Energy Conservation Program: Test Procedures for Air-Cooled, Evaporatively-Cooled, and Water-Cooled Commercial Package Air Conditioners and Heat Pumps, 56392-56458 [2023-15857]
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Federal Register / Vol. 88, No. 158 / Thursday, August 17, 2023 / Proposed Rules
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DEPARTMENT OF ENERGY
10 CFR Parts 429 and 431
[EERE–2023–BT–TP–0014]
Energy Conservation Program: Test
Procedures for Air-Cooled,
Evaporatively-Cooled, and WaterCooled Commercial Package Air
Conditioners and Heat Pumps
Office of Energy Efficiency and
Renewable Energy, Department of
Energy.
ACTION: Notice of proposed rulemaking
and request for comment.
AGENCY:
The U.S. Department of
Energy (DOE) proposes to amend the
Federal test procedures for air-cooled
commercial package air conditioners
and heat pumps with a rated cooling
capacity greater than or equal to 65,000
Btu/h, evaporatively-cooled commercial
package air conditioners, and watercooled commercial package air
conditioners to incorporate by reference
the latest versions of the applicable
industry test standards. Specifically,
DOE proposes: to amend the current test
procedure for this equipment for
measuring the current cooling and
heating metrics—integrated energy
efficiency ratio (IEER) and coefficient of
performance (COP), respectively; and to
establish a new test procedure for this
equipment that would adopt two new
metrics—integrated ventilation,
economizer, and cooling (IVEC) and
integrated ventilation and heating
efficiency (IVHE). Testing to the IVEC
and IVHE metrics would not be required
until such time as compliance is
required with any amended energy
conservation standard based on the new
metrics. Additionally, DOE proposes to
amend certain provisions of DOE’s
regulations related to representations
and enforcement for the subject
equipment. DOE welcomes written
comments from the public on any
subject within the scope of this
document (including topics not raised
in this proposal), as well as the
submission of data and other relevant
information.
SUMMARY:
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DATES:
Comments: DOE will accept
comments, data, and information
regarding this notice of proposed
rulemaking (NOPR) no later than
October 16, 2023. See section V, ‘‘Public
Participation,’’ for further details.
Meeting: DOE will hold a public
meeting via webinar on Thursday,
September 7, 2023, from 1:00 p.m. to
4:00 p.m. See section V, ‘‘Public
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Interested persons are
encouraged to submit comments using
the Federal eRulemaking Portal at
www.regulations.gov under docket
number EERE–2023–BT–TP–0014.
Follow the instructions for submitting
comments. Alternatively, interested
persons may submit comments,
identified by docket number EERE–
2023–BT–TP–0014 and/or RIN 1904–
AD93, by any of the following methods:
Email: CUACHP2023TP0014@
ee.doe.gov. Include the docket number
EERE–2023–BT–TP–0014 and/or RIN
1904–AD93 in the subject line of the
message.
Postal Mail: Appliance and
Equipment Standards Program, U.S.
Department of Energy, Building
Technologies Office, Mailstop EE–5B,
1000 Independence Avenue SW,
Washington, DC 20585–0121. If
possible, please submit all items on a
compact disc (CD), in which case it is
not necessary to include printed copies.
Hand Delivery/Courier: Appliance
and Equipment Standards Program, U.S.
Department of Energy, Building
Technologies Office, 950 L’Enfant Plaza
SW, 6th Floor, Washington, DC 20024.
Telephone: (202) 287–1445. If possible,
please submit all items on a CD, in
which case it is not necessary to include
printed copies.
No telefacsimiles (faxes) will be
accepted. For detailed instructions on
submitting comments and additional
information on this process, see section
V of this document (Public
Participation).
Docket: The docket for this activity,
which includes Federal Register
notices, public meeting webinar
attendee lists and transcripts (if a public
meeting is held), 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,
not all documents listed in the index
may be publicly available, such as
information that is exempt from public
disclosure.
The docket web page can be found at
www.regulations.gov/docket/EERE2023-BT-TP-0014. The docket web page
contains instructions on how to access
all documents, including public
comments, in the docket. See section V
(Public Participation) for information on
how to submit comments through
www.regulations.gov.
ADDRESSES:
RIN 1904–AD93
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Mr.
Lucas Adin, U.S. Department of Energy,
Office of Energy Efficiency and
Renewable Energy, Building
Technologies Office, EE–5B, 1000
Independence Avenue SW, Washington,
DC 20585–0121. Telephone: (202) 287–
5904. Email:
ApplianceStandardsQuestions@
ee.doe.gov.
Ms. Melanie Lampton, U.S.
Department of Energy, Office of the
General Counsel, GC–33, 1000
Independence Avenue SW, Washington,
DC 20585–0121. Telephone: (240) 571–
5157. Email: Melanie.Lampton@
hq.doe.gov.
For further information on how to
submit a comment, review other public
comments and the docket, or participate
in the public meeting webinar, contact
the Appliance and Equipment
Standards Program staff at (202) 287–
1445 or by email:
ApplianceStandardsQuestions@
ee.doe.gov.
FOR FURTHER INFORMATION CONTACT:
DOE
proposes to maintain a previously
approved incorporation by reference
and to incorporate by reference the
following industry standards into parts
429 and 431:
AHRI Standard 340/360–2022 (I–P),
2022 Standard for Performance Rating
of Commercial and Industrial Unitary
Air-conditioning and Heat Pump
Equipment, AHRI approved January 26,
2022 (AHRI 340/360–2022).
Copies of AHRI 340/360–2022 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/standards/
search-standards.
AHRI Standard 1340(I–P)–202X Draft,
Performance Rating of Commercial and
Industrial Unitary Air-conditioning and
Heat Pump Equipment (AHRI 1340–
202X Draft). AHRI 1340–202X Draft is in
draft form and its text was provided to
DOE for the purposes of review only
during the drafting of this NOPR. If this
industry test standard is formally
adopted, DOE intends to incorporate by
reference the final published version of
AHRI 1340 in DOE’s subsequent test
procedure final rule. If there are
substantive changes between the draft
and published versions for which DOE
receives stakeholder comments in
response to this NOPR recommending
that DOE adopt provisions consistent
with the published version of AHRI
1340, then DOE may consider adopting
those provisions. If there are substantive
changes between the draft and
published versions for which
SUPPLEMENTARY INFORMATION:
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stakeholder comments do not express
support, DOE may adopt the substance
of the AHRI 1340–202X Draft or provide
additional opportunity for comment on
the changes to the industry consensus
standard.
A copy of the AHRI 1340–202X Draft
is provided in the docket for this
rulemaking for review.
ANSI/ASHRAE 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).
Copies of ANSI/ASHRAE 37–2009
can be obtained from the American
Society of Heating, Refrigerating and
Air-Conditioning Engineers, 180
Technology Parkway, Peachtree
Corners, GA 30092, (404) 636–8400, or
online at: www.ashrae.org.
See section IV.M of this document for
a further discussion of these standards.
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Table of Contents
I. Authority and Background
A. Authority
B. Background
II. Synopsis of the Notice of Proposed
Rulemaking
III. Discussion
A. Scope of Applicability
B. Definitions
1. CUAC and CUHP Definition
2. Basic Model Definition
3. Double-Duct Definition
4. Metric Definitions
C. Updates to Industry Test Standards
1. AHRI 340/360
2. AHRI 1340
3. ASHRAE 37
D. Consideration of the ACUAC and
ACUHP Working Group TP Term Sheet
E. DOE Proposed Test Procedures
F. Efficiency Metrics and Test Conditions
1. Comments Received on Metrics
a. IEER Test Conditions and Weighting
Factors
b. Energy Efficiency Metrics for ECUACs
and WCUACs
c. Cyclic Degradation Factor for Cooling
d. Economizing and Ventilation
e. External Static Pressure Requirements
f. Damper Leakage, Energy Recovery
Systems, and Crankcase Heaters
g. Controls Verification Procedure
h. Heating Efficiency Metric
2. Test Conditions Used for Current
Metrics in Appendix A
3. Test Conditions Used for New Metrics in
Proposed Appendix A1
4. IVEC
5. IVHE
a. IVHE for Colder Climates
6. Additions and Revisions to the IVEC and
IVHE Metrics Not Included in the Term
Sheet
a. Cooling Weighting Factors Adjustment
b. ESP Testing Target Calculation
c. Test Instructions for Splitting ESP
Between Return and Supply Ductwork
d. Default Fan Power and Maximum
Pressure Drop for Coil-Only Systems
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e. Component Power Measurement
f. IVHE Equations
g. Non-Standard Low-Static Indoor Fan
Motors
7. Efficiency Metrics for ECUACs and
WCUACs
a. Heat Rejection Components for WCUACs
8. Efficiency Metrics for Double-Duct
Systems
G. Test Method Changes in AHRI Standard
340/360
1. Vertical Separation of Indoor and
Outdoor Units
2. Measurement of Air Conditions
3. Refrigerant Charging Instructions
4. Primary and Secondary Methods for
Capacity Measurements
5. Atmospheric Pressure
a. Adjustment for Different Atmospheric
Pressure Conditions
b. Minimum Atmospheric Pressure
c. Atmospheric Pressure Measurement
6. Condenser Head Pressure Controls
7. Length of Refrigerant Line Exposed to
Outdoor Conditions
8. Indoor Airflow Condition Tolerance
9. ECUACs and WCUACs With Cooling
Capacity Less Than 65,000 Btu/h
10. Additional Test Method Topics for
ECUACs
a. Outdoor Air Entering Wet-Bulb
Temperature
b. Make-Up Water Temperature
c. Piping Evaporator Condensate to
Condenser Sump
d. Purge Water Settings
e. Condenser Spray Pumps
f. Additional Steps To Verify Proper
Operation
H. General Comments Received in
Response to the July 2017 TP RFI
I. Configuration of Unit Under Test
1. Summary
2. Background
3. Proposed Approach for Exclusion of
Certain Components
a. Components Addressed Through Test
Provisions of 10 CFR Part 431, Subpart
F, appendices A and A1
b. Components Addressed Through
Representation Provisions of 10 CFR
429.43
c. Enforcement Provisions of 10 CFR
429.134
d. Testing Specially Built Units That Are
Not Distributed in Commerce
J. Represented Values
1. Cooling Capacity
2. Single-Zone Variable-Air-Volume and
Multi-Zone Variable-Air-Volume
3. Confidence Limit
4. AEDM Tolerance for IVEC and IVHE
5. Minimum Part-Load Airflow
K. Enforcement Procedure for Verifying
Cut-In and Cut-Out Temperatures
L. Proposed Organization of the Regulatory
Text for CUACs and CUHPs
M. Compliance Date
N. Test Procedure Costs and Impact
1. Appendix A
2. Appendix A1
IV. Procedural Issues and Regulatory Review
A. Review Under Executive Orders 12866,
13563 and 14094
B. Review Under the Regulatory Flexibility
Act
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1. Description of Reasons Why Action Is
Being Considered
2. Objectives of, and Legal Basis for, Rule
3. Description and Estimated Number of
Small Entities Regulated
4. Description and Estimate of Compliance
Requirements
a. Cost and Compliance Associated With
Appendix A
b. Cost and Compliance Associated With
Appendix A1
5. Duplication, Overlap, and Conflict With
Other Rules and Regulations
6. Significant Alternatives to the Rule
C. Review Under the Paperwork Reduction
Act of 1995
D. Review Under the National
Environmental Policy Act of 1969
E. Review Under Executive Order 13132
F. Review Under Executive Order 12988
G. Review Under the Unfunded Mandates
Reform Act of 1995
H. Review Under the Treasury and General
Government Appropriations Act, 1999
I. Review Under Executive Order 12630
J. Review Under Treasury and General
Government Appropriations Act, 2001
K. Review Under Executive Order 13211
L. Review Under Section 32 of the Federal
Energy Administration Act of 1974
M. Description of Materials Incorporated
by Reference
V. Public Participation
A. Participation in the Webinar
B. Procedure for Submitting Prepared
General Statements for Distribution
C. Conduct of the Webinar
D. Submission of Comments
E. Issues on Which DOE Seeks Comment
VI. Approval of the Office of the Secretary
I. Authority and Background
Small, large, and very large
commercial package air conditioning
and heating equipment are included in
the list of ‘‘covered equipment’’ for
which DOE is authorized to establish
and amend energy conservation
standards and test procedures. (42
U.S.C. 6311(1)(B)–(D)) Commercial
package air conditioning and heating
equipment includes as equipment
categories the air-cooled commercial
unitary air conditioners with a rated
cooling capacity greater than or equal to
65,000 Btu/h (ACUACs) and air-cooled
commercial unitary heat pumps with a
rated cooling capacity greater than or
equal to 65,000 Btu/h (ACUHPs),
evaporatively-cooled commercial
unitary air conditioners (ECUACs), and
water-cooled commercial unitary air
conditioners (WCUACs), which are the
subject of this NOPR.1 (ECUACs,
1 While ACUACs with rated cooling capacity less
than 65,000 Btu/h are included in the broader
category of CUACs, they are not addressed in this
NOPR. The test procedure for ACUACs with rated
cooling capacity less than 65,000 Btu/h have been
addressed in a separate rulemaking: see Docket No.
