested combinations within a basic model. Id.
In response, AHRI, Carrier, and Daikin commented that they support
DOE's proposals for determining represented values for different indoor
unit combinations/mixed combinations. (AHRI, No. 12 at p. 6; Carrier,
No. 7 at p. 1; Daikin, No. 13 at p. 5). DOE did not receive any
comments specially addressing its proposal to reference the tested
combination provisions from section 6.2.1 of AHRI 1230-2021.
ii. Treatment of Specific Components
AHRI 1230-2021 outlines requirements for specific components in
Appendix F, ``Unit Configuration for Standard Efficiency
Determination--Informative.'' Appendix F provides discussion of
components which would not be considered in representations, and
provides instructions either to minimize their impact during testing or
to determine representations for individual models with such components
based on other individual models that do not include them. In the
December 2021 VRF TP NOPR, instead of referencing Appendix F of AHRI
1230-2021, DOE tentatively determined that it was necessary to adopt
similar instructions in a more comprehensive manner, so the Department
proposed provisions in the appendix D1 test procedure, in the
representation requirements at 10 CFR 429.43, and in the enforcement
provisions at 10 CFR 429.134. 86 FR 70644, 70657 (Dec. 10, 2021).
Specifically, DOE proposed test provisions in section 6 of appendix
D1 that instructed how to test a VRF multi-split system equipped with
any specific component(s) listed in Table 6.1 \24\ of that same
section. 86 FR 70644, 70686 (Dec. 10, 2021). These provisions were
designed to minimize the impact on measured performance caused by
testing with the specific component(s) present. Additionally, DOE
proposed representation requirements in 10 CFR 429.43(a)(4) that
explicitly allowed representations for individual models with certain
components to be based on testing for individual models without those
components; the proposal included a table in 10 CFR 429.43(a)(4)(i)
listing the two components for which these provisions would apply (air
economizers and desiccant dehumidification components). 86 FR 70644,
70657-70658 (Dec. 10, 2021). DOE also proposed corresponding product
enforcement provisions in 10 CFR 429.134 indicating that DOE would
conduct enforcement testing on VRF multi-split systems having
individual indoor unit models that do not include air economizers or
dehumidification components, except in certain circumstances. 86 FR
70644, 70658 (Dec. 10, 2021).
---------------------------------------------------------------------------
\24\ Table 6.1 includes test provisions for VRF multi-split
systems equipped with desiccant dehumidification components, air
economizers, fresh air dampers, hail guards, low ambient cooling
dampers, power correction capacitors, and/or ventilation energy
recovery systems (VERS). 86 FR 70644, 70686-70687 (Dec. 10, 2021).
---------------------------------------------------------------------------
DOE also proposed to adopt language more specific to VRF multi-
split systems, as compared to the general language contained in section
F2.4 of AHRI 1230-2021. Specifically, DOE proposed to use 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. 86 FR 70644, 70657 (Dec. 10,
2021). DOE's proposed approach would allow for the individual
consideration of specific components on an indoor unit-by-indoor unit
basis to account for scenarios in which individual indoor unit models
in the tested combination differ in components.
For two components--coated coils and steam/hydronic heat coils--DOE
did not propose to include these components in the list of specific
components warranting enforcement relief (i.e., provisions in 10 CFR
429.43(a)), nor did DOE propose any provisions to minimize their impact
during testing (i.e., provisions in appendix D1). DOE noted that coated
coils and steam/hydronic heat coils were not included in the list of
optional features in Section F2.4 of AHRI 1230-2021, and determined the
industry consensus to be that coated coils and steam/hydronic heat
options 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. 86 FR 70644, 70657 (Dec. 10, 2021).
Finally, DOE stated that, were DOE to adopt the provisions in
appendix D1, 10 CFR 429.43, and 10 CFR 429.134 as proposed, DOE would
rescind the Commercial HVAC Enforcement Policy to the extent it is
applicable to VRF multi-split systems. 86 FR 70644, 70658 (Dec. 10,
2021).
In comments on the December 2021 VRF TP NOPR, Lennox, AHRI, and
Carrier stated that they support DOE's proposal to include test
provisions for specific components, as outlined in Table 6.1 of
Appendix D1. (Lennox, No. 8 at p. 2; AHRI, No. 12 at p. 2; Carrier, No.
7 at p. 1) Further, AHRI encouraged DOE to specifically exclude VRF
multi-split systems from the Commercial HVAC Enforcement Policy going
forward so as to avoid confusion. (AHRI, No. 12 at p. 2) Daikin
commented that coated coils, low ambient cooling dampers, and power
correction capacitors are a part of the outdoor unit model and asserted
that a clarification was needed at 10 CFR 429.43(a)(4) to designate
both indoor and outdoor unit models, as opposed to just indoor unit
models. (Daikin, No. 13 at p. 2)
With respect to DOE's proposals to exclude coated coils and steam/
hydronic heat coils from the testing provisions and from consideration
when determining represented values, Lennox, AHRI, and Daikin all
commented that DOE should also consider including coated coils and
[[Page 63877]]
steam/hydronic heat coils in table 6.1, as contained in the DOE
Commercial HVAC Enforcement Policy. (Lennox, No. 8 at p. 2; AHRI, No.
12 at p. 2; Daikin, No. 13 at p. 2) AHRI asserted that coated coils
should not be required for testing because units will always be
available without them (i.e., represented values should not be required
to be based on a VRF multi-split system with coated coils when there
would always be an otherwise comparable model available without coated
coils). (AHRI, No. 12 at p. 2) Daikin stated that adding steam/hydronic
coils to table 6.1 would align regulations for VRF multi-split systems
with those for other equipment categories, and that coated coils, low
ambient cooling dampers, and power correction capacitors might be
included in the outdoor section of VRF multi-split systems. (Daikin,
No. 13 at p. 2)
In response, DOE has considered these comments and has determined
that clarifications are warranted to the approach proposed in the
December 2021 VRF TP NOPR regarding the treatment of certain components
for determining represented values. Therefore, DOE is adopting the
proposals made in the December 2021 VRF TP NOPR, with clarifications
that are discussed in detail in section III.G.1.c of this final rule.
iii. Heat Recovery Components
Section 5.6 of AHRI 1230-2021 specifies that for all VRF heat
recovery systems, the heat recovery control unit must be attached
during all tests. Similarly, section F2.3 of AHRI 1230-2021 requires
that all heat recovery components must be present and installed for
testing individual models distributed in commerce with these
components. DOE proposed in the December 2021 VRF TP NOPR to reference
Section 5.6 of AHRI 1230-2021 in its proposed test procedures for VRF
multi-split systems at appendix D1. 86 FR 70644, 70651 (Dec. 10, 2021).
Consistent with section F2.3 of AHRI 1230-2021, DOE also proposed to
specify in 10 CFR 429.43(a) 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. 86 FR 70644, 70656 (Dec. 10, 2021).
DOE did not receive any comments regarding heat recovery components
in response to the December 2021 VRF TP NOPR. In this final rule, DOE
is finalizing its proposed test provisions in appendix D1 but is
removing its proposal to specify in 10 CFR 429.43(a) that VRF multi-
split systems distributed in commerce with heat recovery components
must determine represented value based on a configuration of the basic
model with heat recovery components installed, as discussed in section
III.G.1.c.ii of this final rule.
iv. Multiple Refrigerants
DOE proposed in the December 2021 VRF TP NOPR that in cases in
which a basic model of VRF multi-split system can be used with multiple
refrigerants without requiring different hardware, then 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. 86 FR 70644, 70665 (Dec. 10, 2021). DOE also
clarified that, should the use of a different refrigerant require
different hardware, this would represent a different basic model and,
consequently, separate representations of energy efficiency would be
required. Id.
The Joint Advocates, Lennox, and the CA IOUs expressed support for
DOE's proposal to use the refrigerant listed on the unit's nameplate
that results in the lowest cooling efficiency for represented values.
(Joint Advocates, No. 9 at p. 1; Lennox, No. 8 at p. 3; CA IOUs, No. 11
at p. 4) The Joint Advocates commented that DOE's proposal would ensure
that when manufacturers test a basic model, a refrigerant would not be
selected that overstates the efficiency of the equipment as compared to
if it were charged with another (less-efficient) refrigerant in the
field. (Joint Advocates, No. 9 at p. 1) The Joint Advocates and the CA
IOUs recommended allowing manufacturers to make additional
representations for a basic model using different (i.e., more-
efficient) refrigerants to demonstrate the benefits of using more-
efficient refrigerants. (Joint Advocates, No. 9 at p. 1; CA IOUs, No.
11 at p. 4)
DOE has considered these comments and has determined that the
multiple refrigerant proposals made in the December 2021 VRF TP NOPR
are not needed because the approach for determining represented values
adopted in this final rule addresses the issue consistent with the NOPR
proposals without need to specifically address multiple refrigerants.
This matter is discussed in greater detail in section III.G.1.c of this
final rule.
c. Final Rule Approach
i. Summary
As previously introduced, DOE is finalizing an approach for
determining represented values that improves the clarity of, but is not
substantively different than, the proposals in the December 2021 VRF TP
NOPR. In this final rule, DOE is amending language in 10 CFR
429.43(a)(3)(ii) to clarify the interplay between the indoor unit
tested combination, the representation requirements pertaining to
specific components, and general requirements pertaining to represented
values. DOE has structured the provisions at 10 CFR 429.43(a)(3)(ii) to
reflect the different considerations when selecting outdoor vs. indoor
units, and to highlight that the specific components currently subject
to DOE enforcement relief (i.e., desiccant dehumidification components
and air economizers) are only applicable at the level of indoor units
within a tested combination, not at the basic model level. DOE is
specifying that for each indoor unit combination within a basic model
(i.e., ducted, non-ducted, or SDHV), the representation must be based
on a combination of: (1) the least-efficient outdoor unit model
distributed in commerce for that particular basic model which would be
based on the least-efficient refrigerant (as discussed in section
III.G.1.c.ii of this document); and (2) the combination of indoor units
selected in accordance with the criteria described in section
III.G.1.c.iii of this document. By taking this approach, DOE is
clarifying the interaction between long-standing basic model
provisions, tested combination requirements, and the treatment of
specific components for VRF multi-split systems.
ii. Outdoor Unit and Heat Recovery
In this final rule DOE is: (1) clarifying that the least-efficient
outdoor unit model within a basic model must be used for determining
represented values; and (2) clarifying that the test procedure requires
that VRF multi-split heat pumps with heat recovery must be tested with
heat recovery components present, but without the need for
representation requirements as initially proposed. DOE is not adopting
any exemptions to the ``least-efficient'' requirement for outdoor
unit(s) used to determine represented values because neither of the
specific components listed in Table 2 to 10 CFR 429.43(a)(3)(ii)(B)
(i.e., air economizers and desiccant dehumidification components--as
adopted in this final rule) are applicable for VRF outdoor units.
[[Page 63878]]
With respect to comments received regarding multiple refrigerants
available for a basic model of VRF multi-split system, because the
efficiency of the VRF multi-split system could be impacted by different
refrigerant choices, the least-efficient outdoor model requirement
necessitates consideration of the least-efficient refrigerant when
determining represented values for that basic model. Upon further
consideration, DOE has determined that the proposal in the December
2021 VRF TP NOPR regarding multiple refrigerants is already included
substantively in the provision adopted at 10 CFR 429.43(a)(3) regarding
least-efficient outdoor units, and that additional provisions would be
redundant. As such, in this final rule, DOE is not adopting the
refrigerant-specific language at 10 CFR 429.43(a)(3) that was proposed
in the December 2021 NOPR.
Regarding heat recovery components, as described in section
III.G.1.b.iv of this document, DOE proposed related testing provisions
in appendix D1 and representation provisions in 10 CFR 429.43(a). In
this final rule, DOE is finalizing its proposed test provisions in
appendix D1 but is removing its proposal to specify in 10 CFR 429.43(a)
that VRF multi-split systems distributed in commerce with heat recovery
components must determine represented value based on a configuration of
the basic model with heat recovery components installed. Upon further
review of the test provisions referencing section 5.6 of AHRI 1230-
2021, DOE has determined that all VRF multi-split heat pumps with heat
recovery capability would always be required by to be configured with
heat recovery components installed. Further, DOE's energy conservation
standards for VRF multi-split systems specified at 10 CFR 431.97
classify systems with and without heat recovery to be in different
equipment classes, such that a given VRF basic model does not contain
systems with and without heat recovery (as such systems are certified
under separate equipment classes).\25\ The combination of these
provisions ensures that represented values for VRF multi-split heat
pumps with heat recovery are always determined with heat recovery
components installed. Therefore, DOE finds its earlier proposal to be
unnecessary, and accordingly, the Department is not adopting
represented value provisions related to heat recovery components in
this final rule.
---------------------------------------------------------------------------
\25\ DOE distinguishes certain VRF equipment classes by ``with
heat recovery'' and ``without heat recovery'', and other equipment
classes with ``no heating or electric resistance heating'' and ``all
other types of heating.'' Footnote 1 to Table 13 to 10 CFR 431.97
specifies that VRF systems with heat recovery fall under the
category of ``all other types of heating'' unless they also have
electric resistance heating. In the March 2022 VRF ECS NOPR, DOE
proposed to amend 10 CFR 431.97 to adopt the equipment class
structure found in ASHRAE Standard 90.1-2016 for VRF multi-split
systems, which, if adopted would create separate equipment classes
for VRF heat pumps with and without heat recovery for all capacity
ranges and heat rejection media (i.e., replacing any class
distinctions based on supplementary heating type). 87 FR 11335,
11346 (March 1, 2022).