EERE–2017–BT–TP–0018–0031. All references
within this NOPR to ACUACs and ACUHPs exclude
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WCUACs, and ACUACs and ACUHPs
including double-duct equipment are
collectively referred to as CUACs and
CUHPs in this document.) The current
DOE test procedures for CUACs and
CUHPs are codified at title 10 of the
Code of Federal Regulations (CFR) part
431, subpart F, section 96, Table 1. The
following sections discuss DOE’s
authority to establish and amend test
procedures for CUACs and CUHPs, as
well as relevant background information
regarding DOE’s proposed amendments
to the test procedures for this
equipment.
A. Authority
The Energy Policy and Conservation
Act, Public Law 94–163 (42 U.S.C.
6291–6317, as codified), as amended
(EPCA),2 authorizes DOE to regulate the
energy efficiency of a number of
consumer products and certain
industrial equipment. (42 U.S.C. 6291–
6317) Title III, Part C 3 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 covered
equipment includes small, large, and
very large commercial package air
conditioning and heating equipment.
(42 U.S.C. 6311(1)(B)–(D)) Commercial
package air conditioning and heating
equipment includes CUACs and CUHPs,
which are the subject of this document.
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)
equipment with rated cooling capacity less than
65,000 Btu/h.
2 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.
3 For editorial reasons, upon codification in the
U.S. Code, Part C was redesignated Part A–1.
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making representations about the
efficiency of that equipment (42 U.S.C.
6314(d)). Similarly, DOE uses these test
procedures to determine whether the
equipment complies with relevant
standards promulgated under EPCA.
Federal energy efficiency
requirements for covered equipment
established under EPCA generally
supersede State laws and regulations
concerning energy conservation testing,
labeling, and standards. (42 U.S.C.
6316(a) and (b); 42 U.S.C. 6297) DOE
may, however, grant waivers of Federal
preemption in limited circumstances 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 also sets
forth the general criteria and procedures
DOE is required to follow when
prescribing or amending test procedures
for covered equipment. Specifically,
EPCA requires that any test procedure
prescribed or amended under this
section must be reasonably designed to
produce test results that reflect energy
efficiency, energy use, and estimated
operating cost of a given type of covered
equipment (or class thereof) during a
representative average use cycle and
requires that such test procedures not be
unduly burdensome to conduct. (42
U.S.C. 6314(a)(2)–(3))
As discussed, CUACs and CUHPs are
classified as commercial package air
conditioning and heating equipment.
EPCA requires that the test procedures
for commercial package air conditioning
and heating equipment be those
generally accepted industry testing
procedures or rating procedures
developed or recognized by AHRI or
ASHRAE, as referenced in ASHRAE
Standard 90.1, ‘‘Energy Standard for
Buildings Except Low-Rise Residential
Buildings’’ (ASHRAE Standard 90.1).
(42 U.S.C. 6314(a)(4)(A)) Further, if such
an industry test procedure is amended,
DOE must update its test procedure to
be consistent with the amended
industry test procedure, unless DOE
determines, by rule published in the
Federal Register and supported by clear
and convincing evidence, that the
amended test procedure would not meet
the requirements in 42 U.S.C. 6314(a)(2)
and (3) related to representative use and
test burden, in which case DOE may
establish an amended test procedure
that does satisfy those statutory
provisions. (42 U.S.C. 6314(a)(4)(B) and
(C))
EPCA also requires that, at least once
every seven years, DOE evaluate test
procedures for each type of covered
equipment, including CUACs and
CUHPs, to determine whether amended
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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)–(3))
In addition, if DOE determines that a
test procedure amendment is warranted,
the Department must publish proposed
test procedures in the Federal Register
and afford interested persons an
opportunity (of not less than 45 days
duration) to present oral and written
data, views, and arguments on the
proposed test procedures. (42 U.S.C.
6314(b)) If DOE determines that test
procedure revisions are not appropriate,
DOE must publish in the Federal
Register its determination not to amend
the test procedures. (42 U.S.C.
6314(a)(1)(A)(ii))
DOE is proposing amendments to the
test procedures for CUACs and CUHPs
in satisfaction of its aforementioned
statutory obligations under EPCA. (42
U.S.C. 6314(a)(4)(A)) and (42 U.S.C
6314(a)(1)–(3))
B. Background
DOE’s existing test procedure for
CUACs and CUHPs appears at 10 CFR
431.96 (Uniform test method for the
measurement of energy efficiency of
commercial air conditioners and heat
pumps). The test procedure for ACUACs
and ACUHPs with a rated cooling
capacity of greater than or equal to
65,000 Btu/h specified in 10 CFR 431.96
references appendix A to subpart F of
part 431 (Uniform Test Method for the
Measurement of Energy Consumption of
Air-Cooled Small (≥65,000 Btu/h),
Large, and Very Large Commercial
Package Air Conditioning and Heating
Equipment, referred to as appendix A in
this document). Appendix A references
certain sections of ANSI/AHRI Standard
340/360–2007, 2007 Standard for
Performance Rating of Commercial and
Industrial Unitary Air-Conditioning and
Heat Pump Equipment, approved by
ANSI on October 27, 2011 and updated
by addendum 1 in December 2010 and
addendum 2 in June 2011 (ANSI/AHRI
340/360–2007); ANSI/ASHRAE
Standard 37–2009, Methods of Testing
for Rating Electrically Driven Unitary
Air-Conditioning and Heat Pump
Equipment (ANSI/ASHRAE 37–2009);
and specifies other test procedure
requirements related to minimum
external static pressure (ESP), optional
break-in period, refrigerant charging,
setting indoor airflow, condenser head
pressure controls, standard airflow and
air quantity, tolerance on capacity at
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part-load test points, and condenser air
inlet temperature for part-load tests.
The DOE test procedure for ECUACs
and WCUACs with a rated cooling
capacity of greater than or equal to
65,000 Btu/h specified in 10 CFR 431.96
incorporates by reference ANSI/AHRI
340/360–2007 (excluding section 6.3 of
ANSI/AHRI 340/360–2007 and
including paragraphs (c) and (e) of
§ 431.96.4) The DOE test procedure for
ECUACs and WCUACs with a rated
cooling capacity of less than 65,000 Btu/
h incorporates by reference ANSI/AHRI
Standard 210/240–2008, ‘‘2008
Standard for Performance Rating of
Unitary Air-Conditioning & Air-Source
Heat Pump Equipment,’’ approved by
ANSI on October 27, 2011 and updated
by addendum 1 in June 2011 and
addendum 2 in March 2012 (ANSI/
AHRI 210/240–2008).
On October 26, 2016, ASHRAE
published ASHRAE Standard 90.1–
2016, which included updates to the
test procedure references for CUACs and
CUHPs (excluding CUACs and CUHPs
with a rated cooling capacity less than
65,000 Btu/h) to reference AHRI
Standard 340/360–2015, 2015 Standard
for Performance Rating of Commercial
and Industrial Unitary Air-Conditioning
and Heat Pump Equipment (AHRI 340/
360–2015).5 This action by ASHRAE
triggered DOE’s obligations under 42
U.S.C. 6314(a)(4)(B), as outlined
previously. On July 25, 2017, DOE
published a request for information
(RFI) (July 2017 TP RFI) in the Federal
Register to collect information and data
to consider amendments to DOE’s test
procedures for certain categories of
commercial package air conditioning
and heating equipment including
CUACs and CUHPs. 82 FR 34427. As
part of the July 2017 TP RFI, DOE
identified several aspects of the
currently applicable Federal test
procedures for CUACs and CUHPs that
might warrant modifications, in
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particular: incorporation by reference of
the most recent version of the relevant
industry standard(s); efficiency metrics
and calculations; and clarification of
test methods. Id. at 82 FR 34439–34445.
DOE also requested comment on any
additional topics that may inform DOE’s
decisions in a future test procedure
rulemaking, including methods to
reduce regulatory burden while
ensuring the procedures’ accuracies. Id.
at 82 FR 34448.
DOE received a number of comments
regarding CUACs and CUHPs in
response to the July 2017 TP RFI from
interested parties. Table I.1 lists the
commenters that provided comments
relevant to CUACs and CUHPs, along
with each commenter’s abbreviated
name used throughout this NOPR.6
Discussion of the relevant comments,
and DOE’s responses, are provided in
the appropriate sections of this
document.
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TABLE I.1—LIST OF COMMENTERS WITH WRITTEN SUBMISSIONS IN RESPONSE TO THE JULY 2017 TP RFI RELEVANT TO
CUACS AND CUHPS
Comment No.
in the docket
Name of commenter
Abbreviation used
Commenter type
Air-Conditioning, Heating, and Refrigeration Institute ...............................................
Appliance Standards Awareness Project, Alliance to Save Energy, American
Council for an Energy-Efficient Economy, Northwest Energy Efficiency Alliance,
and Northwest Power and Conservation Council.
Carrier Corporation ....................................................................................................
Goodman Global Inc ..................................................................................................
Ingersoll Rand ............................................................................................................
Lennox International Inc .............................................................................................
National Comfort Institute ..........................................................................................
Pacific Gas and Electric Company, Southern California Gas Company, San Diego
Gas and Electric, and Southern California Edison; (collectively referred to as the
‘‘California Investor-Owned Utilities’’).
AHRI .......................
ASAP, ASE, et al ...
11
9
Trade Association.
Efficiency Advocacy
Organizations.
Carrier ....................
Goodman ................
Trane ......................
Lennox ....................
NCI .........................
CA IOUs .................
6
14
12
8
4
7
Manufacturer.
Manufacturer.
Manufacturer.
Manufacturer.
Trade Association.
Utilities.
A parenthetical reference at the end of
a comment quotation or paraphrase
provides the location of the item in the
public record.7 For cases in which this
NOPR references comments received in
response to the July 2017 TP RFI (which
are contained within a different
docket 8), the full docket number (rather
than just the document number) is
included in the parenthetical reference.
At the time DOE published the July
2017 TP RFI, the applicable version of
ASHRAE Standard 90.1 was the 2016
edition, which referenced AHRI
Standard 340/360–2015, 2015 Standard
for Performance Rating of Commercial
and Industrial Unitary Air-Conditioning
and Heat Pump Equipment as the test
procedure for CUACs and CUHPs. On
October 24, 2019, ASHRAE published
ASHRAE Standard 90.1–2019, which
updated the relevant AHRI Standard
340/360 reference to the 2019 edition,
2019 Standard for Performance Rating
of Commercial and Industrial Unitary
Air-Conditioning and Heat Pump
Equipment (AHRI 340/360–2019). In
January 2022, AHRI published
additional updates to its test procedure
standard for CUACs and CUHPs, with
the publication of AHRI Standard 340/
360–2022, 2022 Standard for
Performance Rating of Commercial and
Industrial Unitary Air-conditioning and
Heat Pump Equipment (AHRI 340/360–
2022), which DOE is proposing to
reference in the amended test procedure
in appendix A to subpart F of 10 CFR
part 431 in this NOPR. These industry
test standards are discussed further in
section III.C of this NOPR. To the extent
that comments on the July 2017 TP RFI
are still relevant to AHRI 340/360–2022,
DOE addresses such comments in the
following sections.
4 Paragraphs (c) and (e) of 10 CFR 431.96 address
optional break-in provisions and additional
provisions regarding set up, respectively.
5 The previous version of ASHRAE Standard 90.1
(i.e., ASHRAE Standard 90.1–2013) references
ANSI/AHRI 340/360–2007.
6 The parenthetical reference provides a reference
for information located in a docket related to DOE’s
rulemaking to develop test procedures for CUACs
and CUHPs. As noted, the July 2017 RFI addressed
a variety of different equipment categories and is
available under docket number EERE–2017–BT–
TP–0018, which is maintained at
www.regulations.gov. As this NOPR addresses only
CUACs and CUHPs, it has been assigned a separate
docket number (i.e., EERE–2022–BT–STD–0015).
The references are arranged as follows: (commenter
name, comment docket ID number, page of that
document).
7 The parenthetical reference provides a reference
for information located in the relevant docket,
which is maintained at www.regulations.gov. The
references are arranged as follows: (commenter
name, comment docket ID number, page of that
document).
8 Comments submitted in response to the July
2017 TP RFI are available in Docket No. EERE–
2017–BT–TP–0018.
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For ECUACs and WCUACs with a
rated cooling capacity less than 65,000
Btu/h, ASHRAE Standard 90.1–2016
references ANSI/AHRI 210/240–2008.
After the publication of the July 2017
RFI, AHRI published AHRI Standard
210/240–2017, 2017 Standard for
Performance Rating of Unitary Airconditioning & Air-source Heat Pump
Equipment (AHRI 210/240–2017).
ASHRAE Standard 90.1–2019 references
AHRI 210/240–2017 as the test
procedure for ECUACs and WCUACs
with rated cooling capacities less than
65,000 Btu/h. After the publication of
AHRI 210/240–2017, AHRI released two
updates to that industry standard: (1)
AHRI Standard 210/240–2017 with
Addendum 1, 2017 Standard for
Performance Rating of Unitary Airconditioning & Air-source Heat Pump
Equipment (AHRI 210/240–2017 with
Addendum 1), which was published in
April 2019; and (2) AHRI Standard 210/
240–2023, 2023 Standard for
Performance Rating of Unitary Airconditioning & Air-source Heat Pump
Equipment (AHRI 210/240–2023),
which was published in May 2020.
On May 12, 2020, DOE published an
RFI in the Federal Register regarding
energy conservation standards for
ACUACs, ACUHPs, and commercial
warm air furnaces (May 2020 ECS RFI).
85 FR 27941. In response to the May
2020 ECS RFI, DOE received comments
from various stakeholders, including
ones related to the test procedure for
ACUACs and ACUHPs. Table I.2 lists
the stakeholders whose comments in
response to the May 2020 ECS RFI were
related to the ACUAC and ACUHP test
procedures and have been considered in
this rulemaking. For cases in which this
NOPR references comments received in
response to the May 2020 ECS RFI
(which are contained within a different
docket 9), the full docket number (rather
than just the item entry number) is
included in the parenthetical reference.
TABLE I.2—LIST OF COMMENTERS WITH WRITTEN SUBMISSIONS IN RESPONSE TO THE MAY 2020 ECS RFI RELEVANT TO
CUAC AND CUHP TEST PROCEDURES
Name of commenter
Abbreviation used
Comment No.
in the docket
Appliance Standards Awareness Project, American Council for an Energy Efficient
Economy, California Energy Commission, Natural Resources Defense Council,
and Northeast Energy Efficiency Partnerships.
Carrier Corporation ....................................................................................................
Goodman Manufacturing Company ...........................................................................
John Walsh ................................................................................................................
Kristin Heinemeier ......................................................................................................
Northwest Energy Efficiency Alliance ........................................................................
ASAP, ACEEE, et
al.
23
Carrier ....................
Goodman ................
Walsh .....................
Heinemeier .............
NEEA ......................
13
17
18
12
24
Pacific Gas and Electric Company, San Diego Gas and Electric, and Southern
California Edison; (collectively referred to as the ‘‘California Investor-Owned Utilities’’).
Trane Technologies ...................................................................................................
Verified Inc .................................................................................................................
CA IOUs .................
20
Trane ......................
Verified ...................
16
11
On May 25, 2022, DOE published an
RFI in the Federal Register regarding
test procedures and energy
conservations standards for CUACs and
CUHPs (May 2022 TP/ECS RFI). 87 FR
31743. In response to the May 2022 TP/
ECS RFI, DOE notes that it received
comments from various stakeholders
related to the test procedure for CUACs
and CUHPs. Table I.3 lists the
stakeholders whose comments in
response to the May 2022 TP/ECS RFI
were related to the CUAC and CUHP
test procedures and have been
considered in this proposed rulemaking.
For cases in which this NOPR references
Commenter type
Efficiency Advocacy
Organizations and
State Agency.
Manufacturer.
Manufacturer.
Individual.
Individual.
Efficiency Advocacy
Organization.
Utilities.
Manufacturer.
Efficiency Advocacy
Organization.
comments received in response to the
May 2022 TP/ECS RFI (which are
contained within a different docket 10),
the full docket number (rather than just
the item entry number) is included in
the parenthetical reference.
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TABLE I.3—LIST OF COMMENTERS WITH WRITTEN SUBMISSIONS IN RESPONSE TO THE MAY 2022 TP/ECS RFI RELEVANT
TO CUAC AND CUHP TEST PROCEDURES
Comment No.
in the docket
Name of commenter
Abbreviation used
Air-Conditioning Heating and Refrigeration Institute .................................................
Appliance Standards Awareness Project, American Council for an Energy-Efficient
Economy.
Carrier Corporation ....................................................................................................
Lennox International Inc .............................................................................................
New York State Energy Research and Development Authority ................................
Northwest Energy Efficiency Alliance ........................................................................
AHRI .......................
ASAP and ACEEE
8
11
Carrier ....................
Lennox ....................
NYSERDA ..............
NEEA ......................
10
9
7
13
Pacific Gas and Electric Company, San Diego Gas and Electric, and Southern
California Edison; (collectively referred to as the ‘‘California Investor-Owned Utilities’’).
CA IOUs .................
12
9 Comments submitted in response to the May
2020 ECS RFI are available in Docket No. EERE–
2019–BT–STD–0042.
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10 Comments submitted in response to the May
2022 ECS/TP RFI are available in Docket No. EERE–
2022–BT–STD–0015.
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Commenter type
Manufacturer.
Efficiency Advocacy
Organizations.
Manufacturer.
Manufacturer.
State Agency.
Efficiency Advocacy
Organization.
Utilities.
Federal Register / Vol. 88, No. 158 / Thursday, August 17, 2023 / Proposed Rules
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TABLE I.3—LIST OF COMMENTERS WITH WRITTEN SUBMISSIONS IN RESPONSE TO THE MAY 2022 TP/ECS RFI RELEVANT
TO CUAC AND CUHP TEST PROCEDURES—Continued
Name of commenter
Abbreviation used
Trane Technologies ...................................................................................................
Trane ......................
On July 29, 2022, DOE published in
the Federal Register a notice of intent
to establish a working group for
commercial unitary air conditioners and
heat pumps (Working Group) to
negotiate proposed test procedures and
amended energy conservation standards
for this equipment (July 2022 Notice of
Intent). 87 FR 45703. The Working
Group was established under the
Appliance Standards and Rulemaking
Federal Advisory Committee (ASRAC)
in accordance with the Federal
Advisory Committee Act (FACA) (5
U.S.C App 2) and the Negotiated
Rulemaking Act (NRA) (5 U.S.C. 561–
570, Pub. L. 104–320). The purpose of
the Working Group was to discuss, and
if possible, reach consensus on
recommended amendments to the test
procedures and energy conservation
standards for ACUACs and ACUHPs.
The Working Group consisted of 14
voting members, including DOE. (See
appendix A, Working Group Members,
Document No. 65 in Docket No. EERE–
2022–BT–STD–0015) On December 15,
2022, the Working Group signed a term
sheet of recommendations regarding
ACUAC and ACUHP test procedures to
be submitted to ASRAC, the contents of
which are referenced throughout this
NOPR (referred to hereafter as the
ACUAC and ACUHP Working Group TP
Term Sheet). (See Id.) The ACUAC and
ACUHP Working Group TP Term Sheet
was approved by ASRAC on March 2,
2023. These recommendations are
discussed further in section III.D of this
NOPR.
In January 2023, ASHRAE published
ASHRAE Standard 90.1–2022, which
included updates to the test procedure
references for CUACs and CUHPs with
cooling capacities greater than or equal
to 65,000 Btu/h, specifically referencing
AHRI 340/360–2022. For ECUACs and
WCUACs with capacities less than
65,000 Btu/h, ASHRAE Standard 90.1–
2022 references AHRI 210/240–2023.
Notably, ECUACs and WCUACs with
a rated cooling capacity less than 65,000
Btu/h were removed from the scope of
AHRI 210/240–2023, and are instead
included in the scope of AHRI 340/360–
2022. DOE discusses this change in
scope to the industry test procedure and
comments received related to ECUACs
and WCUACs with a cooling capacity
less than 65,000 Btu/h in section III.G.9
of this NOPR.
Following the publication of ASHRAE
Standard 90.1–2022, AHRI is currently
working on an update to the AHRI
standard 340/360 11 (i.e., AHRI Standard
1340(I–P)–202X Draft, Performance
Rating of Commercial and Industrial
Unitary Air-conditioning and Heat
Pump Equipment (AHRI 1340–202X
Draft)).
11 DOE has provided a copy of AHRI 1340–202X
Draft in the docket for this rulemaking, available at
www.regulations.gov/docket/EERE-2023-BT-TP0014. AHRI Standard 1340 is in draft form and its
text was provided to DOE for the purposes of
review only during the drafting of this NOPR. Note
that the draft AHRI Standard 1340 may be further
revised, edited, delayed, or withdrawn prior to
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II. Synopsis of the Notice of Proposed
Rulemaking
In this NOPR, DOE proposes to
update its test procedures for CUACs
and CUHPs by: (1) updating the
reference in the Federal test procedure
to the most recent version of the
industry test procedure, AHRI 340/360–
2022, for measuring integrated energy
efficiency ratio (IEER), energy efficiency
ratio (EER), and coefficient of
performance (COP); and (2) establishing
a new test procedure that references the
most recent draft version of industry test
procedure, AHRI 1340–202X Draft, and
is consistent with recommendations
from the ACUAC and ACUHP Working
Group TP Term Sheet that DOE should
include new efficiency metrics
(integrated ventilation, economizer, and
cooling (IVEC) and integrated
ventilation and heating efficiency
(IVHE)) and new testing requirements. If
a finalized version of AHRI 1340–202X
Draft is not published before the final
rule or if there are substantive changes
between the draft and published
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Comment No.
in the docket
14
Commenter type
Manufacturer.
versions of AHRI 340/360, DOE may
adopt the substance of the AHRI 1340–
202X Draft or provide additional
opportunity for comment on the final
version of that industry consensus
standard.
To implement the proposed changes,
DOE proposes: (1) to amend appendix A
to incorporate by reference AHRI 340/
360–2022 for CUACs and CUHPs, while
maintaining the current efficiency
metrics; and (2) to add a new appendix
A1 to subpart F of 10 CFR part 431. At
10 CFR part 431.96, ‘‘Uniform test
method for the measurement of energy
efficiency of commercial air
conditioners and heat pumps,’’ DOE
would list appendix A1 as the
applicable test method for CUACs and
CUHPs for any standards denominated
in terms of IVEC and IVHE. Appendix
A1 would utilize the AHRI 1340–202X
Draft, including the new IVEC and IVHE
efficiency metrics recommended by the
ACUAC and ACUHP Working Group TP
Term Sheet. Use of appendix A1 would
not be required until such time as
compliance is required with any
amended energy conservation standard
based on the new metrics, should DOE
adopt such standards. After the date on
which compliance with appendix A1
would be required, appendix A would
no longer be used as part of the Federal
test procedure. DOE is also proposing
more general updates to establish a
definition for the terms ‘‘commercial
unitary air conditioner’’ and
‘‘commercial unitary heat pump.’’
Lastly, DOE is proposing to amend
certain provisions within DOE’s
regulations for representation and
enforcement consistent with the
proposed test procedure amendments.
Table I.1 summarizes the current DOE
test procedure for CUACs and CUHPs,
DOE’s proposed changes to that test
procedure, and the reason for each
proposed change.
publication by the AHRI Standards Technical
Committee (STC).
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TABLE II.1—SUMMARY OF CHANGES IN PROPOSED TEST PROCEDURE RELATIVE TO CURRENT TEST PROCEDURE
Current DOE test procedure
Proposed test procedure
Attribution
Incorporates by reference .................................................
1. ANSI/AHRI 340/360–2007 for CUACs and
CUHPs with a cooling capacity greater than or
equal to 65,000 Btu/h; and
2. ANSI/AHRI 210/240–2008 for ECUACs and
WCUACs with a cooling capacity less than
65,000 Btu/h.
Includes provisions for determining EER, IEER, and
COP.
Incorporate by reference AHRI 340/360–2022 and
ANSI/ASHRAE 37–2009 in appendix A. Utilize AHRI
1340–202X Draft and incorporate by reference ANSI/
ASHRAE 37–2009 in a new appendix A1.