---------------------------------------------------------------------------
iii. Indoor Unit Specification
DOE made several proposals in the December 2021 VRF TP NOPR
pertaining to the selection of indoor unit models when determining
represented values for the basic model of VRF multi-split system. 86 FR
70644, 70664-70665 (Dec. 10, 2021). As discussed elsewhere in this
document, DOE proposed provisions related to different tested
combinations of indoor units (see section III.G.1.b.i of this
document), certification reporting requirements (see section III.G.2 of
this document), and provisions related to treatment of specific
components (see section III.G.1.b.ii of this document).
As described in section III.G.1.b.i of this document, DOE received
only supportive comments in response to its proposals for determining
represented values for different indoor unit tested combinations (i.e.,
ducted, non-ducted, SDHV, and mixed representations thereof). In light
of these comments and the reasoning provided in the December 2021 VRF
TP NOPR, DOE is adopting its earlier proposals pertaining to this topic
in this final rule.
The adopted provisions provide guidance for determining required
represented values of indoor unit combinations (i.e., ducted, non-
ducted, SDHV) and provide guidance for determining optional mixed
representations that are determined by taking a simple average of any
two of the required representations. By adopting these provisions, each
VRF outdoor unit may include up to six separate representations within
the same basic model number.
Regarding certification requirements, as discussed in greater
detail in section III.G.2 of this document, DOE proposed to require
that manufacturers publicly report the indoor unit combination (i.e.,
ducted, non-ducted, SDHV, or mixed) used to determine represented
values, as well as all outdoor and indoor unit model numbers used to
compose the tested combination. For the reasons discussed in the
December 2021 VRF TP NOPR and in section III.G.2.a of this document,
DOE is adopting these amended certification requirements as proposed.
DOE also proposed to require that manufacturers supply information in
their STI regarding whether specific components were present or absent
when determining represented values for the basic model. As discussed
in section III.G.2.b of this document, DOE is not adopting
certification requirements related to specific components in this final
rule.
Regarding specific components, DOE is clarifying the provisions at
10 CFR 429.43(a)(3) that cover the determination of represented values
for VRF multi-split systems. In the December 2021 VRF TP NOPR, DOE
proposed to individually consider specific components on an indoor-
unit-by-indoor unit basis when determining represented values. 86 FR
70644, 70657 (Dec. 10, 2021). DOE's approach in this final rule is
consistent with the approach in the NOPR in that it requires
consideration of specific components for each indoor unit individually,
rather than at the basic model level. DOE has also introduced the
concept of ``fully-specified'' indoor unit model numbers in order to
provide greater clarity about selection of indoor units and to
explicitly tie these requirements to the aforementioned certification
requirements.
For cases where an indoor unit model number is fully specified in
the public certification (i.e., the indoor unit model number includes
sufficient information to identify the presence or absence of all
components), DOE will require that the indoor unit model number,
precisely as it appears as certified, shall be used for determining
represented values. For example, for an indoor unit whose certified
model number affirmatively designates the presence of dehumidification
components, represented values must be determined based on the indoor
unit model with dehumidification components installed, regardless of
whether otherwise comparable indoor units are distributed in commerce
without dehumidification components present. This approach does not
conflict with the tested combination requirements in section 6.2 of
AHRI 1230-2021, which sets minimum criteria for indoor model
specification and does not disallow further specification (including
specification of dehumidification components and/or air economizers).
For cases where an indoor unit model number is not fully-specified
as part of the certified tested combination (i.e., where the model
number is constructed in such a way that does not fully specify
[[Page 63879]]
the absence or presence of all components), DOE is applying the
represented value requirements as proposed in the NOPR. This approach
requires that for indoor unit model numbers that are not fully-
specified in the certification, a fully-specified indoor unit must be
selected to determine represented values for the basic model. This
fully-specified indoor model number must be consistent with the
certified indoor unit model number (i.e., all specified digits must
match), and, among the group of all indoor unit models having a
consistent model number, must have the least number (which may include
zero) of specific components (i.e., air economizers and desiccant
dehumidification components) installed.
Regarding DOE's proposed testing provisions for specific components
in 10 CFR 431, subpart F, appendix D1, DOE is adopting the proposals
from the December 2021 VRF TP NOPR. Specifically, DOE is finalizing
provisions in section 6 to appendix D1 that provide instruction how to
test a VRF multi-split system equipped with any specific component(s)
listed in Table 6.1 \26\ of that same section.
---------------------------------------------------------------------------
\26\ Table 6.1 includes test provisions for VRF multi-split
systems equipped with desiccant dehumidification components, air
economizers, fresh air dampers, hail guards, low ambient cooling
dampers, power correction capacitors, and/or ventilation energy
recovery systems (VERS).
---------------------------------------------------------------------------
As discussed, DOE received comments suggesting that DOE should
consider including coated coils and steam/hydronic heat coils in the
list of specific components in table 6.1 to appendix D1. DOE also
received similar comments pertaining to coated coils in response to
other commercial HVAC equipment test procedure NOPRs, specifically the
test procedure supplemental notice of proposed rulemaking (``SNOPR'')
published for direct expansion-dedicated outdoor air systems (``DX-
DOASes'') \27\ (Docket No. EERE-2017-BT-TP-0018, AHRI, No. 34 at p. 4).
In response to the DX-DOAS SNOPR, AHRI and Madison Indoor Air Quality
(``MIAQ'') asserted that some coated coils impact performance, but that
each coating is different (Docket No. EERE-2017-BT-TP-0018, AHRI, No.
34 at p. 4; MIAQ, No. 29 at p. 4).
---------------------------------------------------------------------------
\27\ See 86 FR 72874 (Dec. 23, 2021).
---------------------------------------------------------------------------
AHRI and MIAQ's assertion that some coated coils do impact energy
use suggests that there are other implementations of coated coils that
do not impact energy consumption as measured by the adopted test
procedure (i.e., the implementation of coated coils does not
necessarily or inherently impact energy use). DOE has no data
indicating the range of impacts for those coatings that do affect
energy use, or how other characteristics of the coatings, such as
durability and cost, correlate with energy use impacts. Absent such
data, DOE is unable to determine the specific range of impacts on
energy use made by coated coils. Nevertheless, given that comments on
the DX-DOAS SNOPR suggest that certain implementations of coated coils
do not impact energy use, DOE has determined that for those units for
which coated coils do impact energy use, representations should include
those impacts, thereby providing full disclosure for commercial
customers. Consequently, DOE is not incorporating coated coils into
DOE's provisions specified in 10 CFR 429.43(a)(3) which allow for the
exclusion of specified components when determining represented values
for VRF multi-split systems. This approach is consistent with the one
DOE has established in a final rule for the DX-DOAS test procedure. 87
FR 45164, 45186 (July 27, 2022).
Commenters did not indicate whether models are available with
steam/hydronic heat, thereby supporting DOE's tentative conclusion in
the December 2021 VRF TP NOPR that steam/hydronic heat components are
not present in VRF multi-split systems and/or models with these
components are not distributed in commerce. 86 FR 70644, 70657 (Dec.
10, 2021). Consequently, DOE is finalizing its proposal to exclude
steam/hydronic heat from the specific components list for VRF multi-
split systems in 10 CFR 429.43(a)(3).
As proposed in the December 2021 VRF TP NOPR, DOE sought to address
VRF multi-split systems that include the specified excluded components
both in the requirements for representation (i.e., 10 CFR 429.43) and
as part of the equipment specific enforcement provisions for assessing
compliance (i.e., 10 CFR 429.143). 86 FR 70644, 70656-70658 (Dec. 10,
2021). Instruction on which units to test for the purpose of
representations are addressed in 10 CFR 429.43. DOE has determined that
including parallel enforcement provisions in 10 CFR 429.134 would be
redundant and potentially cause confusion, because DOE would select for
enforcement only those individual models that are the basis for making
basic model representations as specified in 10 CFR 429.43. Therefore,
in this final rule, DOE is providing the requirements for making
representations of VRF multi-split systems that include the specified
components in 10 CFR 429.43, and is not including parallel direction in
the enforcement provisions of 10 CFR 429.134 established in this final
rule. However, DOE is finalizing the provision that allows enforcement
testing of alternative individual models with specific components, if
DOE cannot obtain for test the individual models without the components
that are the basis of the representation.
In regards to the NOPR proposal that DOE shall rescind the
commercial HVAC enforcement policy for VRF multi-split systems, DOE has
provided substantive guidance for each component included in both the
DOE Enforcement Policy and the ``Equipment Features Requiring Test
Procedure Action'' from the term sheet agreed upon by an ASRAC working
group for certain commercial HVAC equipment (``Commercial HVAC CCE Term
Sheet'').\28\ (EERE-2013-BT-NOC-0023-0052) Consequently, these
documents would no longer be applicable to VRF multi-split systems and
could potentially cause confusion. To prevent this confusion, DOE is
clarifying in this final rule that the provisions established in this
final rule will take precedence over those in the DOE Enforcement
Policy and the Commercial HVAC CCE Term Sheet, and that the
aforementioned documents will no longer be applicable to VRF multi-
split systems. As previously discussed, this change will not take
effect until the compliance date of amended energy conservation
standards for VRF multi-split systems denominated in terms of IEER,
should DOE adopt such standards.
---------------------------------------------------------------------------
\28\ 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.
---------------------------------------------------------------------------
2. Certification Reporting Requirements
a. Certification 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. As previously described, in the December 2021 VRF
TP NOPR DOE proposed to amend the certification reporting requirements
for VRF multi-split systems to address the IEER metric but did not
propose amendments to the current standards (in terms of EER). 86 FR
70644, 70665 (Dec. 10, 2021). Subsequently, in the March 2022 VRF ECS
NOPR DOE proposed to amend
[[Page 63880]]
standards for VRF multi-split systems to be in terms of the IEER
cooling metric, with a proposed compliance date of January 1, 2024. 87
FR 11335, 11349 (March 1, 2022). Therefore, the amended 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. In
the December 2021 VRF TP NOPR, DOE proposed to add the following items
to the public certification reporting requirements for VRF multi-split
systems:
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 non-ducted,
ducted, SDHV, or mixed indoor unit combination), and all outdoor and
indoor unit model numbers used to compose the tested combination; and
The refrigerant used to determine the represented values
for a basic model (e.g., EER, IEER, COP, and cooling capacity).
86 FR 70644, 70665 (Dec. 10, 2021). A draft certification template
reflecting the proposed changes has been included in the docket.\29\
---------------------------------------------------------------------------
\29\ The draft certification template columns can be found in
the docket at: www.regulations.gov/document/EERE-2021-BT-TP-0019-0001.
In response to DOE's certification proposals, the Joint Advocates
commented that they support DOE's proposal to publicly report the
heating capacity for VRF multi-split systems, stating that this
requirement aligns with reporting requirements for the cooling metric
and that consumers would be interested in this information. (Joint
Advocates, No. 9 at p. 1) The CA IOUs supported DOE's certification
proposals but requested that the certification report should clarify
that COP is measured per the ``high temperature'' heating test at 47
[deg]F, to prevent confusion with other temperatures at which heating
COP tests can be conducted. As introduced in section III.G.1.b.v of
this document, the CA IOUs also recommended allowing manufacturers to
make additional representations for a basic model using different
(i.e., more-efficient) refrigerants. (CA IOUs, No. 11 at p. 3) The CA
IOUs suggested a corresponding certification requirement that the
global warming potential (GWP) of each refrigerant be listed along with
the performance information. (CA IOUs, No. 11 at p. 4)
With respect to the CA IOUs' comment requesting clarification of
the COP heating condition in the certification report, as discussed in
section III.D.2 of this document, DOE acknowledges the need to clarify
that the ratings for heating mode tests of air-cooled VRF multi-split
heat pumps used for compliance with standards are those referred to as
``High Temperature Steady-state Test for Heating'' in AHRI 1230-2021
and measured at 47 [deg]F outdoor ambient air temperature.
Additionally, DOE acknowledges the need to clarify that the ratings for
heating mode tests of water-source VRF multi-split heat pumps used for
compliance with standards are those specified for ``Water Loop Heat
Pumps'' in AHRI 1230-2021 and measured at 68 [deg]F entering liquid
temperature. Consistent with the test procedure provisions adopted in
this final rule (as discussed in section III.D.2 of this document) and
the CA IOUs' suggestion, DOE is amending the certification template to
read ``Coefficient of Performance, measured at 47 [deg]F for air-source
VRF multi-split heat pumps or measured at 68 [deg]F Entering Water
Temperature for water-source VRF multi-split heat pumps.''
With respect to the CA IOU's comments regarding certification
requirements for VRF multi-split systems available with multiple
refrigerants, DOE has concluded that because the efficiency of the VRF
multi-split system could be impacted by different refrigerant choices,
the least-efficient outdoor model requirement necessitates
consideration of the least-efficient refrigerant when determining
represented values for that basic model (see discussion in III.G.1.c.ii
of this document). In this final rule, DOE is also finalizing its
proposal to require certification of the refrigerant used to determine
the represented values for a basic model. By combining these
provisions, a set of represented values will be determined for a given
basic model based on the least-efficient outdoor unit (and, therefore,
as discussed, the least-efficient refrigerant), and the refrigerant
must be certified by the manufacturer. Therefore, DOE is not adopting
the CA IOUs' suggestions to allow certification of multiple
refrigerants, because it would be inconsistent with the Department's
adopted requirement that the represented values for a basic model be
based on the least-efficient outdoor unit. Correspondingly, because DOE
is not adopting the CA IOU's suggestion to allow certification of
multiple refrigerants, DOE has concluded that requiring certification
of the associated refrigerant characteristics (i.e., GWP) would provide
minimal benefit, as there will not be ratings for different
refrigerants within a basic model to compare. Therefore, DOE has
concluded that requiring certification of refrigerant GWP would be
unnecessarily burdensome.