Update to the most recent
industry test procedures.
Appendix A maintains provisions for determining EER,
IEER, and COP. Appendix A1 includes provisions for
determining EER2, COP2, IVEC, and IVHE.
Includes provisions in 10 CFR 429.43 specific to
CUACs and CUHPs to determine represented values
for units with specific components, and to prevent
cooling capacity over-rating.
Adopts product-specific enforcement provisions for
CUACs and CUHPs regarding: (1) verification of
cooling capacity for determining ESP requirements
and (2) testing of units with specific components.
Updates to the applicable
industry test procedures.
ddrumheller on DSK120RN23PROD with PROPOSALS3
Does not include certain CUAC and CUHP provisions
regarding over-rating capacity and specific components for determination of represented values in 10
CFR 429.43.
Does not include certain CUAC- and CUHP-specific enforcement provisions in 10 CFR 429.134.
Should DOE adopt the amendments
described in this proposed rule, the
effective date for the amended test
procedure would be 30 days after
publication of the test procedure final
rule in the Federal Register.
DOE has tentatively determined that
the proposed amendments to the CUAC
and CUHP test procedures would not be
unduly burdensome. Furthermore, DOE
has tentatively determined that the
proposed amendments to appendix A, if
made final, would not alter the
measured efficiency of CUACs and
CUHPs or require retesting or
recertification solely as a result of DOE’s
adoption of the proposed amendments
to the test procedure. Additionally, DOE
has tentatively determined that the
proposed amendments to appendix A, if
made final, would not increase the cost
of testing. If finalized, representations of
energy use or energy efficiency would
be required to be based on testing in
accordance with the amended test
procedure in appendix A beginning 360
days after the date of publication of the
test procedure final rule in the Federal
Register.
DOE has tentatively determined,
however, that the newly proposed test
procedure at appendix A1 would alter
the measured efficiency of CUACs and
CUHPs, in part because the amended
test procedure would adopt different
energy efficiency metrics than in the
current test procedure. DOE has
tentatively determined that the
proposed amendments to appendix A1,
if made final, would increase the cost of
testing relative to the current test
procedure. Tentative cost estimates are
discussed in section III.M of this
document. As discussed, use of
appendix A1 would not be required
until the compliance date of any
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amended energy conservation standard
denominated in terms of the new
metrics in appendix A1, should DOE
adopt such standards.
The proposed amendments to
representation requirements in 10 CFR
429.43 would not be required until 360
days after publication in the Federal
Register of a test procedure final rule.
Discussion of DOE’s proposed actions
are addressed in detail in section III of
this NOPR.
III. Discussion
In the following sections, DOE
proposes certain amendments to its test
procedures for CUACs and CUHPs. For
each proposed amendment, DOE
provides relevant background
information, explains why the
amendment merits consideration,
discusses relevant public comments,
and proposes a potential approach.
A. Scope of Applicability
This rulemaking applies to ACUACs
and ACUHPs with a rated cooling
capacity greater than or equal to 65,000
Btu/h, including double-duct air
conditioners and heat pumps, as well as
ECUACs and WCUACs of all capacities.
Definitions that apply to CUACs and
CUHPs are discussed in section III.B of
this NOPR.
DOE’s regulations for CUACs and
CUHPs cover both single-package units
and split systems. See the definition of
‘‘commercial package air-conditioning
and heating equipment’’ at 10 CFR
431.92. A split system consists of a
condensing unit—which includes a
condenser coil, condenser fan and
motor, and compressor—that is paired
with a separate component that includes
an evaporator coil to form a complete
refrigeration circuit for space
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Improve representativeness
of test procedure.
Clarify how DOE will conduct enforcement testing.
conditioning. One application for
condensing units is to be paired with an
air handler (which includes an
evaporator coil), such that the combined
system (i.e., the condensing unit with
air handler) meets the definition of a
split system CUAC or CUHP. It should
be pointed out that AHRI has a
certification program for unitary large
equipment that includes certification of
CUACs, CUHPs, and condensing units.
DOE notes that as part of the AHRI
certification program for unitary large
equipment, manufacturers who sell aircooled condensing units with a rated
cooling capacity greater than or equal to
65,000 Btu/h and less than 135,000 Btu/
h must certify condensing units as a
complete system (i.e., paired with an air
handler) according to the AHRI 340/360
test procedure.12 However, for
condensing units with a rated cooling
capacity greater than or equal to 135,000
Btu/h and less than 250,000 Btu/h, the
AHRI certification program allows
manufacturers to certify condensing
units as a complete system according to
AHRI 340/360 or optionally certify as a
condensing unit only according to AHRI
Standard 365, ‘‘Standard for
Performance Rating of Commercial and
Industrial Unitary Air-Conditioning
Condensing Units’’ (AHRI 365). DOE
emphasizes that these AHRI testing and
certification requirements differ from
the Federal test procedure at 10 CFR
431.96, which requires testing to ANSI/
AHRI 340/360–2007 and does not
permit certifying to DOE as a
condensing unit only according to AHRI
365. Additionally, the AHRI
12 See appendix A of the AHRI Unitary Large
Equipment Certification Program Operations
Manual (January 2021). This can be found at
https://www.ahrinet.org/sites/default/files/2022-08/
ULE_OM.pdf.
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certification program does not include
unitary split systems or condensing
units with cooling capacities above
250,000 Btu/h, whereas the Federal test
procedure and standards (codified at 10
CFR 431.96 and 10 CFR 431.97,
respectively) cover all CUACs and
CUHPs with cooling capacities up to
760,000 Btu/h. Once again, DOE
emphasizes that condensing unit
models distributed in commerce with
air handlers with cooling capacities up
to 760,000 Btu/h are covered as
commercial package air-conditioning
and heating equipment (see definition at
10 CFR 431.92) and as such are subject
to the Federal regulations specified for
CUACs and CUHPs regarding test
procedures (10 CFR 431.96), energy
conservation standards (10 CFR 431.97),
and certification and representation
requirements (10 CFR 429.43).
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B. Definitions
1. CUAC and CUHP Definition
In the May 2020 ECS RFI, DOE
requested comment on whether the
definitions that apply to CUACs and
CUHPs (including the definitions for
small, large, and very large commercial
package air conditioning and heating
equipment) require any revisions—and
if so, how those definitions should be
revised. 85 FR 27941, 27945 (May 12,
2020). DOE also requested comment on
whether additional equipment
definitions are necessary to close any
potential gaps in coverage between
equipment types. Id.
Trane commented that the overall
definition for commercial package air
conditioning and heating equipment is
very broad and covers equipment that is
used in specific industrial applications
(e.g., computer room air conditioners
(CRACs), dedicated outdoor air systems
(DOASes), and indoor agricultural
systems) for which the CUAC/CUHP test
procedure and IEER metric should not
apply.13 Trane recommended that DOE
should separately regulate these
categories of equipment with specific
definitions, test procedures, and energy
conservation standards. (Trane, EERE–
2019–BT–STD–0042–0016, pp. 2–3)
Goodman commented that ambiguity
exists regarding DOASes used for dryclimate applications, as these systems
could be rated and tested in accordance
with AHRI Standard 340/360, as well as
AHRI Standard 920, and that updating
definitions to address these specific
13 The IEER metric represents a weighted average
of full-load and part-load efficiencies, weighted
according to the average amount of time operating
at each load point. Additionally, IEER incorporates
reduced condenser temperatures (i.e., reduced
outdoor ambient temperatures) for part-load
operation.
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system types based on mixed-air or 100percent air applications would provide
some clarity in the marketplace.
(Goodman, EERE–2019–BT–STD–0042–
0017, p. 2)
Regarding DOASes, in a final rule
published in the Federal Register on
July 27, 2022, DOE defined a direct
expansion-dedicated outdoor air system
(DX–DOAS) as a unitary dedicated
outdoor air system that is capable of
dehumidifying air to a 55 °F dew
point—when operating under Standard
Rating Condition A as specified in Table
4 or Table 5 of AHRI 920–2020
(incorporated by reference, 10 CFR
431.95) with a barometric pressure of
29.92 in Hg—for any part of the range
of airflow rates advertised in
manufacturer materials, and has a
moisture removal capacity of less than
324 lb/h. 87 FR 45164, 45170, 45198.
DOE has tentatively concluded that this
definition provides the requisite
specificity sought by Goodman’s
comment.
More broadly, as in this NOPR, DOE
has previously used the colloquial terms
‘‘commercial unitary air conditioners’’
and ‘‘commercial unitary heat pump’’
(i.e., CUACs and CUHPs), to refer to
certain commercial package air
conditioning and heating equipment,
recognizing that CUAC is not a statutory
term and is not currently used in the
CFR. See 79 FR 58948, 58950 (Sept. 30,
2014); 80 FR 52676, 52676 (Sept. 1,
2015). As codified in regulation, the
classes for which EPCA prescribed
standards have been grouped under the
headings ‘‘commercial air conditioners
and heat pumps’’ (10 CFR 431.96, Table
1) and ‘‘air conditioning and heating
equipment’’ (10 CFR 431.97, Table 1),
although these are not defined terms.
These classes have also been identified
by the broader equipment type with
which they are associated (i.e., small,
large, or very large commercial package
air conditioning and heating
equipment). Id. DOE agrees with the
commenters that a more tailored
definition regarding the equipment
categories covered by these umbrella
terms may provide additional benefits
in terms of clarity.
Consequently, in this NOPR, DOE
proposes to establish a definition for
‘‘commercial unitary air conditioner and
commercial unitary heat pump’’ to
assist in distinguishing between the
regulated categories of commercial
package air conditioning and heating
equipment. The proposed definition is
structured to indicate categories of
commercial package air conditioning
and heating equipment that are
excluded from the definition, rather
than stipulating features or
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56399
characteristics of CUACs and CUHPs.
Specifically, the proposed definition
would exclude single package vertical
air conditioners and heat pumps
(SPVUs), variable refrigerant flow multisplit air conditioners and heat pumps,
and water-source heat pumps. To the
extent that a unit could be considered
either a CUAC or a CRAC, such unit
would be excluded from the CUAC
definition if marketed solely for
applications specific to the CRAC
equipment category. To the extent that
a unit could be either a CUAC or a DX–
DOAS, such unit would be excluded
from the CUAC definition if it is only
capable of providing ventilation and
conditioning of 100-percent outdoor air
or it is marketed in all materials as only
having such capability. DOE notes that,
when gathering information for
potential enforcement of CRAC, CUAC
or a DX–DOAS standards, DOE may
consider marketing materials claiming
that a unit is a CRAC, CUAC or DX–
DOAS by any party. Any marketing, by
any party, could signal that a unit is not
only a CRAC, CUAC, or a DX–DOAS.
DOE notes that to the extent that a basic
model is covered under more than one
equipment category (e.g., CRAC and
CUAC) it would be subject to the
regulations applicable to each
equipment class that covers that basic
model.
DOE proposes the following
definition: Commercial unitary air
conditioner and commercial unitary
heat pump means any small, large, or
very large air-cooled, water-cooled, or
evaporatively-cooled commercial
package air conditioning and heating
equipment that consists of one or more
factory-made assemblies that provide
space conditioning; but does not
include:
(1) single package vertical air
conditioners and heat pumps,
(2) variable refrigerant flow multisplit air conditioners and heat pumps,
(3) water-source heat pumps;
(4) equipment marketed only for use
in computer rooms, data processing
rooms, or other information technology
cooling applications, and
(5) equipment only capable of
providing ventilation and conditioning
of 100-percent outdoor air marketed
only for ventilation and conditioning of
100-percent outdoor air.
DOE recognizes that there may be
models on the market that would be
covered by DOE regulations for multiple
equipment categories. As discussed in a
previous notice addressing CRACs, such
models would have to be tested and
rated according to the requirements for
each applicable equipment class of
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standards (e.g., CRAC and CUAC). See
77 FR 16769, 16773 (March 22, 2012).
Issue 1: DOE seeks comment on its
proposed definition for CUACs and
CUHPs.
2. Basic Model Definition
The current definition for ‘‘basic
model’’ in DOE’s regulations includes a
provision applicable for ‘‘small, large,
and very large air-cooled or watercooled commercial package air
conditioning and heating equipment
(excluding air-cooled, three-phase,
small commercial package air
conditioning and heating equipment
with a cooling capacity of less than
65,000 Btu/h).’’ 10 CFR 431.92.
Consistent with DOE’s proposed
definition for ‘‘commercial unitary air
conditioner and commercial unitary
heat pump,’’ DOE proposes to similarly
update the definition of ‘‘basic model’’
so that this provision instead applies to
the proposed term ‘‘commercial unitary
air conditioner and commercial unitary
heat pump.’’ DOE notes that the term in
the current ‘‘basic model’’ definition
includes ACUACs, ACUHPs, and
WCUACs, but does not explicitly
include ECUACs, (DOE notes that the
definition of ‘‘commercial package airconditioning and heating equipment’’ at
10 CFR 431.92 makes clear that that
term includes evaporatively-cooled
equipment. Consequently, ECUACs are
clearly part of the relevant basic model
definition, so the omission of the term
‘‘evaporatively-cooled’’ from the
heading should not impact the proper
functioning and use of the test
procedure. However, DOE is proposing
to update the relevant heading to dispel
any confusion in that regard.) This
proposal thereby includes ECUACs in
this provision of the ‘‘basic model’’
definition—i.e., because ECUACs are
included within the proposed term
‘‘commercial unitary air conditioner and
commercial unitary heat pump,’’ as
discussed in section III.B.1 of this
NOPR. It would further clarify that this
provision of the ‘‘basic model’’
definition refers only to CUACs and
CUHPs, and not to any other category of
equipment that is ‘‘small, large, and
very large commercial package air
conditioning and heating equipment’’.
DOE also proposes editorial changes
more generally to the definition of
‘‘basic model’’ specified in 10 CFR
431.92. The current definition begins
with ‘‘Basic model includes’’ and each
equipment category-specific provision
of the definition begins with the
equipment category name, followed by
the word ‘‘means,’’ followed by the
basic model definition for that category
(e.g., ‘‘Computer room air conditioners
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means all units . . .’’). However, this
wording could be misinterpreted to read
as a definition of each equipment
category, rather than as the definition of
what constitutes a basic model for each
equipment category. Therefore, DOE
proposes to revise the definition to
instead begin with ‘‘Basic model
means’’ and then revise each equipment
category specific provision to begin with
‘‘For’’ and replace the word ‘‘means’’
with a colon (e.g., ‘‘For Computer room
air conditioners: all units . . .’’). These
proposed changes to the basic model
definition are editorial and would not
change the current understanding of
what constitutes a basic model for each
equipment category.
3. Double-Duct Definition
DOE established a definition for
‘‘double-duct air conditioner or heat
pump’’ at 10 CFR 431.92 (referred to as
‘‘double-duct air conditioners and heat
pumps’’ or ‘‘double-duct systems’’) in
an energy conservation standards direct
final rule published in the Federal
Register on January 15, 2016 (January
2016 Direct Final Rule). 81 FR 2420,
2529. This definition was included in a
term sheet by the ASRAC working group
for commercial package air conditioners
(Commercial Package Air Conditioners
Working Group) as part of the
rulemaking that culminated with the
January 2016 Direct Final Rule. (See
Document No. 93 in Docket No. EERE–
2013–BT–STD–0007, pp. 4–5) DOE
defines double-duct systems as aircooled commercial package air
conditioning and heating equipment
that: (1) Is either a horizontal single
package or split-system unit; or a
vertical unit that consists of two
components that may be shipped or
installed either connected or split; (2) Is
intended for indoor installation with
ducting of outdoor air from the building
exterior to and from the unit, as
evidenced by the unit and/or all of its
components being non-weatherized,
including the absence of any marking
(or listing) indicating compliance with
UL 1995,14 ‘‘Heating and Cooling
Equipment,’’ or any other equivalent
requirements for outdoor use; (3) If it is
a horizontal unit, a complete unit has a
maximum height of 35 inches; if it is a
vertical unit, a complete unit has a
maximum depth of 35 inches; and (4)
Has a rated cooling capacity greater than
or equal to 65,000 Btu/h and up to
300,000 Btu/h. 10 CFR 431.92.
In the May 2020 ECS RFI, DOE
requested comment on whether the
14 Underwriters Laboratory (UL) 1995, UL
Standard for Safety for Heating and Cooling
Equipment (UL 1995).
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definitions that apply to ACUACs and
ACUHPs, including double-duct
systems, require any revisions—and if
so, how those definitions should be
revised. 85 FR 27941, 27945. (May 12,
2020).
In response to the May 2020 ECS RFI,
Carrier recommended that DOE review
the current definitions for double-duct
systems, as well as the definition for
SPVUs, asserting that the current
definitions for double-duct systems and
SPVUs do not clearly delineate the two
equipment categories. Carrier stated that
while double-duct systems and SPVUs
are extraordinarily similar in
application, double-duct systems have
longer ductwork to bring air from
outside the building to the condensing
section of the unit, whereas SPVUs must
remain in close proximately to an
exterior wall. (Carrier, EERE–2019–BT–
STD–0042–0013 at p. 2)
In response, DOE notes that section
3.7 of AHRI 340/360–2022 and section
3.12 of the AHRI 1340–202X Draft
specify the following definition for
double-duct systems: an air conditioner
or heat pump that complies with all of
the following: (1) Is either a horizontal
single package or split-system unit; or a
vertical unit that consists of two
components that can be shipped or
installed either connected or split; or a
vertical single packaged unit that is not
intended for exterior mounting on,
adjacent interior to, or through an
outside wall; (2) Is intended for indoor
installation with ducting of outdoor air
from the building exterior to and from
the unit, where the unit and/or all of its
components are non-weatherized; (3) If
it is a horizontal unit, the complete unit
shall have a maximum height of 35 in.
or the unit shall have components that
do not exceed a maximum height of 35
in. If it is a vertical unit, the complete
(split, connected, or assembled) unit
shall have components that do not
exceed maximum depth of 35 in.; (4)
Has a rated cooling capacity greater than
and equal to 65,000 Btu/h and less than
or equal to 300,000 Btu/h.
In comparison to DOE’s definition,
DOE notes the following regarding the
definition for double-duct system in
section 3.7 of AHRI 340/360–2022 and
section 3.12 of the AHRI 1340–202X
Draft: (1) vertical single packaged units
not intended for exterior mounting on,
adjacent interior to, or through an
outside wall can be classified as doubleduct systems; (2) the maximum
dimensions apply to each component of
a split system; and (3) the AHRI 340/
360–2022 and AHRI 1340–202X Draft
definition does not include compliance
with UL 1995 as a criterion for
determining whether a model is non-
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weatherized. For the reasons discussed
in the following paragraphs, DOE has
tentatively concluded that the definition
for double-duct system in section 3.7 of
AHRI 340/360–2022 and section 3.12 of
the AHRI 1340–202X Draft more
appropriately classifies double-duct
systems and differentiates this
equipment from other categories of
commercial package air conditioning
and heating equipment.
Regarding vertical single package
units, the DOE definitions for SPVUs at
10 CFR 431.92 include models that are
intended for exterior mounting on,
adjacent interior to, or through an
outside wall. In the January 2016 Direct
Final Rule, DOE agreed with the
exclusion of vertical single package
units from the definition for ‘‘doubleduct system’’ because SPVUs are
separately regulated.15 81 FR 2420, 2446
(Jan. 15, 2016). However, the exclusion
of all vertical single package units from
the definition for ‘‘double-duct system’’
adopted in the January 2016 Direct Final
Rule means that vertical single package
models that do not meet the SPVU
definition (i.e., are not intended for
exterior mounting on, adjacent interior
to, or through an outside wall) are not
explicitly covered by the definitions for
SPVUs or double-duct systems. Because
the reasoning provided in the January
2016 Direct Final Rule was to exclude
SPVUs from the double-duct definition,
DOE has tentatively concluded that
vertical single package units that do not
meet the SPVU definition were
inadvertently excluded from the DOE
double-duct definition. Therefore, DOE
has tentatively determined that the
clarification in the AHRI 340/360–2022
definition for ‘‘double-duct systems’’
(i.e., inclusion of vertical single package
units not intended for exterior mounting
on, adjacent interior to, or through an
outside wall) is appropriate and
consistent with the intent of the
Commercial Package Air Conditioners
Working Group that initially drafted the
current ‘‘double-duct system’’
definition. See 81 FR 2420, 2446. (Jan.
15, 2016). This clarification also
addresses Carrier’s concern that the
current definitions do not clearly
differentiate double-duct systems from
SPVUs.
15 Specifically,
DOE stated in the January 2016
Direct Final Rule that single package vertical units
are already covered under separate standards (10
CFR 431.97(d)). As a result, to ensure that SPVUs
are not covered under the definition of double-duct
equipment, DOE agrees with the ASRAC Term
Sheet recommendations that for vertical doubleduct units, only those with split configurations (that
may be installed with the two components attached
together) should be included as part of this separate
equipment class.
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Regarding maximum height and depth
dimensions, the revised definition in
section 3.7 of AHRI 340/360–2022 and
section 3.12 of the AHRI 1340–202X
draft specifies that for systems with
multiple components, the maximum
dimensions apply to each component of
the unit. Because split systems are
installed separately from each other,
DOE has tentatively concluded that it is
appropriate for the maximum
dimensions for split systems to apply to
each component, rather than the
combined system.
Regarding determination of whether a
model is non-weatherized, the AHRI
340/360–2022 and AHRI 1340–202X
Draft definition does not include the
criterion regarding the absence of any
marking (or listing) indicating
compliance with UL 1995 as an
indication that the unit is intended for
indoor installation. Upon examination
of UL 1995, DOE recognizes that the
scope of the standard is not limited to
models intended for outdoor
installation, and therefore, that
compliance with UL 1995 does not
necessarily indicate that a model is
intended for outdoor installation and/or
is weatherized. Therefore, DOE
tentatively agrees with removing the
reference to UL 1995 in the double-duct
definition, and instead specifying that
double-duct systems are intended for
indoor installation (e.g., the unit and/or
all of its components are nonweatherized).
Based on the preceding discussion,
DOE has tentatively determined that the
definition for ‘‘double-duct system’’ in
AHRI 340/360–2022 and the AHRI
1340–202X Draft better implements the
intent of DOE and the Commercial
Package Air Conditioners Working
Group to create a separate equipment
class of ACUACs and ACUHPs that are
designed for indoor installation and that
would require ducting of outdoor air
from the building exterior. 81 FR 2420,
2446 (Jan. 15, 2016). Thus, DOE is
proposing to revise the definition of
double-duct air conditioners and heat
pumps in 10 CFR 431.92 to reflect the
updated definition for double-duct
systems in section 3.7 of AHRI 340/360–
2022 and section 3.12 of the AHRI
1340–202X Draft.
4. Metric Definitions
As mentioned in section II and
discussed in further detail in sections
III.F.4 and III.F.5 of this NOPR, DOE is
proposing to adopt new cooling and
heating metrics in appendix A1 (i.e.,
IVEC and IVHE). Additionally, DOE is
proposing three metrics for optional
representations in appendix A1, as
discussed further in section III.F.3 of
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this NOPR: energy efficiency ratio 2
(EER2), coefficient of performance 2
(COP2), and IVHE for colder climates
(IVHEC). Consistent with this approach,
DOE is proposing to add new
definitions for the terms ‘‘IVEC,’’
‘‘IVHE,’’ ‘‘EER2,’’ and ‘‘COP2’’ to 10
CFR 431.92. The proposed definitions
describe what each metric represents,
the test procedure used to determine
each metric, and specific designations
applicable to each metric (e.g., IVHEC).
C. Updates to Industry Test Standards
The following sections discuss the
changes included in the most recent
updates to AHRI 340/360 and ASHRAE
37, which are incorporated by reference
in the current DOE test procedure for
ACUACs and ACUHPs with a rated
cooling capacity greater than or equal to
65,000 Btu/h at 10 CFR 431.96 and 10
CFR part 431, subpart F, appendix A.
AHRI 340/360 is also incorporated by
reference in the current DOE test
procedure for ECUACs and WCUACs
with a rated cooling capacity greater
than or equal to 65,000 Btu/h at 10 CFR
431.96.
1. AHRI 340/360
As noted previously, DOE’s current
test procedures for ACUACs, ACUHPs,
and ECUACs and WCUACs with a rated
cooling capacity greater than or equal to
65,000 Btu/h incorporates by reference
ANSI/AHRI 340/360–2007. DOE’s
current test procedure for ECUACs and
WCUACs with a rated cooling capacity
less than 65,000 Btu/h incorporates by
reference ANSI/AHRI 210/240–2008.