DOE is adopting all other proposals related to certification
reporting requirements, without change. As discussed, these amended
certification reporting requirements are not required until the
compliance date of amended energy conservation standards for VRF multi-
split systems denominated in terms of IEER, should DOE adopt such
standards.
b. Supplemental Testing Instructions
The December 2021 VRF TP NOPR included proposals to amend the STI
provisions at 10 CFR 429.43(b)(4) to reflect the proposed amendments to
the test procedure and the proposed adoption of the IEER metric. 86 FR
70644, 70666 (Dec. 10, 2021). DOE proposed amendments and additions to
the STI requirements as follows:
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 10 CFR 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, set-up instructions
for indoor units and outdoor units, charging instructions, a control
wiring diagram, and
[[Page 63881]]
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;
Removing the current requirement to report compressor
frequency setpoints 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 VRF enforcement provisions 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.
Further, in the December 2021 VRF TP NOPR, DOE proposed at 10 CFR
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 10 CFR 429.43(a)(4). Specifically, DOE
proposed that the manufacturer must certify in the STI 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 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. 86 FR 70644, 70666-70667 (Dec. 10, 2021). These
proposed provisions would require manufacturers to report whether the
represented values for that VRF multi-split system basic model were
determined based on the presence or absence of air economizers and/or
desiccant dehumidification components.
In commenting on DOE's proposals in this area, AHRI and Carrier
stated that STI requirements may need to include provisions that
specify which, if any, components were used when calculating efficiency
ratings. (AHRI, No. 12 at p. 2; Carrier, No. 7 at p. 1)
In response and as described in section III.G.1.c.iii of this
document, DOE is finalizing an approach in this rule requiring that if
an indoor unit model number is not fully specified in the public
certification, then represented values must be determined from a fully-
specified individual indoor unit model distributed in commerce that
must be consistent with the certified indoor unit model number (i.e.,
all specified digits must match). Among the group of all indoor unit
models having a consistent model number, that VRF system must have the
least number (which may include zero) of specific components installed.
Because the representation requirements adopted in this final rule
provide clear direction as to how to determine represented values for
basic models that include specific components, DOE concludes that a
certification requirement for manufacturers to report whether
representations are based on model(s) with specific components
installed would be duplicative and would impose unnecessary burden on
manufacturers. Therefore, DOE is not adopting any certification
requirements related to specific components in this final rule.
DOE also proposed to require reporting as part of the STI the
following manufacturer-specified input conditions for conducting a CVP
at each of the four IEER cooling test conditions:
[squ] The required thermostat setpoints to ensure control for 80
[deg]F dry-bulb temperature when accounting for setpoint bias;
[squ] The starting indoor dry-bulb temperature; and
[squ] The indoor dry-bulb temperature ramp rate.
Id.
The CA IOUs commented that the system controls setting for steady-
state tests should be included in the STI requirements. Specifically,
the CA IOUs suggested expanding the requirement for the ``required dip
switch/control settings for step or variable components'' to instead
require ``Dip switch/Control Settings from the manufacturer's
installation instructions used for the full-load cooling and full-load
heating tests.'' The CA IOUs asserted that this change would reduce the
test burden when determining which control setting to use for the CVP
as part of enforcement testing. (CA IOUs, No. 11 at p. 4) AHRI
commented that some certification reporting requirements, such as
compressor speed, critical parameter settings, and system device
required for testing, are confidential business information and that
they should be designated as such for certification. AHRI elaborated on
this point by stating that the information included in the STI is
confidential and should be designated as such. (AHRI, No. 12 at pp. 6-
7) Similarly, Daikin commented that they support DOE's proposal for
certification reporting requirements, provided that all confidential
information may be submitted in the STI, because the STI is not
available to the public. (Daikin, No. 13 at p. 5)
With respect to the CA IOU's request to amend the language of STI
reporting requirements for dip switch/control settings, DOE interprets
this suggestion to mean that manufacturers would be required to specify
all dip switch/control settings required for conducting the full-load
cooling and heating tests. This would include all settings for ``step
or variable components'' in addition to any other settings required for
testing that are not otherwise dictated by the test procedure but may
impact system behavior--for example, ``mode-type'' settings (e.g., eco-
mode) or settings related to another function (e.g., noise reduction
settings). DOE finds that the CA IOUs' proposal would improve the
clarity of existing certification requirements, as it would ensure that
the control settings needed for testing are readily identifiable and
that they are used in a consistent manner during testing. Further, DOE
finds that the CA IOUs' suggestion would not require additional
collection of information by manufacturers, because the settings used
for conducting testing would be readily available to manufacturers.
Therefore, DOE is adopting the STI certification requirements for VRF
multi-split systems as proposed in the December 2021 VRF TP NOPR, with
the clarification that certification of dip switch/control settings
applies more broadly than just step/variable components. As discussed
previously, these amended STI certification requirements are not
required until the compliance date of amended energy conservation
standards denominated in
[[Page 63882]]
terms of IEER, should DOE adopt such standards.
With respect to AHRI and Daikin's comments, DOE notes that
certification reports routinely include both public and non-public
information. Specifically, 10 CFR 429.43(b)(2) specifies requirements
for public equipment-specific information, and 10 CFR 429.43(b)(3) and
(4) specify requirements for equipment-specific information and
supplemental information that are non-public. DOE notes that the
treatment of confidential business information is addressed pursuant to
the regulations at 10 CFR 1004.11. Any person submitting information
that they believe to be confidential and exempt by law from public
disclosure should submit via 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. While DOE is responsible for making the final determination
with regard to the disclosure or nondisclosure of information contained
in requested documents, DOE will consider the submitter's views in
making its determination. 10 CFR 1004.11(a). Accordingly, in light of
the existing framework for handling confidential business information,
DOE does not find it necessary to adopt the additional measures
suggested by AHRI and Daikin. For the reasons stated in the December
2021 VRF TP NOPR and the paragraphs here, DOE is adopting its proposed
amendments related to the supplemental testing instructions for VRF
multi-split systems along with the previously discussed modifications
suggested by the CA IOUs.
3. Models Required for AEDM Validation
In the December 2021 VRF TP NOPR, DOE proposed that the
manufacturer must validate an AEDM used to make 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 by testing at least a single tested combination of that
type of indoor unit combination for each of the two selected basic
models. 86 FR 70644, 70667 (Dec. 10, 2021). If a manufacturer makes
representations for two types of indoor unit combinations (i.e.,
ducted, non-ducted, and/or SDHV indoor unit combinations) within or
across all its basic models to which the AEDM applies, DOE proposed
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. Id. 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 proposed 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. Id.
In response, AHRI and Daikin commented in support of DOE's proposal
to amend the applicable requirements for AEDM validation. (AHRI, No. 12
at p. 7; Daikin, No. 13 at p. 5) DOE received no other comments on its
AEDM proposals.
Accordingly, DOE is finalizing its proposed AEDM validation
requirements for VRF multi-split systems in 10 CFR 429.43(a)(2) and 10
CFR 429.70 to be similar to the sampling plan requirements for tested
units, as discussed in section III.G.7 of this final rule. Furthermore,
DOE has concluded that these AEDM validation requirements are
consistent with AHRI 1230-2021, because they ensure the values
developed with an AEDM conform to the results obtained using AHRI 1230-
2021.
4. Manufacturer Involvement
a. Role of Manufacturer Representative
In light of the complexity of VRF multi-split systems, the DOE test
procedure at 10 CFR 431.96(f) does allow for limited manufacturer
involvement, specifying that a manufacturer's representative is allowed
to witness assessment and/or enforcement testing, inspect and discuss
set-up only with a DOE representative, and adjust only the modulating
components in the presence of a DOE representative that are necessary
to achieve steady-state operation. In the December 2021 VRF TP NOPR,
DOE proposed to establish new provisions for manufacturer involvement
as part of the product-specific enforcement provisions at 10 CFR
429.134(s)(2). 86 FR 70644, 70667 (Dec. 10, 2021). The proposals
largely align with Sections 5.1.2 and 6.3.3 of AHRI 1230-2021 but
prescribe more precisely the actions that a manufacturer's
representative may take. Specifically, DOE proposed that a
manufacturer's representative is allowed to support commissioning of
the VRF multi-split system and to witness DOE assessment or enforcement
testing. Id at 86 FR 70667-70668. For all cooling and heating tests,
DOE proposed that all control settings other than critical parameters
must be set by a member of the third-party laboratory, and that a
manufacturer's representative may initially set all critical parameters
to their certified values. Id. at 86 FR 70668. For IEER cooling tests
only, DOE proposed to specify that if additional adjustments to
critical parameters are required for meeting capacity targets and/or
SHR limits, a manufacturer's representative may make such adjustments
in accordance with section 5.1 of appendix D1 using a proprietary
control tool. Id. DOE further proposed 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. Id. For the heating test,
DOE proposed 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. Id.
The CA IOUs, Joint Advocates, and Lennox commented that they
support DOE's proposal to specify the parameters of manufacturer
involvement during testing. (CA IOUs, No. 11 at p. 3; Joint Advocates,
No. 9 at p. 1; Lennox, No. 8 at p. 3) Joint Advocates further asserted
that the language in Sections 5.1.2 and 6.3.3 of AHRI 1230-2021 is
ambiguous, and that DOE's proposed language clarifies the role of the
manufacturer's representative during testing. (Joint Advocates, No. 9
at p. 1) The CA IOUs stated that DOE's proposals strike a reasonable
balance between ensuring objective/repeatable ratings and the
complexity associated with testing VRF multi-split systems. (CA IOUs,
No. 11 at p. 3)
AHRI commented that, due to the need for proprietary software, a
manufacturer's representative, if present, should set the control
settings, observed by a member of the third-party lab. They elaborated
that a member of a third-party laboratory should set the critical
parameters in the case where a manufacturer's representative is unable
to be physically available or is choosing not to be present. AHRI
further commented that they agree with DOE's proposals with respect to
manufacturer involvement for cooling tests but argued that the
manufacturer's representative should also be allowed to adjust the
[[Page 63883]]
critical parameters for heating tests (similar to IEER cooling tests).
(AHRI, No. 12 at pp. 7-8) Specifically, AHRI argued that just as
critical parameter adjustments are needed for cooling tests to meet
capacity targets and/or SHR limits, small adjustments to critical
parameters may be needed during heating tests to account for set-up
variations between manufacturer and third-party laboratories. Further,
AHRI asserted that on this topic, there is a conflict between the
language proposed in the preamble and the proposed regulatory text of
the December 2021 VRF TP NOPR, so further clarification is needed. The
commenter referenced language from the NOPR's preamble (86 FR 70644,
70668 (Dec. 10, 2021)) stating that a manufacturer's representative may
not make critical parameter adjustments during heating tests, and would
only be allowed to initially set critical parameters to their certified
values. AHRI contrasted this with language in the proposed regulatory
text at 10 CFR 429.134(s)(2)(ii) that would allow the manufacturer's
representative to adjust the critical parameters for heating and IEER
cooling tests (86 FR 70644, 70681 (Dec. 10, 2021)). (AHRI, No. 12 at
pp. 7-8)
Regarding AHRI's request that a manufacturer's representative
should set the control settings rather than a member of the third-party
laboratory, DOE interprets this request to refer to control settings
other than the critical parameter settings (e.g., airflow control
settings) because, as discussed, DOE proposed that the manufacturer's
representative would set critical parameter settings to their certified
values. DOE finds that requiring a member of the laboratory to set
other control settings rather than a manufacturer's representative will
improve transparency into testing practices by ensuring that settings
used for testing match the settings specified in the manufacturer STI.
Also, AHRI's suggestion conflicts with the language present in AHRI
1230-2021 regarding control settings other than critical parameters.
Specifically, Section 5.1.2.3 of AHRI 1230-2021 states that ``control
settings shall be set by a member of the laboratory. All control
settings are to remain unchanged for all load points once system set up
has been completed.'' DOE's proposed approach (i.e., requiring that all
control settings other than critical parameters be set by a member of
the third-party laboratory) is consistent with the language from
Section 5.1.2.3 of AHRI 1230-2021, which DOE understands to reflect the
industry consensus approach and the intent of the Working Group.
DOE interprets AHRI's concern about ``proprietary software'' to
suggest that a member of the third-party laboratory should not be
allowed to interact with such software. DOE finds that the use of
proprietary software is not a valid reason to preclude involvement of
third-party laboratory personnel during testing. Per DOE's proposal, a
manufacturer's representative would be allowed to support commissioning
of the VRF multi-split system to ensure that any proprietary software
is being properly utilized by a member of the third-party laboratory.
The amended STI certification requirements (described in section
III.G.2.b of this document) ensure that members of the third-party
laboratory will be equipped with all necessary information in order to
set control settings during testing. If a manufacturer's representative
is not available for testing, then testing would proceed with a member
of the third-party laboratory using the control tool as provided by the
manufacturer (see discussion in section III.G.4.b of this document)--an
approach which was similarly suggested by AHRI in their comment. (AHRI,
No. 12 at p. 8) Therefore, DOE is finalizing its proposal to require
that members of the third-party laboratory set all control settings
(other than critical parameters) during testing.
With regard to AHRI's argument for allowing critical parameter
adjustments for heating tests, the cooling capacity targets and SHR
limits specified in Section 6.3.3 of AHRI 1230-2021 and Section 5.2 of
the proposed test procedure in appendix D1 do not apply to heating
tests, and neither DOE's proposed test procedure nor AHRI 1230-2021
include any restrictions for heating tests that would warrant critical
parameter adjustments. Further, DOE disagrees with AHRI's claim that
critical parameter adjustments are needed for heating tests to account
for set-up variation between manufacturer and third-party laboratories.