The most recent version of ASHRAE
Standard 90.1, (i.e., ASHRAE Standard
90.1–2022), references AHRI 340/360–
2022 as the test procedure for ACUACs,
ACUHPs, and ECUACs and WCUACs
with a rated cooling capacity greater
than or equal to 65,000 Btu/h. ASHRAE
Standard 90.1–2022 included updates to
the test procedure references for
ECUACs and WCUACs with capacities
less than 65,000 Btu/h to reference
AHRI 210/240–2023. However, ECUACs
and WCUACs with capacities less than
65,000 Btu/h are outside of the scope of
AHRI 210/240–2023 and are instead
included in AHRI 340/360–2022. Given
these changes to the relevant industry
test standards, DOE believes that such
reference was an oversight.
The following list includes
substantive additions in AHRI 340/360–
2022 as compared to ANSI/AHRI 340/
360–2007, which is edition referenced
in the current Federal test procedure
and applies to CUACs and CUHPs:
1. A method for testing double-duct
systems at non-zero ESP (see section
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6.1.3.7 and appendix I of AHRI 340/
360–2022);
2. A method for comparing relative
efficiency of indoor integrated fan and
motor combinations (IFMs) that allows
CUACs and CUHPs with non-standard
(i.e., higher ESP) IFMs to be rated in the
same basic model as otherwise identical
models with standards IFMs (see section
D4.2 of Appendix D of AHRI 340/360–
2022);
3. Requirements for indoor and
outdoor air condition measurement (see
appendix C of AHRI 340/360–2022);
4. Detailed provisions for setting
indoor airflow and ESP (see sections
6.1.3.4–6.1.3.6 of AHRI 340/360–2022)
and refrigerant charging instructions to
be used in cases in which
manufacturer’s instructions conflict or
are incomplete (see section 5.8 of AHRI
340/360–2022); and
5. ECUACs and WCUACs with
cooling capacities less than 65,000 Btu/
h are included within the scope of the
standard.
As discussed, DOE is proposing to
amend its test procedure for CUACs and
CUHPs by incorporating by reference
AHRI 340/360–2022 in appendix A.
2. AHRI 1340
The recommendations of the ACUAC
and ACUHP Working Group TP Term
Sheet are being incorporated into an
updated version of AHRI 340/360
currently being drafted (i.e., AHRI
1340–202X Draft) that will supersede
AHRI 340/360–2022.
The AHRI 1340–202X Draft includes
recommendations from the ACUAC and
ACUHP Working Group TP Term Sheet
described in section III.D of this NOPR
(including the IVEC and IVHE metrics).
The AHRI 1340–202X Draft also
includes the following revisions and
additions to the IVEC and IVHE metrics
not included in the ACUAC and ACUHP
Working Group TP Term Sheet, which
are discussed in detail in sections
III.F.5.a, III.F.6, and III.F.7.a of this
NOPR:
1. Detailed test instructions for
splitting ESP between the return and
supply ductwork, consistent with ESP
requirements recommended in the
ACUAC and ACUHP Working Group TP
Term Sheet;
2. Corrections to the hour-based IVEC
weighting factors included in the
ACUAC and ACUHP Working Group TP
Term Sheet;
3. Correction of the equation in the
ACUAC and ACUHP Working Group TP
Term Sheet for calculating adjusted ESP
for any cooling or heating tests
conducted with an airflow rate that
differs from the full-load cooling
airflow;
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4. Addition of separate hour-based
weighting factors and bin temperatures
to calculate a separate version of IVHE
that is representative of colder climates,
designated IVHEC
5. Changes to the default fan power
and maximum pressure drop used for
testing coil-only systems;
6. Additional instruction for
component power measurement during
testing;
7. Corrections to equations used for
calculating IVHE;
8. Provisions for testing with nonstandard low-static indoor fan motors;
and
9. Revision to the power adder for
WCUACs that reflects power that would
be consumed by field-installed heat
rejection components.
In this NOPR, DOE proposes to
incorporate by reference the AHRI
1340–202X Draft in its appendix A1 test
procedure. AHRI Standard 1340 is in
draft form and its text was provided to
DOE for the purposes of review for this
NOPR. Note that the draft AHRI
Standard 1340 may be further revised,
edited, delayed, or withdrawn prior to
publication by the AHRI Standards
Technical Committee. If AHRI has
published a final version, DOE intends
to update its incorporation by reference
to the final published version of AHRI
1340, unless there are substantive
changes between the draft and
published versions, in which case DOE
may adopt the substance of the AHRI
1340–202X Draft or provide additional
opportunity for comment on the
changes to the industry consensus
standard.
3. ASHRAE 37
ANSI/ASHRAE 37–2009, which
provides a method of test for many
categories of air conditioning and
heating equipment, is referenced for
testing CUACs and CUHPs by both
AHRI 340/360–2022 and the AHRI
1340–202X Draft. More specifically,
sections 5 and 6 and appendices C, D,
and E of AHRI 340/360–2022 and
sections 5 and 6 and appendices C, D,
and E of the AHRI 1340–202X Draft
reference methods of test in ANSI/
ASHRAE 37–2009. DOE currently
incorporates by reference ANSI/
ASHRAE 37–2009 in 10 CFR 431.95,
and the current incorporation by
reference applies to the current Federal
test procedure for ACUACs and
ACUHPs specified at appendix A. The
current Federal test procedures at 10
CFR 431.96 for ECUACs and WCUACs
do not explicitly reference ANSI/
ASHRAE 37–2009. Given that DOE is
proposing to expand the scope of
appendix A to include testing of
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ECUACs and WCUACs as well as the
fact that AHRI 340/360–2022 references
ANSI/ASHRAE 37–2009 for several test
instructions, DOE has tentatively
concluded that it is appropriate for the
existing incorporation by reference of
ANSI/ASHRAE 37–2009 in appendix A
to apply to testing ECUACs and
WCUACs. Given that the AHRI 1340–
202X Draft references ANSI/ASHRAE
37–2009 for several test instructions,
DOE is proposing to additionally
incorporate by reference ANSI/ASHRAE
37–2009 for use with appendix A1.
D. Consideration of the ACUAC and
ACUHP Working Group TP Term Sheet
In response to the May 2022 TP/ECS
RFI, DOE received comments from
several stakeholders indicating support
for the formation of an ASRAC working
group to convene and discuss
representative test conditions for
CUACs and CUHPs. (AHRI, EERE–
2022–BT–STD–0015–0008, at pp. 1–2;
CA IOUs, EERE–2022–BT–STD–0015–
0012, at pp. 1–2; Lennox, EERE–2022–
BT–STD–0015–0009, at pp. 1–2; NEEA,
EERE–2022–BT–STD–0015–0013, at pp.
6–7; Trane, EERE–2022–BT–STD–0015–
0014, at p. 2)
As a result, DOE published in the
Federal Register the July 2022 Notice of
Intent. 87 FR 45703 (July 29, 2022). DOE
then established the Working Group in
accordance with FACA and NRA. The
Working Group consisted of 14
members and met six times, while the
Working Group’s subcommittee met an
additional seven times. The Working
Group meetings were held between
September 20, 2022, and December 15,
2022, after which the Working Group
successfully reached consensus on an
amended test procedure. The Working
Group signed a term sheet of
recommendations on December 15,
2022. (See EERE–2022–BT–STD–0015–
0065) The Working Group addressed the
following aspects of the test procedure
for ACUACs and ACUHPs:
1. Mathematical representation of
cooling efficiency: The current cooling
metric specified by AHRI 340/360–2022
(i.e., IEER) represents a weighted
average of the measured energy
efficiency ratios (EER) measured at four
distinct test conditions, whereas the
proposed IVEC metric is calculated as
the total annual cooling capacity
divided by the total annual energy use,
as discussed further in section III.F.4 of
this document. The Working Group
agreed that this calculation approach
provides a more mathematically
accurate way of representing the cooling
efficiency of ACUACs and ACUHPs
compared to the current approach used
for IEER. As part of this equation format,
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the IVEC metric also uses hour-based
weighting factors to represent the time
spent per year in each operating mode.
2. Integrated heating metric: The
current heating metric for ACUHPs (i.e.,
COP) represents the ratio of heating
capacity to the power input, calculated
at a single test condition of 47 °F. COP
does not account for the performance at
part-load or over the range of
temperatures seen during an average
heating season, and it does not include
energy use in heating season ventilation
mode. IVHE accounts for both full-load
and part-load operation at a range of
typical ambient temperatures seen
during the heating season, and it
includes energy use in heating season
ventilation mode. Analogous to IVEC,
the proposed IVHE metric is calculated
as the total annual heating load divided
by the total annual energy use, as
discussed further in section III.F.5 of
this document, and the metric also uses
hour-based weighting factors to
represent the time spent per year in
each operating mode.
3. Operating modes other than
mechanical cooling: The IEER metric
currently does not include the energy
use of operating modes other than
mechanical cooling, such as
economizer-only cooling and cooling
season ventilation. The newly
established IVEC metric includes the
energy use of these other modes.
4. ESP: The IVEC and IVHE metrics
require increased ESPs—in comparison
to the ESPs required for determining
IEER and COP—to more accurately
represent ESPs and corresponding
indoor fan power that would be
experienced in real-world installations.
5. Crankcase heater operation: The
current IEER metric includes crankcase
heater power consumption only when
operating at part-load compressor stages
(i.e., for part-load cooling operation,
crankcase heater power is included only
for higher-stage compressors that are
staged off, and it is not included for
lower-stage compressors when all
compressors are cycled off). The COP
metric does not include any crankcase
heater power consumption. In contrast,
the IVEC and IVHE metrics include all
annual crankcase heater operation,
including when all compressors are
cycled off in part-load cooling or
heating, ventilation mode, unoccupied
no-load hours, and in heating season
(for ACUACs only).
6. Oversizing: The current IEER and
COP metrics do not consider that
ACUACs and ACUHPs are typically
oversized in field installations. In
contrast, the proposed IVEC and IVHE
metrics include an oversizing factor of
15 percent (i.e., it is assumed that the
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unit’s measured full-load cooling
capacity is 15 percent higher than the
peak building cooling load and peak
building heating load). Accounting for
oversizing is more representative of the
load fractions seen in field applications
and better enables the test procedure to
differentiate efficiency improvements
from the use of modulating/staged
components.
Based on discussions related to these
six topics, the Working Group
developed the ACUAC and ACUHP
Working Group TP Term Sheet, which
includes the following
recommendations:
1. A recommendation to adopt the
latest version of AHRI 340/360–2022
with IEER and COP metrics required for
compliance beginning 360 days from the
date a test procedure final rule
publishes (See Recommendation #0);
2. The IVEC efficiency metric, to be
required on the date of amended energy
conservation standards for ACUACs and
ACUHPs (See Recommendation #1);
3. Hour-based weighting factors for
the IVEC metric (See Recommendation
#2);
4. Details on determination of IVEC,
including provisions for determining
IVEC in appendix B of the ACUAC and
ACUHP Working Group TP Term Sheet
(See Recommendation #3);
5. Target load fractions and
temperature test conditions for IVEC,
which account for oversizing (See
Recommendation #4);
6. A requirement that representations
of full-load EER be made in accordance
with the full-load ‘‘A’’ test (See
Recommendation #5); 16
7. A requirement to provide
representations of airflow used for the
full load ‘‘A’’ test and the part load ‘‘D’’
test (i.e., the airflow used in the loweststage test for the D point), and a
provision for determining the minimum
airflow that can be used for testing (See
Recommendation #6);
8. The IVHE efficiency metric (See
Recommendation #7);
9. Hour-based weighting factors, load
bins, and outdoor air temperatures for
each bin (i.e., temperatures used for the
building heating load line, not test
temperature conditions) for the IVHE
metric (See Recommendation #8);
10. The test conditions and list of
required and optional tests and
representations for the IVHE metric (See
Recommendation #9);
16 Similar to the current test procedure for
determining IEER, the test procedure recommended
in the ACUAC and ACUHP Working Group TP
Term Sheet includes four cooling tests designated
with letters ‘‘A’’, ‘‘B’’, ‘‘C’’, and ‘‘D.’’ The ‘‘A’’ test
is a full-load cooling test, while the ‘‘B,’’ ‘‘C,’’ and
‘‘D’’ tests are part-load cooling tests.