DOE concludes that the STI provides manufacturers sufficient
opportunity to certify critical parameters, control settings, and any
additional testing information needed for the third-party laboratories
to consistently test VRF multi-split systems. Therefore, DOE finds that
allowing for critical parameter adjustments during heating tests is
unnecessary and is inconsistent with the industry consensus test
procedure recommended by the Working Group.
Regarding AHRI's claim of contradictory language, the language in
10 CFR 429.134(s)(2)(ii) proposed in the December 2021 VRF TP NOPR
states, in relevant part, the following under a heading of
``Manufacturer involvement in heating tests and IEER cooling tests'':
``Critical 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).'' 86 FR 70644,
70681 (Dec. 10, 2021). Neither section 5.1 nor section 5.2 include any
provisions allowing critical parameter adjustments during heating
tests. Specifically, section 5.1 of proposed appendix D1 specifies
provisions for initially setting control settings applicable for
cooling and heating tests, and section 5.2 specifies provisions for
allowable critical parameter adjustments that apply only for IEER
cooling tests. Because the phrasing in proposed 10 CFR
429.134(s)(2)(ii) allows critical parameter adjustments as described in
sections 5.1 and 5.2 of appendix D1, which do not allow for critical
parameter adjustments during heating tests, DOE concludes that the
proposed regulatory text is consistent with the preamble discussion
highlighted by AHRI (86 FR 70644, 70668 (Dec. 10, 2021)). However, DOE
recognizes the potential to improve the clarity of the regulatory text
regarding the specific adjustments that can be made by a manufacturer
representative.
Accordingly, in this final rule DOE is adopting the proposed
provisions for manufacturer involvement as part of product-specific
enforcement provisions at 10 CFR 429.134(v)(2). However, in light of
the confusion reflected in AHRI's comment, DOE is adopting language in
10 CFR 429.134(v)(2) that clarifies that critical parameter adjustments
apply only to IEER cooling tests, not to heating tests.
b. Control Tool
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 the initial
settings or make additional adjustments required by the test procedure.
In the December 2021 VRF TP NOPR, DOE proposed to amend its enforcement
test notice requirements for VRF multi-split systems at 10 CFR
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. 86 FR 70644, 70668 (Dec. 10, 2021).
Correspondingly, DOE proposed provisions for VRF multi-split systems at
10 CFR 429.104(b) that would require
[[Page 63884]]
manufacturers to provide a means of control for assessment testing,
although manufacturers would not be required to provide the VRF multi-
split system for assessment testing. Id. 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. Id. DOE also proposed 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. Id.
AHRI commented that the means of control of the unit could not be
shipped ``from a retailer or distributor'' because it is not sold with
the unit and, therefore, not sold by a distributor. They further
commented that the means of control would need to be provided by the
manufacturer, and preferably by the manufacturer's representative due
to confidentiality. They suggested the following language: ``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 Sec.
429.110(b)(1)(iv) for enforcement testing.'' (AHRI, No. 12 at pp. 7-8)
Daikin commented that DOE's proposal regarding manufacturer
involvement during assessment and enforcement testing is acceptable,
provided that, should testing be scheduled and then delayed due to
unforeseen circumstances (e.g., travel issues, positive COVID-19
tests), the provision stating ``If a manufacturer's representative is
not present for testing, a member of the third-party laboratory must
set and adjust critical parameters . . .'' would not be invoked, but
rather the testing would be rescheduled. Daikin further commented that
a means of control for running the CVP would not be sold by retailers
or distributors, as it contains confidential company intellectual
property. Daikin suggested regulatory text that would require the
manufacturer to ship any means of control necessary for conducting
testing, if requested by DOE. Daikin also suggested language specifying
that the means of control may be provided separately from the system(s)
selected for testing, stating that it is not appropriate to ship the
controls tool (usually a laptop) along with the VRF equipment via less
than truckload (LTL) freight shipping. (Daikin, No. 13 at pp. 5-6)
With regard to the logistics around sending manufacturer control
tools, DOE acknowledges the comments from AHRI and Daikin indicating
that means of control are not typically provided with a VRF multi-split
system and would, therefore, not come from a retailer or distributor,
but directly from the manufacturer, and potentially separate from the
VRF equipment itself. Consequently, DOE is adopting the proposed
provisions at 10 CFR 429.104(b) and 10 CFR 429.110(b)(1)(iv) with
modifications to specify that, while manufacturers must provide a means
of control for assessment testing, the means of control (necessary for
testing conducted in accordance with appendix D1) may be shipped
directly from the manufacturer, and separately from the system(s)
selected for testing. These revisions are consistent with the language
proposed by Daikin in their comment.
With regard to Daikin's suggestion that enforcement testing be
rescheduled if the manufacturer is unable to attend due to ``unforeseen
circumstances,'' DOE will consider such circumstances as they arise on
a case-by-case basis, and the Department will balance between providing
reasonable flexibility and maintaining the integrity of the enforcement
program. With regard to AHRI's suggestion that 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. DOE finds that this suggestion is already consistent
with the proposed provisions covering manufacturer involvement and with
the discussion in this section. In consideration of all input received
on this topic, DOE is adopting its proposed provisions at 10 CFR
429.104, 10 CFR 429.110, and 10 CFR 429.134 as proposed, with the
additional clarifications previously discussed in this section.
5. Break-In Period
The current Federal test procedure for VRF multi-split systems
specifies at 10 CFR 431.96(c) that 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 by AHRI
1230-2010. In the December 2021 VRF TP NOPR, DOE proposed to include
similar provisions for VRF multi-split systems, but as part of the STI
certification requirements rather than the proposed test procedure. 86
FR 70644, 70666 (Dec. 10, 2021). DOE did not receive any comments in
response to this proposal.
However, DOE inadvertently omitted the 20-hour maximum time period
from the proposed STI certification requirements. A 20-hour maximum
time period prevents DOE testing from being unduly burdensome and is
consistent with the current Federal test procedures for VRF multi-split
systems as well as numerous other categories of air conditioners and
heat pumps, including three-phase CUAC/HPs with cooling capacity less
than 65,000 Btu/h, single package vertical units, computer room air
conditioners, and central air conditioners and heat pumps. Therefore,
DOE concludes that a 20-hour limit on the specified break-in period
should also apply to testing VRF multi-split systems according to
Appendix D1.
As such, for the reasons previously stated, DOE is specifying in 10
CFR 429.43(b)(4) that a manufacturer may certify a compressor break-in
period duration of 20 hours or less in its STI. Further, DOE is adding
a clarifying provision at 10 CFR 429.134(v)(4) stating that, during
assessment and enforcement testing, DOE will perform a break-in period
on VRF multi-split systems using a duration specified by the
manufacturer only if a break-in period duration is specified in the
STI.
6. Certified Critical Parameter Operational Settings
DOE proposed in the December 2021 VRF TP NOPR to add a
certification reporting provision specific to VRF multi-split systems
in 10 CFR 429.43(b)(5) stating 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 re-certify the operational
settings of those critical parameters for all affected basic models, as
well as re-rate and re-certify the affected basic models. 86 FR 70644,
70668 (Dec. 10, 2021). DOE also proposed to amend the enforcement
testing requirements at 10 CFR 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. Id. at 86 FR 70669.
Joint Advocates commented that DOE should provide additional
clarification in the case when a manufacturer becomes aware that their
certified critical parameter values have been invalidated, and these
commenters
[[Page 63885]]
specifically suggested that DOE should specify a timeline between
becoming aware of the invalid parameters and recertifying the impacted
models. (Joint Advocates, No. 9 at p. 2) The CA IOUs commented that
they support DOE's proposal for evaluating compliance of a system whose
STI-reported critical parameters have been invalidated. (CA IOUs, No.
11 at p. 2) AHRI commented that in the context of a ``another party''
(i.e., other than DOE) conducting a CVP that results in invalidated
operational settings for critical parameters for a basic model, DOE
should clarify that ``another party'' should not be a competitor,
university, or party other than DOE. They commented that only DOE, a
third-party lab contracted by DOE, or AHRI should have access to the
STI. Further, they commented that if ``another party'' becomes aware of
a potential issue, an investigation should take place rather than
enforcement action. (AHRI, No. 12 at p. 8)
In response, regarding the comments received from the Joint
Advocates and AHRI about DOE's procedures for recertification and for
initiating enforcement testing, DOE notes that these procedures pertain
to DOE enforcement testing policy more generally, not just to VRF
multi-split systems. Under 10 CFR 429.102(a)(8), it is a prohibited act
for a manufacturer or private labeler to knowingly misrepresent the
efficiency rating of any covered product or covered equipment
distributed in commerce in a manner that is not supported by test data
(e.g., a manufacturer determines IEER rating based on certified
critical parameter values which are later invalidated via a CVP). For
any other regulated product types, DOE does not specify in regulations
a required timeline for recertification or any constraints on the
information sources that DOE may consider as part of an enforcement
case. For other categories of regulated air conditioners and heat pumps
for which similar proprietary information may be included in STI or
non-public sections of certification reports, the treatment of any
proprietary aspects of the certification materials has been adequately
addressed under the existing enforcement regulations without any
product-specific restrictions. Therefore, while DOE acknowledges AHRI's
concern that the critical parameter settings necessary for testing
contain sensitive information, DOE has concluded that VRF multi-split
systems do not warrant additional product-specific restrictions to the
existing enforcement regulations. Therefore, DOE is not adopting a
timeline regarding re-certification or defining which entities are able
to submit information that may instigate potential enforcement action
for VRF multi-split systems in this final rule. DOE will consider any
appropriately submitted information in its assessment of compliance on
a case-by-case basis. Based on the discussion presented in the December
2021 VRF TP NOPR and in the preceding paragraphs, DOE is adopting the
provisions as proposed in the NOPR regarding the CCE process in the
event that certified critical parameter operational settings have been
invalidated by a CVP. This process is visually represented in Figure 1
in section II of this document.
7. Enforcement Sampling Plan
The enforcement sampling plan for VRF multi-split systems was last
amended in a final rule published in the Federal Register on March 7,
2011, which addressed certification, compliance, and enforcement for
consumer products and commercial and industrial equipment. 76 FR 12422
(``March 2011 CCE Final Rule''). In the March 2011 CCE Final Rule, DOE
specified flexible sampling provisions for certain covered products and
equipment for which there is a lower market volume and/or manufacturing
tends to be more customized. 76 FR 12422, 12436 (March 7, 2011). DOE
included among such covered equipment commercial heating, air-
conditioning, and ventilation equipment, which includes VRF multi-split
systems. Id. As established by the March 2011 CCE Final Rule, 10 CFR
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 units when determining a basic
model's compliance with applicable energy conservation standards.
In the December 2021 VRF TP NOPR, DOE proposed to amend its
enforcement sampling plan requirements specific to VRF multi-split
systems to require a sample size of two VRF multi-split systems. DOE
proposed a reduced sample size to reflect what the Department considers
to be an adequate sample size for assessment and enforcement testing
but that also recognizes of the involved nature of testing VRF multi-
split systems. DOE did not propose to amend the process for determining
compliance with energy conservation standards (i.e., the 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). 86 FR 70644, 70669 (Dec. 10, 2021).
The Joint Advocates commented that they support DOE's proposed
sampling plan, due to the complexity of the test procedure
commissioning for VRF equipment. (Joint Advocates, No. 9 at p. 2).
Daikin agreed that the cost burden of testing VRF multi-split systems
is high, including the equipment itself, copper piping, refrigerant,
and laboratory testing. (Daikin, No. 13 at p. 6)
However, Daikin expressed concern with using a sample size of two
combined with the sampling plan found in appendix B to subpart C of
part 429. Specifically, Daikin worried that the sample size of only two
units would be unlikely to produce a sample mean and standard deviation
that match the population mean and standard deviation. Daikin provided
examples illustrating that a two-unit sample with lower and more varied
test results could be determined compliant with the standard (e.g.,
first sample testing at 16.1 and the second sample testing at 15.5
would be considered to meet a 17 IEER standard), while a different two-
unit sample with higher and less varied test results could be
determined non-compliant (e.g., first sample testing at 16.1 and the
second sample testing at 16.2 would be considered to fail to meet a 17
IEER standard). Daikin concluded by asserting that it is not
impractical, due to inherent statistics, to test four samples for
enforcement. (Daikin, No. 13 at p. 6) AHRI commented that while costs
associated with procurement of VRF multi-split systems may be high,
there is not sufficient technical justification to deviate from the
four-unit sample used for enforcement testing. AHRI stated that using a
statistical sample to develop testing is an important feature of DOE's
enforcement program. (AHRI, No. 12 at p. 9)
DOE recognizes the concerns from AHRI and Daikin regarding the
proposed reduced enforcement sampling plan for VRF multi-split systems.
In particular, DOE acknowledges Daikin's comments that modifying the
regulations to specify a two-system enforcement sample with the
existing sampling plan at appendix B to subpart C of part 429 could
result in further variation between the sample standard deviation and
the population standard deviation. Therefore, DOE is not amending the
enforcement sampling plan for VRF multi-split systems at 10 CFR
429.110(e)(2) as proposed, which would have reduced the required sample
size from four units to two units. Figure 1 in section II of this
document reflects this determination.
[[Page 63886]]
Although DOE is not amending the enforcement sampling plan for VRF
multi-split systems in this final rule, DOE notes that stakeholder
comments agreed with DOE's position in the December 2021 VRF TP NOPR
that the burden associated with testing VRF multi-split systems is
significantly higher than for other types of commercial HVAC equipment.
In the March 2011 CCE Final Rule, DOE established an initial sample
size of four units for this equipment and included provisions that
provides for testing of fewer than four units if they are unavailable
at the time that the test notice is received. 10 CFR 429.110(e)(3). The
enforcement provisions also include a general provision applicable to
all covered products and equipment that states if testing of the
available or subsequently available units of a basic model would be
impractical, as for example when a basic model has unusual testing
requirements or has limited production, DOE may in its discretion
decide to base the determination of compliance on the testing of fewer
than the otherwise required number of units. 10 CFR 429.110(e)(7). DOE
explained in the March 2011 CCE Final Rule that it would, in its
evaluation of testing availability, take into consideration the units
themselves as well as availability of third-party testing facilities to
run the DOE test procedure. 76 FR 12422, 12436 (March 7, 2011).
8. Certified vs. Tested Performance
In the December 2021 VRF TP NOPR, DOE proposed a process for
assessment and enforcement testing for VRF multi-split systems to
incorporate the CVP, which was illustrated via a flowchart in Figure 1
of that NOPR (repeated here as Figure 2). 86 FR 70644, 70662 (Dec. 10,
2021). One of the paths in the diagram showed that if a system was
tested for IEER and was determined to be in compliance with the Federal
standards, but did not meet the certified IEER value, then it would
constitute an improper certification and manufacturers would be
required to re-rate and recertify that model.
[GRAPHIC] [TIFF OMITTED] TR20OC22.001
Daikin commented that this figure illustrates that regardless of
whether a CVP is performed, the basic model must be re-rated if the
IEER testing results are deemed invalid. Daikin asserted that the
proposed regulatory text did not indicate that if critical parameters
are validated but the IEER is not validated then a re-rate is required,
as indicated in the figure. (Daikin, No. 13 at p. 7)
AHRI asserted that DOE's proposal would introduce a tolerance on
the certified IEER and claimed that DOE's proposal for certified IEER
to be within any tolerance of the rated IEER would create a more
stringent requirement for VRF equipment than for other Federally-
regulated products. AHRI further asserted that verification of
published ratings is the purpose of the AHRI certification program, and
that DOE's enforcement authority is to ensure compliance with energy
conservation standards. However, AHRI acknowledged DOE's enforcement
authority under 10 CFR 429.102(a)(8), 10 CFR 429.102(b), and 10 CFR
429.106(a), and further recognized that 10 CFR 429.114(b) provides that
DOE may issue a notice of noncompliance determination in the event that
the Department determines a manufacturer has failed to comply with an
applicable certification requirement with respect to a particular basic
model. However, AHRI argued that besides DOE's
[[Page 63887]]
regulations for application of an AEDM at 10 CFR 429.70,\30\ there are
no other references to or requirements surrounding the accuracy of
certified ratings in subpart B--Certification. (AHRI, No. 12 at p. 9)
---------------------------------------------------------------------------
\30\ AHRI acknowledged that10 CFR 429.70 requires that for
covered products with an energy efficiency metric, the predicted
efficiency of each model calculated by applying the AEDM may not be
more than five percent greater than the efficiency determined from
the corresponding test of the model.
---------------------------------------------------------------------------
In response, DOE clarifies that it did not propose and is not
adopting amendments to the enforcement process as it pertains to
validating certified performance with test results. DOE did not propose
any percentage agreement between certified and tested performance, and
is not making any such amendment to its regulations in this final rule.
As acknowledged by AHRI in their comment, in the event that DOE
determines a manufacturer has failed to comply with an applicable
certification requirement with respect to a particular basic model, DOE
may issue a notice of noncompliance determination to the manufacturer
or private labeler. 10 CFR 429.114(b). This notice of noncompliance
determination will notify the manufacturer or private labeler of its
obligations including the obligation to immediately comply with the
applicable certification requirement. 10 CFR 429.114(b)(2). To avoid
further confusion, DOE has clarified these mechanisms in a revised CCE
process diagram for this final rule (see Figure 1 at section II of this
document).
AHRI asserted that DOE's proposal would introduce a tolerance on
the certified IEER and claimed that DOE's proposal for certified IEER
to be within any tolerance of the rated IEER would create a more
stringent requirement for VRF equipment than for other Federally-
regulated products. AHRI further asserted that verification of
published ratings is the purpose of the AHRI certification program, and
that DOE's enforcement authority is to ensure compliance with energy
conservation standards. However, AHRI acknowledged DOE's enforcement
authority under 10 CFR 429.102(a)(8), 10 CFR 429.102(b), and 10 CFR
429.106(a), and further recognized that 10 CFR 429.114(b) provides that
DOE may issue a notice of noncompliance determination in the event that
the Department determines a manufacturer has failed to comply with an
applicable certification requirement with respect to a particular basic
model. However, AHRI argued that besides DOE's regulations for
application of an AEDM at 10 CFR 429.70,\31\ there are no other
references to or requirements surrounding the accuracy of certified
ratings in subpart B--Certification. (AHRI, No. 12 at p. 9)
---------------------------------------------------------------------------
\31\ AHRI acknowledged that 10 CFR 429.70 requires that for
covered products with an energy efficiency metric, the predicted
efficiency of each model calculated by applying the AEDM may not be
more than five percent greater than the efficiency determined from
the corresponding test of the model.
---------------------------------------------------------------------------
In response, DOE clarifies that it did not propose and is not
adopting amendments to the enforcement process as it pertains to
validating certified performance with test results. DOE did not propose
any percentage agreement between certified and tested performance, and
is not making any such amendment to its regulations in this final rule.
As acknowledged by AHRI in their comment, in the event that DOE
determines a manufacturer has failed to comply with an applicable
certification requirement with respect to a particular basic model, DOE
may issue a notice of noncompliance determination to the manufacturer
or private labeler. 10 CFR 429.114(b). This notice of noncompliance
determination will notify the manufacturer or private labeler of its
obligations including the obligation to immediately comply with the
applicable certification requirement. 10 CFR 429.114(b)(2). To avoid
further confusion, DOE has clarified these mechanisms in a revised CCE
process diagram for this final rule (see Figure 1 at section II of this
document).
H. Effective and Compliance Dates
The effective date for the adopted test procedure amendment will be
30 days after publication of this final rule in the Federal Register.
EPCA prescribes that all representations of energy efficiency and
energy use, including those made on marketing materials and product
labels, must be made in accordance with an amended test procedure,
beginning 360 days after publication of the final rule in the Federal
Register. (42 U.S.C. 6314(d)(1)) To the extent the modified test
procedure adopted in this final rule is required only for the
evaluation and issuance of updated efficiency standards (e.g.,
standards using the IEER metric), compliance with the amended test
procedure does not require use of such modified test procedure
provisions until the compliance date of updated standards.
I. Test Procedure Costs
In this final rule, DOE amends the current test procedure for VRF
multi-split systems at 10 CFR 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 amends its
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 changes include the incorporation of the 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 has determined that these amended test procedures will be more
representative of an average use cycle and will not be unduly
burdensome for manufacturers to conduct. The amended appendix D,
measuring EER and COP per ANSI/AHRI 1230-2010, is simply a relocation
of and does not contain any changes to the current Federal test
procedure, and, therefore, it will not require retesting solely as a
result of DOE's adoption of this amendment to the test procedure. The
test procedure in appendix D1, measuring IEER and COP per AHRI 1230-
2021, will lead to an increase in cost from appendix D testing. DOE
estimates that the cost for third-party laboratory testing according to
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 III.D.1 of this document, the test
procedure provisions regarding IEER will not be mandatory unless DOE
amends the energy conservation standards for VRF multi-split systems
based on IEER. In the event testing is required pursuant to appendix
D1, DOE has determined that the new test procedure would not be
expected to increase the testing burden on VRF multi-split system
manufacturers. All VRF multi-split system manufacturers are AHRI
members; DOE is adopting the relevant provisions of 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 by AHRI members participating in AHRI's certification program.
Additionally, DOE has determined that the test procedure amendments
will not require manufacturers to redesign any of the covered
equipment, will not require
[[Page 63888]]
changes to how the equipment is manufactured, and will not impact the
utility of the equipment.
IV. Procedural Issues and Regulatory Review
A. Review Under Executive Orders 12866 and 13563
Executive Order (``E.O.'') 12866, ``Regulatory Planning and
Review,'' 58 FR 51735 (Oct. 4, 1993), as supplemented and reaffirmed by
E.O. 13563, ``Improving Regulation and Regulatory Review, 76 FR 3821
(Jan. 21, 2011), requires agencies, to the extent permitted by law, to:
(1) propose or adopt a regulation only upon a reasoned determination
that its benefits justify its costs (recognizing that some benefits and
costs are difficult to quantify); (2) tailor regulations to impose the
least burden on society, consistent with obtaining regulatory
objectives, taking into account, among other things, and to the extent
practicable, the costs of cumulative regulations; (3) select, in
choosing among alternative regulatory approaches, those approaches that
maximize net benefits (including potential economic, environmental,
public health and safety, and other advantages; distributive impacts;
and equity); (4) to the extent feasible, specify performance
objectives, rather than specifying the behavior or manner of compliance
that regulated entities must adopt; and (5) identify and assess
available alternatives to direct regulation, including providing
economic incentives to encourage the desired behavior, such as user
fees or marketable permits, or providing information upon which choices
can be made by the public. DOE emphasizes as well that E.O. 13563
requires agencies to use the best available techniques to quantify
anticipated present and future benefits and costs as accurately as
possible. In its guidance, the Office of Information and Regulatory
Affairs (``OIRA'') in the Office of Management and Budget (``OMB'') has
emphasized that such techniques may include identifying changing future
compliance costs that might result from technological innovation or
anticipated behavioral changes. For the reasons stated in the preamble,
this final regulatory action is consistent with these principles.
Section 6(a) of E.O. 12866 also requires agencies to submit
``significant regulatory actions'' to OIRA for review. OIRA has
determined that this final regulatory action does not constitute a
``significant regulatory action'' under section 3(f) of E.O. 12866.
Accordingly, this action was not submitted to OIRA for review under
E.O. 12866.
B. Review Under the Regulatory Flexibility Act
The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) requires
preparation of a final regulatory flexibility analysis (FRFA) for any
final rule where the agency was first required by law to publish a
proposed rule for public comment, unless the agency certifies that the
rule, if promulgated, will not have a significant economic impact on a
substantial number of small entities. As required by Executive Order
13272, ``Proper Consideration of Small Entities in Agency Rulemaking,''
67 FR 53461 (August 16, 2002), DOE published procedures and policies on
February 19, 2003, to ensure that the potential impacts of its rules on
small entities are properly considered during the DOE rulemaking
process. 68 FR 7990. DOE has made its procedures and policies available
on the Office of the General Counsel's website: www.energy.gov/gc/office-general-counsel. DOE reviewed this final rule under the
provisions of the Regulatory Flexibility Act and the procedures and
policies published on February 19, 2003.
DOE reviewed this rule under the provisions of the Regulatory
Flexibility Act and the procedures and policies published on February
19, 2003. DOE certifies that the rule will not have a 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 amending 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(a)(1)(A))
DOE is updating 10 CFR 431.96, ``Uniform test method for the
measurement of energy efficiency of commercial air conditioners and
heat pumps,'' as follows: (1) incorporate by reference AHRI 1230-2021
and ANSI/ASHRAE 37-2009, as corrected by the Errata Sheet issued March
27, 2019; and (2) establish provisions for determining IEER for VRF
multi-split systems. DOE is adding new appendices D and D1 to subpart F
of part 431, both titled ``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 is being relocated to appendix D without change, and the new
test procedure adopting AHRI 1230-2021 is being established in appendix
D1 for determining IEER. Compliance with appendix D1 is not required
until the compliance date of amended energy conservation standards for
VRF multi-split systems that rely on IEER, should DOE adopt such
standards.
DOE is also updating 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 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.
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,\32\
``Air-Conditioning 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 \33\ and
the AHRI database.\34\ DOE identified ten original equipment
manufacturers (``OEMs'') of the covered equipment.
---------------------------------------------------------------------------
\32\ The size standards are listed by NAICS code and industry
description and are available at: www.sba.gov/document/support-table-size-standards (Last accessed on July 7, 2022).
\33\ DOE's Compliance Certification Database is available at:
www.regulations.doe.gov/ccms (Last accessed April 22, 2022).
\34\ The AHRI Database is available at: www.ahridirectory.org/
(Last accessed April 22, 2022).
---------------------------------------------------------------------------
In reviewing the ten OEMs for the December 2021 VRF TP NOPR, DOE
did not identify any companies that met the SBA criteria for a small
entity because all identified OEMs surpassed the SBA's employee
threshold. 86 FR 70644,
[[Page 63889]]
70671 (Dec. 10, 2021). DOE tentatively concluded that the proposed rule
would not have a significant economic impact on a substantial number of
small entities. DOE requested comment regarding this assessment in the
December 2021 VRF TP NOPR. Id. Because no comments were received in
response to this request and having subsequently found no additional
information to the contrary, DOE finalizes its conclusion that this
final rule will not have a significant economic impact on a substantial
number of small entities.
Therefore, in the absence of small business manufacturers, DOE
concludes that the cost effects accruing from this test procedure final
rule will not have a ``significant economic impact on a substantial
number of small entities,'' and that the preparation of a FRFA is not
warranted. DOE has submitted a certification and supporting statement
of factual basis to the Chief Counsel for Advocacy of the Small
Business Administration for review under 5 U.S.C. 605(b).