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11. Provisions for manufacturers to
certify cut-in and cut-out temperatures
for heat pumps to DOE and provisions
for a DOE verification test of those
temperatures (See Recommendation
#10);
12. Commitment of the Working
Group to analyze ventilation and fanonly operation included in the IVEC and
IVHE metrics to validate that these
metrics adequately capture fan energy
use during the energy conservation
standards portion of the negotiated
rulemaking. If the IVEC and IVHE levels
do not adequately drive more efficient
air moving systems that are
technologically feasible and
economically justified, the Working
Group committed to developing a metric
addressing furnace fan energy use (See
Recommendation #11);
13. ESP requirements for the IVEC
and IVHE metrics, requirements for
splitting the ESP requirements between
the return and supply ducts, and a
requirement that certified airflow for
full load and D bin be made public in
the DOE Compliance Certification
Database (See Recommendation #12);
14. Provisions requiring
manufacturers to certify crankcase
heater wattages and tolerances for
certification (See Recommendation #13);
and
15. Provisions that the contents of the
ACUAC and ACUHP Working Group TP
Term Sheet be implemented in a test
procedure NOPR and final rule, with the
final rule issuing no later than any
energy conservation standards direct
final rule. (See Recommendation #14)
E. DOE Proposed Test Procedures
As discussed, EPCA requires that test
procedures for covered equipment,
including CUACs and CUHPs, be
reasonably designed to produce test
results that reflect energy efficiency,
energy use, and estimated operating
costs of a type of industrial equipment
(or class thereof) during a representative
average use cycle (as determined by the
Secretary), and shall not be unduly
burdensome to conduct. (42 U.S.C.
6314(a)(2)) DOE has tentatively
determined that the recommendations
specified in the ACUAC and ACUHP
Working Group TP Term Sheet are
consistent with this EPCA requirement
and is proposing amendments to the
existing test procedure in appendix A
and a new test procedure in appendix
A1 in accordance with the Term Sheet.
In this NOPR, DOE is proposing to
maintain the current efficiency metrics
of IEER, EER, and COP in appendix A,
and is proposing to reference AHRI 340/
360–2022 in appendix A for measuring
the existing metrics. Thus, the proposed
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amendments to appendix A would not
affect the measured efficiency of CUACs
and CUHPs or require retesting solely as
a result of DOE’s adoption of the
proposed amendments to the appendix
A test procedure, if made final.
Additionally, DOE is proposing to
establish a new test procedure at
appendix A1 that would adopt the AHRI
1340–202X Draft, including the newly
proposed IVEC and IVHE metrics,
ideally through incorporation by
reference of a finalized version of that
industry test standard. (If a finalized
version of the AHRI 1340–202X Draft is
not published before the test procedure
final rule, or if there are substantive
changes between the draft and
published versions of the standard that
are not supported by stakeholder
comments in response to this NOPR,
DOE may adopt the substance of the
AHRI 1340–202X Draft or provide
additional opportunity for comment on
the final version of that industry
consensus standard.) Use of appendix
A1 would not be required until the
compliance date of any amended
standards denominated in terms of the
new metrics in appendix A1, should
such standards be adopted.
Specifically, in appendix A, DOE is
proposing to adopt the following
sections of AHRI 340/360–2022:
sections 3 (with certain exclusions 17), 4,
5, and 6, and appendices A, C, D
(excluding sections D1 through D3 18),
and E.
As previously mentioned in section
I.B of this NOPR, DOE’s test procedure
for ACUACs and ACUHPs currently
specifies additional test procedure
requirements in sections 3 through 10 of
the current appendix A that are not
included in ANSI/AHRI 340/360–2007
and that are related to minimum ESP,
optional break-in period, refrigerant
charging, setting indoor airflow,
condenser head pressure controls,
tolerance on capacity at part-load test
points, and condenser air inlet
17 DOE is not proposing to reference the following
provisions in section 3 of AHRI 340/360–2022
because the terms are either defined at 10 CFR
431.92 or are not needed for the proposed DOE test
procedure: 3.2 (Basic Model), 3.4 (Commercial and
Industrial Unitary Air-conditioning Equipment), 3.5
(Commercial and Industrial Unitary Heat Pump),
3.7 (Double-duct System), 3.8 (Energy Efficiency
Ratio), 3.12 (Heating Coefficient of Performance),
3.14 (Integrated Energy Efficiency Ratio), 3.23
(Published Rating), 3.26 (Single Package AirConditioners), 3.27 (Single Package Heat Pumps),
3.29 (Split System Air-conditioners), 3.30 (Split
System Heat Pump), 3.36 (Year Round Single
Package Air-conditioners).
18 For reasons discussed in section III.I of this
NOPR, DOE is proposing provisions regarding
configuration of unit under test at 10 CFR
429.43(a)(3)(v)(A), appendix A, and appendix A1
that are distinct from the provisions in sections D1
through D3 of AHRI 340/360–2022.
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temperature for part-load tests.
Similarly, DOE’s test procedure for
ECUACs and WCUACs currently
specifies additional test procedure
requirements in paragraphs (c) and (e) of
10 CFR 431.96 regarding optional breakin period and additional provisions for
equipment setup. DOE has tentatively
determined that these DOE test
procedure requirements that are
specified in appendix A and paragraphs
(c) and (e) of 10 CFR 431.96 no longer
need to be separately specified due to
the addition of equivalent provisions in
AHRI 340/360–2022 and the AHRI
1340–202X Draft. Therefore, DOE is
proposing to remove these provisions
from appendix A and to revise Table 1
to 10 CFR 431.96 such that paragraphs
(c) and (e) are no longer listed as
requirements for ECUACs and
WCUACs, instead utilizing the relevant
provisions in AHRI 340/360–2022.
Further, in both appendix A and
appendix A1, DOE is proposing to
incorporate by reference ANSI/ASHRAE
37–2009 and to utilize all sections of
that industry test method except
sections 1 (Purpose), 2 (Scope), and 4
(Classifications).
Specifically for appendix A1, DOE is
proposing to adopt sections of AHRI
1340–202X Draft for measuring the IVEC
and IVHE metrics, which are generally
consistent with the recommendations
from the ACUAC and ACUHP Working
Group TP Term Sheet. In the proposed
appendix A1, DOE is proposing to adopt
the following sections of the AHRI
1340–202X Draft: sections 3 (with
certain exclusions) 4, 5, and 6.1 through
6.3, and appendices A, C, D (excluding
D1 through D3), and E. Sections III.F.3,
III.F.4, III.F.5, and III.F.6 of this NOPR
include further discussion on the IVEC
and IVHE metrics, as well as additions
and revisions to the IVEC and IVHE
metrics that are included in the AHRI
1340–202X Draft but not in the ACUAC
and ACUHP Working Group TP Term
Sheet. Sections III.F.7 and III.F.6.d of
this NOPR include further discussion on
the IVEC and IVHE metrics specified in
the AHRI 1340–202X Draft that DOE is
proposing to adopt in appendix A1 for
ECUACs, WCUACs, and double-duct
systems.
The ACUAC and ACUHP Working
Group TP Term Sheet applies only to
the test procedures for ACUACs and
ACUHPs excluding double-duct
systems. However, AHRI 1340–202X
Draft includes additional provisions for
determining IVEC and IVHE for doubleduct systems, ECUACs, and WCUACs—
indicating industry consensus that these
metrics are appropriate for these
categories of CUACs and CUHPs. DOE
has tentatively determined that the test
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procedures for CUACs and CUHPs as
proposed would improve the
representativeness of the current
Federal test procedure for CUACs and
CUHPs and would not be unduly
burdensome to conduct. Specifically,
DOE has tentatively concluded that
testing CUACs and CUHPs (including
double-duct systems, ECUACs, and
WCUACs) in accordance with the test
provisions in the most recent draft of
the applicable consensus industry test
procedure AHRI 1340–202X Draft
(which incorporates recommendations
of the ACUAC and ACUHP Working
Group TP Term Sheet, including
adopting the new IVEC and IVHE
metrics) would provide more
representative results and more fully
comply with the requirements of 42
U.S.C. 6314(a)(2) than testing strictly in
accordance with AHRI 340/360–2022.
Therefore, DOE is proposing to amend
the test procedure for CUACs and
CUHPs to adopt in the proposed new
appendix A1 the test provisions in
AHRI 1340–202X Draft and ASHRAE
37–2009.
Issue 2: DOE requests feedback on its
proposal to adopt the IVEC and IVHE
metrics as determined under AHRI
1340–202X Draft in appendix A1 of the
Federal test procedure for ACUACs and
ACUHPs (including double-duct
systems), ECUACs, and WCUACs.
F. Efficiency Metrics and Test
Conditions
In response to the July 2017 TP RFI,
May 2020 ECS RFI, and May 2022 TP/
ECS RFI, DOE received comment on a
number of topics related to changing the
metrics and/or test conditions used for
determining CUAC and CUHP
efficiency. The following sections: (1)
summarize comments received on these
topics; (2) discuss the current test
conditions and metrics in appendix A;
(3) discuss the test conditions and
metrics proposed to be included in
appendix A1; (4) discuss the newly
proposed IVEC metric; (5) discuss the
newly proposed IVHE metric; (6)
discuss additions and revisions to the
IVEC and IVHE metrics that are
included in the AHRI 1340–202X Draft
but not the ACUAC and ACUHP
Working Group TP Term Sheet; and (7)
discuss metrics specific to double-duct
systems.
1. Comments Received on Metrics
In response to the July 2017 TP RFI,
May 2020 ECS RFI, and May 2022 TP/
ECS RFI, DOE received comments
regarding a number of test procedure
topics. In the following subsections,
DOE briefly summarizes these topics,
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including the corresponding comments
received and DOE’s responses.
DOE notes that many of the issues
raised by commenters had not yet been
addressed through an industry
consensus test procedure at the time the
comments were submitted to DOE.
Many of these issues were raised
subsequently during the Working
Group, and the newly proposed IVEC
and IVHE metrics would largely address
the major concerns previously
expressed by commenters.
a. IEER Test Conditions and Weighting
Factors
In the July 2017 TP RFI, DOE
welcomed comment on any aspect of
the existing test procedures for CUACs
and CUHPs not specifically addressed
by the RFI, particularly with regard to
information that would improve the
representativeness of the test
procedures. 82 FR 34427, 34448. (July
25, 2017).
With respect to the IEER test
conditions and weighting factors, the
CA IOUs suggested raising the highest
ambient dry-bulb temperature test point
used for determining IEER, stating that
the 95 °F condition specified in the test
procedure does not reflect the
conditions experienced in the western
climate and on many rooftops
throughout the country. (CA IOUs,
EERE–2017–BT–TP–0018–0007 at p. 3)
Additionally, in response to the May
2020 ECS RFI, DOE received comments
and test data from Verified
recommending changes to the IEER
weighting factors and indoor and
outdoor air temperature test conditions
in AHRI 340/360, particularly to
account for the use of economizers
(discussed further in section III.F.1.d)
and changes in climate due to global
climate change. (Verified, EERE–2019–
BT–STD–0042–0011 at pp. 3–7) DOE
also received comments from two
individuals supporting the statements
made by Verified. (Heinemeier, EERE–
2019–BT–STD–0042–0012 at p. 1;
Walsh, EERE–2019–BT–STD–0042–
0018 at p. 1)
In response to the May 2022 TP/ECS
RFI, DOE received several comments
regarding the weighting factors used in
the IEER metric, specifically relating to
the building types considered in the
current test procedure. ASAP and
ACEEE asserted that the current IEER
weighting factors should be adjusted to
account for additional building types
that were not considered when initially
developing IEER. (ASAP and ACEEE,
EERE–2022–BT–STD–0015–0011, at p.
2)
Carrier noted that IEER was
developed using three building types
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(specifically, office, retail, and school
buildings) and asserted that for an
updated analysis, the 16 building types
currently in ASHRAE 90.1 should be
considered where applicable to
ACUACs and ACUHPs. (Carrier, EERE–
2022–BT–STD–0015–0010, at pp. 14–
15) Carrier also noted that it had
developed a model that outputs load
profiles for the 16 ASHRAE 90.1
building types for each of the 19 global
climate zones in ASHRAE 169–2013
and was using its model to evaluate the
effects of ventilation, ASHRAE 90.1
requirements for economizer free
cooling and energy recovery, updated
heating metrics, different climate zones
and building load profiles, and updated
ESPs. (Carrier, EERE–2022–BT–STD–
0015–0010, at pp. 1–6)
Additionally, Carrier noted that the
weighting factors developed during the
2005 process to create IEER were based
on ton-hours and not purely on hours,
noting that high-capacity hours have
more weight than the lower capacity
hours in terms of energy use. (Carrier,
EERE–2022–BT–STD–0015–0010, at pp.
12–13). Carrier also explained that the
weighting for the A test condition was
based on the 97-percent to 100-percent
capacity range because it would not
have been appropriate to use a larger bin
with the rating condition at the extreme
upper limit of the bin. Id. Carrier
recommended that if DOE were to
update the cooling metric, DOE should
consider the following: (1) oversizing,
(2) re-evaluating test points and
weighting factors if ventilation and
economizing are included, (3) test
uncertainty at very low loads, and (4)
varying return air temperatures. Id.