C. Review Under the Paperwork Reduction Act of 1995
Manufacturers of VRF multi-split systems must certify to DOE that
their products comply with any applicable energy conservation
standards. To certify compliance, manufacturers must first obtain test
data for their products according to the DOE test procedures, including
any amendments adopted for those test procedures. DOE has established
regulations for the certification and recordkeeping requirements for
all covered consumer products and commercial equipment, including VRF
multi-split systems. (See generally 10 CFR part 429.) The collection-
of-information requirement for the certification and recordkeeping is
subject to review and approval by OMB under the Paperwork Reduction Act
(PRA). This requirement has been approved by OMB under OMB control
number 1910-1400. Public reporting burden for the certification is
estimated to average 35 hours per response, including the time for
reviewing instructions, searching existing data sources, gathering and
maintaining the data needed, and completing and reviewing the
collection of information.
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 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-specific 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.
In this final rule, DOE is amending the reporting requirements for
VRF multi-split systems as discussed in section III.G.2 of this
document. DOE sent a revised information collection approval to OMB
under the existing Control Number 1910-1400, which reflected the
changes in this rulemaking as an amendment to the existing information
collection. More specifically, in this final rule, DOE is adding IEER,
rated heating capacity, indoor unit combination, and the refrigerant
used to determine the represented values for a basic model to the
certification reporting requirements for VRF multi-split systems. These
amended certification requirements enable the use of the industry test
procedure, AHRI 1230-2021 (which, as described in III.C.1 of this
document, DOE has concluded is more representative for measuring VRF
performance). AHRI supported DOE's proposal to adopt IEER as determined
under AHRI 1230-2021 in the federal test procedure for VRF multi-split
systems. (AHRI, No. 12 at p. 2) DOE infers from AHRI's supportive
comments that AHRI also plans to use AHRI 1230-2021 as the test
procedure for its certification program for VRF multi-split systems.
Therefore, DOE expects that manufacturers will already have the
required certification information in order to test according to the
amended industry test procedure. Additionally, AHRI 1230-2021 includes
an informative appendix D, which specifies rated heating capacity and
indoor unit combination as fields to include in the OEM's certified
supplemental testing instructions. Therefore, DOE concludes that
adopting the certification requirements in this final rule will not
constitute additional burden, as compared to expected industry
practice.
DOE is requiring in this final rule that respondents must submit
electronic forms using DOE's online CCMS. DOE's CCMS is accessible at:
www.regulations.doe.gov/ccms, and includes instructions for users,
registration forms, and the product-specific reporting templates
required for use when submitting information to CCMS. DOE also
concludes that manufacturers will rely on existing record keeping
systems to maintain the additional information reported.
OMB has approved this revised information collection under existing
OMB Control Number 1910-1400. Notwithstanding any other provision of
the law, no person is required to respond to, nor shall any person be
subject to a penalty for failure to comply with, a collection of
information subject to the requirements of the PRA, unless that
collection of information displays a currently valid OMB Control
Number.
D. Review Under the National Environmental Policy Act of 1969
In this final rule, DOE amends the test procedure for VRF multi-
split systems, amendments which it expects will be used to develop and
implement future energy conservation standards for such
[[Page 63890]]
equipment. 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 (August 10,
1999), imposes certain requirements on agencies formulating and
implementing policies or regulations that preempt State law or that
have federalism implications. The Executive order requires agencies to
examine the constitutional and statutory authority supporting any
action that would limit the policymaking discretion of the States and
to carefully assess the necessity for such actions. The Executive order
also requires agencies to have an accountable process to ensure
meaningful and timely input by State and local officials in the
development of regulatory policies that have federalism implications.
On March 14, 2000, DOE published a statement of policy describing the
intergovernmental consultation process it will follow in the
development of such regulations. 65 FR 13735. DOE examined this final
rule and determined that it will not have a substantial direct effect
on the States, on the relationship between the national government and
the States, or on the distribution of power and responsibilities among
the various levels of government. EPCA governs and prescribes Federal
preemption of State regulations as to energy conservation for the
products that are the subject of this final rule. States can petition
DOE for exemption from such preemption to the extent, and based on
criteria, set forth in EPCA. (42 U.S.C. 6297(d)) No further action is
required by Executive Order 13132.
F. Review Under Executive Order 12988
Regarding the review of existing regulations and the promulgation
of new regulations, section 3(a) of Executive Order 12988, ``Civil
Justice Reform,'' 61 FR 4729 (Feb. 7, 1996), imposes on Federal
agencies the general duty to adhere to the following requirements: (1)
eliminate drafting errors and ambiguity; (2) write regulations to
minimize litigation; (3) provide a clear legal standard for affected
conduct rather than a general standard; and (4) promote simplification
and burden reduction. Section 3(b) of Executive Order 12988
specifically requires that Executive agencies make every reasonable
effort to ensure that the regulation: (1) clearly specifies the
preemptive effect, if any; (2) clearly specifies any effect on existing
Federal law or regulation; (3) provides a clear legal standard for
affected conduct while promoting simplification and burden reduction;
(4) specifies the retroactive effect, if any; (5) adequately defines
key terms; and (6) addresses other important issues affecting clarity
and general draftsmanship under any guidelines issued by the Attorney
General. Section 3(c) of Executive Order 12988 requires Executive
agencies to review regulations in light of applicable standards in
sections 3(a) and 3(b) to determine whether they are met or it is
unreasonable to meet one or more of them. DOE has completed the
required review and determined that, to the extent permitted by law,
this final rule meets the relevant standards of Executive Order 12988.
G. Review Under the Unfunded Mandates Reform Act of 1995
Title II of the Unfunded Mandates Reform Act of 1995 (``UMRA'')
requires each Federal agency to assess the effects of Federal
regulatory actions on State, local, and Tribal governments and the
private sector. Pub. L. 104-4, sec. 201 (codified at 2 U.S.C. 1531).
For a regulatory action resulting in a rule that may cause the
expenditure by State, local, and Tribal governments, in the aggregate,
or by the private sector of $100 million or more in any one year
(adjusted annually for inflation), section 202 of UMRA requires a
Federal agency to publish a written statement that estimates the
resulting costs, benefits, and other effects on the national economy.
(2 U.S.C. 1532(a), (b)) The UMRA also requires a Federal agency to
develop an effective process to permit timely input by elected officers
of State, local, and Tribal governments on a proposed ``significant
intergovernmental mandate,'' and requires an agency plan for giving
notice and opportunity for timely input to potentially affected small
governments before establishing any requirements that might
significantly or uniquely affect small governments. On March 18, 1997,
DOE published a statement of policy on its process for
intergovernmental consultation under UMRA. 62 FR 12820; also available
at energy.gov/gc/office-general-counsel. DOE examined this final rule
according to UMRA and its statement of policy and determined that the
rule contains neither an intergovernmental mandate, nor a mandate that
may result in the expenditure of $100 million or more in any year, so
these requirements do not apply.
H. Review Under the Treasury and General Government Appropriations Act,
1999
Section 654 of the Treasury and General Government Appropriations
Act, 1999 (Pub. L. 105-277) requires Federal agencies to issue a Family
Policymaking Assessment for any rule that may affect family well-being.
This final rule will not have any impact on the autonomy or integrity
of the family as an institution. Accordingly, DOE has concluded that it
is not necessary to prepare a Family Policymaking Assessment.
I. Review Under Executive Order 12630
DOE has determined, under Executive Order 12630, ``Governmental
Actions and Interference with Constitutionally Protected Property
Rights,'' 53 FR 8859 (March 18, 1988), that this regulation will not
result in any takings that might require compensation under the Fifth
Amendment to the U.S. Constitution.
J. Review Under Treasury and General Government Appropriations Act,
2001
Section 515 of the Treasury and General Government Appropriations
Act, 2001 (44 U.S.C. 3516 note) provides for agencies to review most
disseminations of information to the public under guidelines
established by each agency pursuant to general guidelines issued by
OMB. OMB's guidelines were published at 67 FR 8452 (Feb. 22, 2002), and
DOE's guidelines were published at 67 FR 62446 (Oct. 7, 2002). Pursuant
to OMB Memorandum M-19-15, Improving Implementation of the Information
Quality Act (April 24, 2019), DOE published updated guidelines which
are available at: www.energy.gov/sites/prod/files/2019/12/f70/DOE%20Final%20Updated%20IQA%20Guidelines%20Dec%202019.pdf. DOE has
reviewed this final rule under the OMB and DOE guidelines and has
concluded that it is consistent with applicable policies in those
guidelines.
K. Review Under Executive Order 13211
Executive Order 13211, ``Actions Concerning Regulations That
Significantly Affect Energy Supply, Distribution, or Use,'' 66 FR 28355
(May 22, 2001), requires Federal agencies to prepare and submit to OMB,
a
[[Page 63891]]
Statement of Energy Effects for any significant energy action. A
``significant energy action'' is defined as any action by an agency
that promulgated or is expected to lead to promulgation of a final
rule, and that: (1) is a significant regulatory action under Executive
Order 12866, or any successor order; and (2) is likely to have a
significant adverse effect on the supply, distribution, or use of
energy; or (3) is designated by the Administrator of OIRA as a
significant energy action. For any significant energy action, the
agency must give a detailed statement of any adverse effects on energy
supply, distribution, or use if the regulation is implemented, and of
reasonable alternatives to the action and their expected benefits on
energy supply, distribution, and use.
This regulatory action is not a significant regulatory action under
Executive Order 12866. Moreover, it would not have a significant
adverse effect on the supply, distribution, or use of energy, nor has
it been designated as a significant energy action by the Administrator
of OIRA. Therefore, it is not a significant energy action, and,
accordingly, DOE has not prepared a Statement of Energy Effects.
L. Review Under Section 32 of the Federal Energy Administration Act of
1974
Under section 301 of the Department of Energy Organization Act
(Pub. L. 95-91; 42 U.S.C. 7101), DOE must comply with section 32 of the
Federal Energy Administration Act of 1974, as amended by the Federal
Energy Administration Authorization Act of 1977. (15 U.S.C. 788;
``FEAA'') Section 32 essentially provides in relevant part that, where
a proposed rule authorizes or requires use of commercial standards, the
notice of proposed rulemaking must inform the public of the use and
background of such standards. In addition, section 32(c) requires DOE
to consult with the Attorney General and the Chairman of the Federal
Trade Commission (``FTC'') concerning the impact of the commercial or
industry standards on competition.
The modifications to the Federal test procedure for VRF multi-split
systems adopted in this final rule incorporates testing methods
contained in certain sections of the following applicable commercial
test standards: AHRI 1230-2021 and ANSI/ASHRAE 37-2009. DOE has
evaluated these standards and is unable to conclude whether they fully
comply with the requirements of section 32(b) of the FEAA (i.e.,
whether they were developed in a manner that fully provides for public
participation, comment, and review). DOE has consulted with both the
Attorney General and the Chairman of the FTC about the impact on
competition of using the methods contained in these standards and has
received no comments objecting to their use.
M. Congressional Notification
As required by 5 U.S.C. 801, DOE will report to Congress on the
promulgation of this rule before its effective date. The report will
state that it has been determined that the final rule is not a ``major
rule'' as defined by 5 U.S.C. 804(2).
N. Description of Materials Incorporated by Reference
In this final rule, DOE incorporates by reference the following
test standards:
(1) AHRI 1230-2021 is an industry-accepted test procedure for
measuring the performance of VRF multi-split systems. AHRI 1230-2021 is
available on AHRI's website at www.ahrinet.org/search-standards.aspx.
(2) ANSI/AHRI 1230-2010 is an industry-accepted test procedure for
measuring the performance of VRF multi-split systems. ANSI/AHRI 1230-
2010 is available on AHRI's website at www.ahrinet.org/search-standards.aspx.
(3) ANSI/ASHRAE Standard 37-2009. ANSI/ASHRAE Standard 37-2009 is
an industry-accepted test procedure that provides a method of test for
many categories of air conditioning and heating equipment. ANSI/ASHRAE
Standard 37-2009 is available on ANSI's website at webstore.ansi.org/RecordDetail.aspx?sku=ANSI%2FASHRAE+Standard+37-2009.
(4) ASHRAE Errata Sheet to ANSI/ASHRAE Standard 37-2009 is a
technical corrections sheet for ANSI/ASHRAE 37-2009. The errata sheet
for ANSI/ASHRAE 37-2009 is reasonably available on ASHRAE's website at:
www.ashrae.org/.
The following standards were previously approved for incorporation
by reference in the section where they appear and no change is made:
AHRI 210/240-2008, AHRI 340/360-2007, AHRI 390-2003, ASHRAE 127-2007,
and ISO Standard 13256-1.
V. Approval of the Office of the Secretary
The Secretary of Energy has approved publication of this final
rule.
List of Subjects
10 CFR Part 429
Administrative practice and procedure, Confidential business
information, Energy conservation, Household appliances, Imports,
Incorporation by reference, Intergovernmental relations, Reporting and
recordkeeping requirements, Small businesses.
10 CFR Part 431
Administrative practice and procedure, Confidential business
information, Energy conservation, Incorporation by reference, Reporting
and recordkeeping requirements.
Signing Authority
This document of the Department of Energy was signed on October 6,
2022, by Francisco Alejandro Moreno, Acting Assistant Secretary for
Energy Efficiency and Renewable Energy, pursuant to delegated authority
from the Secretary of Energy. That document with the original signature
and date is maintained by DOE. For administrative purposes only, and in
compliance with requirements of the Office of the Federal Register, the
undersigned DOE Federal Register Liaison Officer has been authorized to
sign and submit the document in electronic format for publication, as
an official document of the Department of Energy. This administrative
process in no way alters the legal effect of this document upon
publication in the Federal Register.
Signed in Washington, DC, on October 12, 2022.
Treena V. Garrett,
Federal Register Liaison Officer, U.S. Department of Energy.
For the reasons stated in the preamble, DOE amends parts 429 and
431 of chapter II, of title 10, Code of Federal Regulations as set
forth below:
PART 429--CERTIFICATION, COMPLIANCE, AND ENFORCEMENT FOR CONSUMER
PRODUCTS AND COMMERCIAL AND INDUSTRIAL EQUIPMENT
0
1. The authority citation for part 429 continues to read as follows:
Authority: 42 U.S.C. 6291-6317; 28 U.S.C. 2461 note.
0
2. Amend Sec. 429.4 by:
0
a. Revising paragraph (a); and
0
b. Redesignating paragraph (c)(2) as (c)(3) and adding new paragraph
(c)(2).
The revision and addition read as follows.
Sec. 429.4 Materials incorporated by reference.
(a) Certain material is incorporated by reference into this part
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
[[Page 63892]]
this section, the U.S. Department of Energy (DOE) must publish a
document in the Federal Register and the material must be available to
the public. All approved incorporation by reference (IBR) material is
available for inspection at DOE and at the National Archives and
Records Administration (NARA). Contact DOE at: 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, [email protected], www.energy.gov/eere/buildings/building-technologies-office. For information on the
availability of this material at NARA, email: [email protected],
or go to:www.archives.gov/federal-register/cfr/ibr-locations.html. The
material may be obtained from the sources in the following paragraphs
of this section.
* * * * *
(c) * * *
(2) AHRI Standard 1230(I-P) (``AHRI 1230-2021''), 2021 Standard for
Performance Rating of Variable Refrigerant Flow (VRF) Multi-Split Air-
Conditioning and Heat Pump Equipment, copyright 2021; IBR approved for
Sec. Sec. 429.43; 429.134.
* * * * *
0
3. Amend Sec. 429.43 by:
0
a. Revising paragraphs (a) introductory text, (a)(1)(ii)(A)
introductory text, and (a)(1)(ii)(B) introductory text;
0
b. Redesignating table 1 to paragraph (a)(3) as table 1 to paragraph
(a)(3)(i)(A);
0
c. In paragraph (a)(3)(i), removing the text ``Table 1 to paragraph
(a)(3)'', wherever it appears, and adding in its place the text ``table
1 to paragraph (a)(3)(i)(A)'' and removing the text ``Table 1'',
wherever is appears, and adding in its place the text ``table 1'';
0
d. Adding reserved paragraph (a)(3)(i)(B);
0
e. Adding paragraph (a)(3)(ii);
0
f. Revising paragraphs (b)(2)(xi) and (xii);
0
g. Removing paragraph (b)(2)(xiii);
0
h. Redesignating paragraphs (b)(2)(xiv) and (xv) as (b)(2)(xiii) and
(xiv), respectively;
0
i. Revising paragraphs (b)(4)(vii) and (viii);
0
j. Removing paragraph (b)(4)(ix);
0
k. Redesignating paragraphs (b)(4)(x) through (b)(4)(xiv) as (b)(4)(ix)
through (b)(4)(xiii), respectively; and
0
l. Adding paragraph (b)(5).
The revisions and additions read as follows.
Sec. 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 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)(ii)(C) 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)(ii)(C) of this section, for which consumers would favor higher
values shall be less than or equal to the lower of:
* * * * *
(3) * * *
(i) * * *
(B) [Reserved]
(ii) Variable refrigerant flow multi-split 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) Outdoor Unit Model Selection. All representations for basic
models of VRF multi-split systems must be based on the least-efficient
outdoor unit model(s) distributed in commerce within the basic model.
(B) Indoor Unit Model Selection. A manufacturer must determine
represented values for basic models of VRF multi-split systems based on
the following provisions regarding selection of indoor units:
(1) The combination of indoor unit models shall be selected per the
certified tested combination in the STI, subject to the provisions in
paragraph (a)(3)(ii)(B)(2) of this section.
(2) For each indoor unit model identified in the tested combination
for which the model number certified in the STI does not fully specify
the presence or absence of all components, a fully-specified indoor
unit model shall be selected that meets the following qualifications:
(i) Is distributed in commerce; and
(ii) Has a model number consistent with the certified indoor unit
model number (i.e., shares all digits of the model number that are
specified in the certified indoor unit model number); and
(iii) Among the group of all indoor models meeting the criteria
from paragraphs (a)(3)(ii)(B)(2)(i) and (ii) of this section, has the
least number (which could be zero) of components listed in Table 2 to
paragraph (a)(3)(ii)(B)(2) of this section.
Table 2 to Paragraph (a)(3)(ii)(B)(2)--Specific Components for Variable
Refrigerant Flow Multi-Split Systems
------------------------------------------------------------------------
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.
Dehumidification Components..... An assembly that reduced the moisture
content of the supply air through
moisture transfer with solid or
liquid desiccants.
------------------------------------------------------------------------
(C) Represented Values for Different Indoor Unit Combinations. (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 the basic model in accordance with the sampling
plan set forth in Sec. 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 Sec. 429.70. Indoor unit models must be selected
in accordance
[[Page 63893]]
with paragraph (a)(3)(ii)(B) of this section.
(2) If a basic model includes more than one type of indoor unit
combination (i.e., ducted, non-ducted, and/or SDHV):
(i) 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 that represents 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 Sec.
429.70. Indoor unit models within the indoor unit combination must be
selected in accordance with paragraph (a)(3)(ii)(B) of this section.
(ii) A manufacturer may also determine optional ``mixed''
representations by calculating the mean value across any two required
representations described in the paragraph (a)(3)(ii)(C)(2)(i) of this
section (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).
(b) * * *
(2) * * *
(xi) Variable refrigerant flow multi-split air-cooled air
conditioners (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)),
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)(ii)(C) 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 multi-split 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)(ii)(C) 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 multi-split air-cooled air
conditioners (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); outdoor
unit(s) and indoor units identified in the tested combination;
components needed for heat recovery, if applicable; rated airflow in
standard cubic feet per minute (scfm) for each indoor unit; rated
static pressure in inches of water; compressor frequency setpoints;
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)(ii)(C) 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 of 20
hours or less; the frequency of oil recovery cycles; operational
settings for all critical parameters to be controlled at each of the
four IEER cooling test conditions; all dip switch/control settings used
for the full-load cooling test; 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 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 Sec. 429.4) at each of the
four IEER cooling test conditions must also be provided, including: the
required thermostat
[[Page 63894]]
setpoints to ensure control for 80 [deg]F dry-bulb temperature when
accounting for setpoint 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), set-up
instructions for indoor units and outdoor units, and charging
instructions consistent with the installation manual.
(viii) Variable refrigerant flow multi-split 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 per minute (gpm) for water-cooled units only; rated
static pressure in inches of water; compressor frequency setpoints;
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)(ii)(C) 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
airflow-control setting to be used in the full-load 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 of 20 hours or less; 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; all dip switch/control settings used
for the full-load cooling and full-load heating tests; 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 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 [deg]F dry-bulb
temperature when accounting for setpoint 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),
set-up instructions for indoor units and outdoor units, and charging
instructions consistent with the installation manual.
* * * * *
(5) 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), if a manufacturer has knowledge that any of its
certified operational settings for critical parameters to be controlled
during IEER tests (per paragraph (b)(4)(vii)(B) or (b)(4)(viii)(B) of
this section) are invalid according to the results of a controls
verification procedure conducted according to Sec. 429.134(v)(3), then
the manufacturer must re-rate and re-certify using valid operational
settings for critical parameters for all affected basic models.
* * * * *
0
4. Amend Sec. 429.70 by revising paragraph (c)(2)(i) to read as
follows:
Sec. 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 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, 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.
[[Page 63895]]
(2) If a manufacturer makes representations for two types of indoor
unit combinations (i.e., ducted, non-ducted, 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 of a
selected basic model for one of those two types of indoor unit
combination, and at least a single tested combination of a different
selected basic model for the other of those two types of indoor unit
combination, each tested 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.
* * * * *
0
5. Section 429.104 is revised to read as follows:
Sec. 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 multi-split air conditioners and
heat pumps (other than air-cooled with rated cooling capacity less than
65,000 btu/h), when DOE may require that the manufacturer of a basic
model ship at its expense any means of control for the basic model
necessary for conducting testing in accordance with Appendix D1 to
subpart F of 10 CFR part 431 of this subchapter.
0
6. Amend Sec. 429.110 by:
0
a. Redesignating paragraphs (a)(2) and (3) as paragraphs (a)(3) and
(4), respectively;
0
b. Adding new paragraph (a)(2); and
0
c. Revising paragraph (b)(1)(iv).
The addition and revision read as follows.
Sec. 429.110 Enforcement testing.
(a) * * *
(2) 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 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 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 subpart F of 10 CFR part 431 of this
subchapter. The manufacturer may ship the means of control separately
from the system(s) selected for testing.
* * * * *
0
7. Amend Sec. 429.134 by:
0
a. In paragraph (s)(1), removing the text ``Table 1 of Sec.
429.43(a)(3)'' and adding in its place the text ``table 1 to Sec.
429.43(a)(3)(i)(A)''; and
0
b. Adding paragraph (v) to read as follows:
Sec. 429.134 Product-specific enforcement provisions.
* * * * *
(v) 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 following provisions apply for assessment and
enforcement testing of models subject to standards in terms of IEER:
(1) Specific components. For each indoor unit model identified in
the tested combination for which the model number certified in the STI
does not fully specify the presence or absence of components listed at
table 2 to 10 CFR 429.43(a)(3)(ii)(B), the following provision applies.
If DOE is not able to obtain an individual model with the least number
of those components, then DOE may test a system that includes any
individual indoor unit model that has a model number consistent with
the certified indoor unit model number.
(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 (v)(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 consistent with the
provisions in section 5.1 of appendix D1 to subpart F of 10 CFR part
431. Critical parameters must operate automatically from the system
controls and must not be manually controlled or adjusted at any point
by any party during the 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 consistent with the
provisions of section 5.1 of appendix D1 to subpart F of 10 CFR part
431. In heating tests and IEER cooling tests, critical parameters may
be manually controlled by a manufacturer's representative and initially
set to their certified values as described in section 5.1 of appendix
D1 to subpart F of 10 CFR part 431. During IEER cooling mode tests
only, a manufacturer's representative may also make additional
adjustments to the critical parameters as described in section 5.2 of
appendix D1 to subpart F of 10 CFR part 431. Setting and adjustment of
critical parameters by a manufacturer's representative must be
monitored by third-party laboratory personnel using a service tool.
Other than critical parameter adjustments made in accordance with
section 5.3 of appendix D1 to subpart F of 10 CFR part 431, 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 means of
control provided by the manufacturer, as described in Sec.
429.110(b)(1)(iv) for enforcement testing and Sec. 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 10 CFR part
[[Page 63896]]
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 10 CFR part 431; the CVP is not conducted at 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 Sec. 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 (v)(3)(ii)(A) of this section exists before tOFF
that has an average root-sum-square (``RSS'') points total (as defined
in Section 3.27 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
(v)(3)(ii)(A) of this section exists before 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 10 CFR 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
10 CFR part 431.
(B) Invalidated critical parameter settings. At each load point, if
certified critical parameter values identified pursuant to paragraph
(v)(3) of this section 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 10 CFR part 431) as follows:
(1) Select the CVP measurement period--this period must have
duration determined per paragraph (v)(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 (v)(3)(iii)(B)(1) of this section. When initially
setting critical parameters per section 5.1 of appendix D1 to subpart F
of 10 CFR 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 (v)(3)(iii)(B)(3) of this section.
(3) For each system, determine whether critical parameter
adjustments are needed to achieve the target capacity or 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 10 CFR part 431, with the following exceptions:
(i) Replace all references to ``certified critical parameter
values'' with ``alternate critical parameter values'' as determined in
paragraph (v)(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.
(4) Break-in period. DOE will perform a compressor break-in period
during assessment or enforcement testing using a duration specified by
the manufacturer only if a break-in period duration is provided in the
supplemental testing instructions.
PART 431--ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND
INDUSTRIAL EQUIPMENT
0
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.
0
9. Section 431.92 is amended by revising the definition of ``Integrated
energy efficiency ratio, or IEER'' to read as follows:
Sec. 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 to 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 to 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).
* * * * *
0
10. Amend Sec. 431.95 by:
0
a. Revising paragraph (b)(7);
0
b. Adding paragraph (b)(8);
0
c. Revising paragraph (c)(2);
0
d. Redesignating paragraphs (c)(3) through (7) as (c)(4) through (8);
and
0
e. Adding new paragraph (c)(3).
The revisions and addition read as follows:
Sec. 431.95 Materials incorporated by reference.
* * * * *
(b) * * *
(7) ANSI/AHRI Standard 1230-2010, (``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; IBR approved for Sec.
431.96 and appendix D to this subpart.
(8) AHRI Standard 1230 (I-P), (``AHRI 1230-2021'), ``2021 Standard
for Performance Rating of Variable Refrigerant Flow (VRF) Multi-Split
Air-Conditioning and Heat Pump Equipment'', copyright in 2021; IBR
approved for appendix D1 to this subpart.
[[Page 63897]]
(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,'' ASHRAE approved June 24, 2009;
IBR approved for Sec. 431.96 and appendices A, B, and D1 to this
subpart.
(3) Errata Sheet for ANSI/ASHRAE Standard 37-2009, Methods of
Testing for Rating Electrically Driven Unitary Air-Conditioning and
Heat Pump Equipment, March 27, 2019; IBR approved for appendix D1 to
this subpart.
* * * * *
0
11. Amend Sec. 431.96 by revising paragraph (b)(1) and table 1 to
paragraph (b) to read as follows:
Sec. 431.96 Uniform test method for the measurement of energy
efficiency of commercial air conditioners and heat pumps.
* * * * *
(b) * * *
(1) Determine the energy efficiency of each type of covered
equipment by conducting the test procedure(s) listed in table 1 to this
paragraph (b) 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 paragraph (b) must not be
used. For equipment with multiple appendices listed in table 1 to this
paragraph (b), consult the notes at the beginning of those appendices
to determine the applicable appendix to use for testing.
* * * * *
Table 1 to Paragraph (b)--Test Procedures for Commercial Air Conditioners and Heat Pumps
--------------------------------------------------------------------------------------------------------------------------------------------------------
Cooling capacity or Use tests, Additional test procedure provisions
Equipment type Category moisture removal Energy efficiency conditions, and as indicated in the listed
capacity \2\ descriptor procedures \1\ in paragraphs of this section
--------------------------------------------------------------------------------------------------------------------------------------------------------
Small Commercial Package Air- Air-Cooled, 3- <65,000 Btu/h...... SEER and HSPF..... AHRI 210/240-2008 Paragraphs (c) and (e).
Conditioning and Heating Phase, AC and HP. (omit section
Equipment. 6.5).
Air-Cooled AC and >=65,000 Btu/h and EER, IEER, and COP Appendix A to this None.
HP. <135,000 Btu/h. subpart.
Water-Cooled and <65,000 Btu/h...... EER............... AHRI 210/240-2008 Paragraphs (c) and (e).
Evaporatively- (omit section
Cooled AC. 6.5).
>=65,000 Btu/h and EER............... AHRI 340/360-2007 Paragraphs (c) and (e).
<135,000 Btu/h. (omit section
6.3).
Water-Source HP.... <135,000 Btu/h..... EER and COP....... ISO Standard 13256- Paragraph (e).
1.
Large Commercial Package Air- Air-Cooled AC and >=135,000 Btu/h and EER, IEER and COP. Appendix A to this None.
Conditioning and Heating HP. <240,000 Btu/h. subpart.
Equipment.
Water-Cooled and >=135,000 Btu/h and EER............... AHRI 340/360-2007 Paragraphs (c) and (e).
Evaporatively- <240,000 Btu/h. (omit section
Cooled AC. 6.3).
Very Large Commercial Package Air-Cooled AC and >=240,000 Btu/h and EER, IEER and COP. Appendix A to this None.
Air-Conditioning and Heating HP. <760,000 Btu/h. subpart.
Equipment.
Water-Cooled and >=240,000 Btu/h and EER............... AHRI 340/360-2007 Paragraphs (c) and (e).
Evaporatively- <760,000 Btu/h. (omit section
Cooled AC. 6.3).
Packaged Terminal Air AC and HP.......... <760,000 Btu/h..... EER and COP....... Paragraph (g) of Paragraphs (c), (e), and (g).
Conditioners and Heat Pumps. this section.
Computer Room Air Conditioners.. AC................. <65,000 Btu/h...... SCOP.............. ASHRAE 127-2007 Paragraphs (c) and (e).
(omit section
5.11).
>=65,000 Btu/h and SCOP.............. ASHRAE 127-2007 Paragraphs (c) and (e).
<760,000 Btu/h. (omit section
5.11).
Variable Refrigerant Flow Multi- AC................. <65,000 Btu/h (3- SEER.............. ANSI/AHRI 1230- Paragraphs (c), (d), (e), and (f).
split Systems. phase). 2010 (omit
sections 5.1.2
and 6.6).
Variable Refrigerant Flow Multi- HP................. <65,000 Btu/h (3- SEER and HSPF..... ANSI/AHRI 1230- Paragraphs (c), (d), (e), and (f).
split Systems, Air-cooled. phase). 2010 (omit
sections 5.1.2
and 6.6).
Variable Refrigerant Flow Multi- AC and HP.......... >=65,000 Btu/h and EER and COP....... Appendix D to this None.
split Systems, Air-cooled. <760,000 Btu/h. subpart \3\.
>=65,000 Btu/h and IEER and COP...... Appendix D1 to None.
<760,000 Btu/h. this subpart \3\.
Variable Refrigerant Flow Multi- HP................. <760,000 Btu/h..... EER and COP....... Appendix D to this None.
split Systems, Water-source. subpart \3\.
<760,000 Btu/h..... IEER and COP...... Appendix D1 to None.
this subpart \3\.
Single Package Vertical Air AC and HP.......... <760,000 Btu/h..... EER and COP....... AHRI 390-2003 Paragraphs (c) and (e).
Conditioners and Single Package (omit section
Vertical Heat Pumps. 6.4).
Direct Expansion-Dedicated All................ <324 lbs. of ISMRE2 and ISCOP2. Appendix B to this None.
Outdoor Air Systems. moisture removal/ subpart.
hr.
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Incorporated by reference; see Sec. 431.95.
\2\ Moisture removal capacity applies only to direct expansion-dedicated outdoor air systems.
[[Page 63898]]
\3\ For 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.
* * * * *
Appendix C to Subpart F of Part 431 [Reserved]
0
12. Add reserved appendix C to subpart F of part 431.
0
13. Add appendix D to subpart F of part 431 to read as follows:
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 compliance with the relevant standard from
Sec. 431.97 as that standard appeared in the January 1, 2022
edition of 10 CFR parts 200-499. Specifically, 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, 2022.
For any amended standards for variable refrigerant flow multi-
split air conditioners and heat pumps that rely on integrated energy
efficiency ratio (IEER) published after January 1, 2022,
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 Sec. 431.95, the entire
standard for ANSI/AHRI 1230-2010. However, enumerated provisions of
ANSI/AHRI 1230-2010, as listed in this section 1, are excluded. To
the extent there is a conflict between the terms or provisions of a
referenced industry standard and the CFR, the CFR provisions
control.
1.1 ANSI/AHRI 1230-2010:
(a) Section 5.1.2--Manufacturer involvement.
(b) Section 6.6--Verification testing and uncertainty is
inapplicable as specified in section 2.2 of this appendix.
1.2 [Reserved.]
2. General. Determine the energy efficiency ratio (EER) and
coefficient of performance (COP) (as applicable) in accordance with
ANSI/AHRI 1230-2010.
Note: 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 set-ups 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, Piping length beyond Cooling capacity
X (ft) minimum, Y (m) correction (%)
------------------------------------------------------------------------
0> X <=20..................... 0> Y <=6.1........... 1
20> X <=40.................... 6.1> Y <=12.2........ 2
40> X <=60.................... 12.2> Y <=18.3....... 3
60> X <=80.................... 18.3> Y <=24.4....... 4
80> X <=100................... 24.4> Y <=30.5....... 5
100> X <=120.................. 30.5>Y <=36.6........ 6
------------------------------------------------------------------------
5. Additional provisions for equipment set-up. 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 manual 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 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 set-up
as specified under sections 4 and 5 of this appendix will be used.
0
14. 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 Sec. 431.97 that are published after January 1,
2022, 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 Sec. 431.95, the entire
standard for AHRI 1230-2021 and ANSI/ASHRAE 37-2009, as corrected by
the Errata sheet for ANSI/ASHRAE 37-2009 issued on March 27, 2019
(``ANSI/ASHRAE 37-2009 (as corrected)''). However, only
[[Page 63899]]
enumerated provisions of AHRI 1230-2021 and ANSI/ASHRAE 37-2009 are
required or excluded, as listed in this section 1. To the extent
there is a conflict between the terms or provisions of a referenced
industry standard and the CFR, the CFR provisions control.
1.1 Provisions Required
1.1.1 AHRI 1230-2021
(a) Section 3--Definitions, except section 3.11, as specified in
section 2 of this appendix,
(b) Section 5--Test Requirements, except section 5.1.2, as
specified in sections 2 and 5.1 of this appendix,
(c) Section 6--Rating Requirements, except sections 6.3.3 and
6.5, as specified in sections 2, 4.1, 4.1.1, 4.2, 4.2.1, and 5.1 of
this appendix,
(d) Section 11--Calculations is applicable as specified in
sections 2, 5.2.1.2, and 5.2.2 of this appendix,
(e) Section 12--Symbols, Subscripts, and Superscripts as
specified in section 2 of this appendix,
(f) Appendix E--ANSI/ASHRAE Standard 37-2009 Clarifications/
Exceptions--Normative as specified in section 2 of this appendix.
1.1.2 [Reserved]
1.2 Provisions Excluded
1.2.1 ANSI/ASHRAE 37-2009 (as Corrected)
(a) Section 1--Purpose,
(b) Section 2--Scope, and
(c) Section 4--Classification.
2. General. Determine IEER and coefficient of performance (COP)
(as applicable) in accordance with AHRI 1230-2021 and ANSI/ASHRAE
37-2009 (as corrected). 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 (as corrected).
Note: The controls verification procedure specified in Appendix
C of AHRI 1230-2021 is referenced as part of DOE's certification
provisions at Sec. 429.43(b) and product-specific enforcement
provisions located at Sec. 429.134(v)(3).
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 Sec. 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 in Section 6 of AHRI 1230-2021.
4.1.1 Representations of COP for air-cooled 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 in Section 6 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
Sec. 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 in Section 6 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 Section 6 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 Section 6 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
systems 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 supplemental testing
instructions (STI) provided by the manufacturer pursuant to Sec.
429.43(b)(4) of this chapter. In cases in which 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 set-up (during which
all control settings, including certified critical parameters, are
set). Adjust critical parameters in order to achieve full- and part-
load cooling capacity targets and sensible heat ratio (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 system, increase compressor speed by the same
absolute increment in RPM or Hz for each compressor for which the
following conditions apply:
(a) The STI specifies a non-zero compressor speed for the
compressor for that test and
(b) 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:
(a) The STI specifies a non-zero compressor speed for the
compressor for that test and
(b) The compressor has not yet reached minimum speed. Continue
reducing cooling capacity in this manner until one of the following
occurs:
(1) The unit operates within 3% of the target cooling capacity;
or
(2) 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% part-
load 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:
(a) First, use equation 5.2-1 to calculate the absolute
parameter percent difference () between each adjusted critical
parameter and the value for that parameter certified in the STI.
[[Page 63900]]
[GRAPHIC] [TIFF OMITTED] TR20OC22.002
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 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 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.
(b) Next, use equation 5.2-2 to this section to determine the
accrued points for each critical parameter:
[GRAPHIC] [TIFF OMITTED] TR20OC22.003
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
------------------------------------------------------------------------
Nominal point
Critical parameter value
------------------------------------------------------------------------
Compressor Speed(s)..................................... 13
Outdoor Fan Speed(s).................................... 7
Outdoor Variable Valve Position(s)...................... 1
------------------------------------------------------------------------
(c) Finally, use equation 5.2-3 to this section to calculate the
root-sum-squared (RSS) Points Total across all critical parameters.
[GRAPHIC] [TIFF OMITTED] TR20OC22.004
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 the system,
increase compressor speed by the same absolute increment for each
compressor for which the following conditions apply:
(a) The STI specifies a non-zero compressor speed for the
compressor for that test and
(b) 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 shall 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 to this appendix, test in accordance
with the set-up and test provisions specified in table 6.1.
Table 6.1--Test Provisions for Specific Components
------------------------------------------------------------------------
Component Description Test provisions
------------------------------------------------------------------------
Desiccant Dehumidification An assembly that Disable desiccant
Components. reduces the dehumidification
moisture content of components for
the supply air testing.
through moisture
transfer with solid
or liquid
desiccants.
Air Economizers............. An automatic system For any air
that enables a economizer that is
cooling system to factory-installed,
supply outdoor air place the
to reduce or economizer in the
eliminate the need 100% return
for mechanical position and close
cooling during mild and seal the
or cold weather. 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.
Fresh Air Dampers........... An assembly with For any fresh air
dampers and means dampers that are
to set the damper factory-installed,
position in a close and seal the
closed and one open dampers for
position to allow testing. For any
air to be drawn modular fresh air
into the equipment dampers shipped
when the indoor fan with the unit but
is operating. not factory-
installed, do not
install the dampers
for testing.
Hail Guards................. A grille or similar Remove hail guards
structure mounted for testing.
to the outside of
the unit covering
the outdoor coil to
protect the coil
from hail, flying
debris, and damage
from large objects.
[[Page 63901]]
Low Ambient Cooling Dampers. An assembly with Remove low ambient
dampers and means cooling dampers for
to set the dampers testing.
in a position to
recirculate the
warmer condenser
discharge air to
allow for reliable
operation at low
outdoor ambient
conditions.
Power Correction Capacitors. A capacitor that Remove power
increases the power correction
factor measured at capacitors for
the line connection testing.
to the equipment.
These devices are a
requirement of the
power distribution
system supplying
the unit.
Ventilation Energy Recovery An assembly that For any VERS that is
Systems (VERS). preconditions factory-installed,
outdoor air place the VERS in
entering the the 100% return
equipment through position and close
direct or indirect and seal the
thermal and/or outside air dampers
moisture exchange and exhaust air
with the exhaust dampers for
air, which is testing, and do not
defined as the energize any VERS
building air being subcomponents
exhausted to the (e.g., energy
outside from the recovery wheel
equipment. motors). For any
VERS module shipped
with the unit but
not factory-
installed, do not
install the VERS
for testing.
------------------------------------------------------------------------
[FR Doc. 2022-22511 Filed 10-19-22; 8:45 am]
BILLING CODE 6450-01-P