AHRI stated that energy use during
cooling varies based on climate zone,
building type, construction, and use,
and that ASHRAE SSPC 90.1 has
developed reference cities for all 19
climate zones and defined 16 reference
buildings that represent 83 percent of
the market. (AHRI, EERE–2022–BT–
STD–0015–0008, at p. 5)
As presented in the September 20–21,
2022, Working Group meetings, the
Working Group evaluated the weighting
factors and test conditions specified in
conjunction with the newly proposed
IVEC metric using the models
developed by Carrier, which include
several ASHRAE 90.1 building types
and climate zones for which ACUACs
and ACUHPs are installed. (See EERE–
2022–BT–STD–0015–0019, pp. 9–22)
The weighting factors and their
development are further discussed in
section III.F.4 of this NOPR. DOE
believes that these provisions address
the issues raised by commenters as
summarized previously in this section,
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and proposes to adopt in appendix A1
the adjusted IVEC weighting factors that
are specified in AHRI 1340–202X Draft
and discussed in section III.F.6.a of this
NOPR.
b. Energy Efficiency Metrics for ECUACs
and WCUACs
For ECUACs and WCUACs of all
regulated cooling capacities, DOE
currently prescribes standards in terms
of the EER metric for cooling-mode
operation. 10 CFR 431.97(b); see Table
1 to 10 CFR 431.97. This differs from
ACUACs and ACUHPs with cooling
capacities greater than or equal to
65,000 Btu/h (excluding double-duct
systems), for which DOE currently
prescribes energy conservation
standards in terms of the IEER metric for
cooling-mode operation and in terms of
COP for heating-mode operation. 10
CFR 431.97(b); see Table 3 and Table 4
to 10 CFR 431.97. Unlike EER, which
represents the efficiency of the
equipment operating only at full load,
IEER represents the efficiency of
operating at part-load conditions of 75
percent, 50 percent, and 25 percent of
capacity in addition to the efficiency at
full load. The IEER metric provides a
more representative measure of energy
consumption in actual operation of
CUACs and CUHPs by weighting the
full-load and part-load efficiencies with
the average amount of time the
equipment spends operating at each
load point. AHRI 340/360–2022
includes both the EER and IEER metrics
for ECUACs and WCUACs. ASHRAE
90.1–2019 and ASHRAE 90.1–2022
specify minimum efficiency levels for
ECUACs and WCUACs in terms of both
EER and IEER.
As discussed in the July 2017 RFI,
ANSI/AHRI 340/360–2007 includes a
method for testing and calculating IEER
for ECUACs and WCUACs. DOE
requested comment and data on
whether the IEER part-load conditions
and IEER weighting factors are
representative of the operation of fieldinstalled ECUACs and WCUACs, and on
the typical cycling losses of fieldinstalled ECUACs and WCUACs. 82 FR
34427, 34440 (July 25, 2017).
On this topic, AHRI, Carrier, and
Goodman commented that the
weighting factors are based on building
load profiles and should not depend on
equipment category. (AHRI, EERE–
2017–BT–TP–0018–0011 at p. 22;
Carrier, EERE–2017–BT–TP–0018–0006
at p. 8; Goodman, EERE–2017–BT–TP–
0018–0014 at p. 3) ASAP, ASE, et al.
encouraged DOE to adopt IEER as the
efficiency metric for ECUACs and
WCUACs, stating that ECUACs and
WCUACs spend most of their operating
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time in part load, and that using IEER
for these equipment types would
provide consistency in ratings with
ACUACs and ACUHPs and better
represent performance in the field.
(ASAP, ASE, et al., EERE–2017–BT–TP–
0018–0009 at pp. 4–5) In contrast,
Goodman stated that the WCUAC
market is so small that there would be
no value in changing the regulated
metric to IEER for such equipment.
(Goodman, EERE–2017–BT–TP–0018–
0014 at p. 3)
DOE responds to these commenters as
follows. In the proposed appendix A, for
ECUACs and WCUACs, DOE proposes
to include both the required EER metric
and the optional IEER metric, as well as
the test procedure specified in AHRI
340/360–2022, in the DOE test
procedure so as to allow for required
representations using the EER metric
and optional representations using the
IEER metric. In a final determination
published in the Federal Register on
July 14, 2021, DOE discussed the
potential for amended energy
conservation standards for ECUACs and
WCUACs denominated in terms of IEER,
but the Department concluded that such
a metric change was not warranted and
ultimately maintained the current
standards denominated in terms of EER.
86 FR 37001, 37004–37005. As part of
this rulemaking, DOE is proposing the
IEER provisions as an optional test
procedure to allow for consistent and
comparable representations in terms of
IEER when testing to appendix A,
should a manufacturer choose to make
such representations.
As discussed, DOE is proposing to
adopt the IVEC metric for ECUACs and
WCUACs in the proposed appendix A1,
as determined in the AHRI 1340–202X
Draft. DOE has tentatively concluded
that the inclusion of the IVEC metric for
ECUACs and WCUACs in AHRI 1340–
202X Draft represents industry
consensus that the metric provides a
representative measure of efficiency for
ECUACs and WCUACs. Section III.F.6.d
of this NOPR includes further
discussion of the IVEC metric for
ECUACs and WCUACs.
c. Cyclic Degradation Factor for Cooling
In section 6.2.3.2 of AHRI 340/360–
2022, units that are unable to reduce
their capacity to meet one of the IEER
part load rating points (i.e., 75 percent,
50 percent, or 25 percent) are tested
under steady-state conditions at the
minimum stage of compression that the
unit is able to achieve. In real-world
installations, these same units would
typically operate under non-steady-state
conditions because the compressor
would cycle to reduce the unit’s
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capacity to meet the desired cooling
load. AHRI 340/360–2022 require units
unable to reduce their capacity below
one of the part load rating points have
the EER for that rating point calculated
using a cyclic degradation coefficient.
This degradation coefficient, which is
calculated based on the load fraction
and ranges from 1 to 1.13, is included
in the denominator of the EER
calculation for that rating point and is
multiplied by the sum of the compressor
and condenser fan power in order to
simulate the efficiency degradation of
compressor and condenser fan cycling.
With respect to cyclic degradation,
DOE received a comment in response to
the July 2017 TP RFI from the CA IOUs
recommending that DOE investigate the
cyclic degradation factor in AHRI 340/
360–2015 to verify that the degradation
coefficient will never exceed 1.13. (CA
IOUs, EERE–2017–BT–TP–0018–0007 at
p. 2)
DOE also received a comment in
response to the May 2020 ECS RFI from
Verified questioning the validity of the
cyclic degradation factor in AHRI 340/
360–2019, stating that its laboratory
tests found that relative cycling losses of
a 7.5-ton system were more than double
the losses for a 3-ton system. (Verified,
EERE–2019–BT–STD–0042–0011 at p.
10)
While the Working Group discussed
calculation methods for IVEC during the
ACUAC and ACUHP Working Group
meetings, the Working Group did not
discuss any alternatives to the cyclic
degradation approach specified in AHRI
340/360–2022. Additionally, the
ACUAC and ACUHP Working Group TP
Term Sheet includes the cyclic
degradation calculation method
specified in AHRI 340/360–2022 as part
of the IVEC metric calculation method.
At this time, DOE lacks clear and
convincing evidence to deviate from the
cyclic degradation approach in AHRI
340/360–2022 that is recommended in
the ACUAC and ACUHP Working Group
TP Term Sheet and included in AHRI
1340–202X Draft. Therefore, DOE is not
proposing to adopt a cyclic degradation
approach that differs from the approach
specified in these documents.
d. Economizing and Ventilation
In 2015, DOE initiated a rulemaking
effort for the ASRAC Commercial and
Industrial Fans and Blowers Working
Group (CIFB Working Group) to
negotiate the scope, test procedure, and
standards for commercial and industrial
fans and blowers. 80 FR 17359. The
CIFB Working Group issued a term
sheet with recommendations regarding
the energy conservation standards, test
procedures, and efficiency metrics for
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commercial and industrial fans and
blowers (CIFB Term Sheet). (See
Document No. 179 in Docket No. EERE–
2013–BT–STD–0006.) Recommendation
#3 of the CIFB Term Sheet identifies a
need for DOE’s test procedures and
related efficiency metrics for CUACs
and CUHPs to more fully account for the
energy consumption of fans embedded
in regulated commercial airconditioning equipment. (Id. at pp. 3–4)
In addition, the CIFB Working Group
recommended that in the next round of
test procedure rulemakings, DOE should
consider revising efficiency metrics that
include energy use of supply and
condenser fans to include the energy
consumption during all relevant
operating modes (e.g., auxiliary heating
mode, ventilation mode, and part-load
operation). (Id.)
The Commercial Package Air
Conditioners Working Group also
developed recommendations regarding
fan energy use in a term sheet. (See
Document No. 93 in Docket No. EERE–
2013–BT–STD–0007) The Commercial
Package Air Conditioners Working
Group recommended that DOE initiate a
rulemaking with a primary focus of
better representing total fan energy use
in real-world installations, including
consideration of fan operation for
operating modes other than mechanical
cooling and heating.19 (Id. at p. 2)
As part of the July 2017 TP RFI, DOE
requested comment and data on the
operation of CUAC and CUHP supply
fans when there is no demand for
heating and cooling, as well as the
impact of ancillary functions (e.g.,
primary heating, auxiliary heating, and
economizers 20) on the use and
operation of the supply fan. 82 FR
34427, 34440.
In response to the July 2017 TP RFI,
Carrier and AHRI commented that fan
operation in ventilation hours cannot
properly be accounted for without
including economizer operation in
testing. (Carrier, EERE–2017–BT–TP–
0018–0006 at p. 9; AHRI, EERE–2017–
BT–TP–0018–0011 at p. 23)
AHRI and Goodman commented that
manufacturers and third-party
laboratories do not currently have test
19 Mechanical cooling and heating refer to a
ACUAC and ACUHP using the refrigeration cycle to
cool and heat the indoor space, and does not refer
to other forms of unit operation (e.g., economizing,
ventilation, or supplemental heating).
20 An economizer is a system that enables an
ACUAC or ACUHP to supply outdoor air instead of
return air from the conditioned space in order to
reduce or eliminate mechanical cooling operation
in mild or cold weather conditions. In economizeronly cooling, the indoor fan runs to supply outdoor
air to meet cooling load, but there is no mechanical
cooling operation—i.e., compressor(s) and
condenser fans do not operate.
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facilities that can accommodate testing
of ACUACs and ACUHPs with
economizers operating because such
testing requires air to be pulled from the
outdoor room into the indoor room.
(AHRI, EERE–2017–BT–TP–0018–0011
at p. 22; Goodman, EERE–2017–BT–TP–
0018–0014 at p. 3) AHRI further stated
that because of the lack of test facilities
to accommodate this type of testing,
incorporation of ventilation into an
efficiency metric is still not practical.
(AHRI, EERE–2017–BT–TP–0018–0011
at p. 23)
In the May 2022 TP/ECS RFI, DOE
acknowledged a need to further
investigate the prevalence and operating
hours of economizers and ventilation.
DOE requested comment and data on
several issues including the number of
units installed with economizers per
climate zone, the operating hours of
economizers by climate zone, and the
methodology used to determine
operating hours in each cooling mode,
especially those that might contribute to
the creation of a new metric.
In response to the May 2022 TP/ECS
RFI, the CA IOUs, NYSERDA, and
ASAP and ACEEE commented that the
current test procedure does not account
for the fan energy use outside of
mechanical cooling and heating modes.
(CA IOUs, EERE–2022–BT–STD–0015–
0012, at p. 2; ASAP and ACEEE, EERE–
2022–BT–STD–0015–0011, at pp. 1–2,
NYSERDA, EERE–2022–BT–STD–0015–
0007, at p. 3)
Specifically, the CA IOUs
recommended that DOE consider the
California 2022 Title 24 codes and
standards enhancement effort for
potential solutions. (CA IOUs, EERE–
2022–BT–STD–0015–0012, at p. 2)
NYSERDA recommended that DOE
consider factoring in fan energy using
temperature rise provisions, further
detailed in comments submitted by
NYSERDA in response to the
commercial warm air furnace test
procedure NOPR published February 5,
2022 (see 87 FR 10726). (NYSERDA,
EERE–2022–BT–STD–0015–0007, at p.
3)
Regarding the distribution of installed
economizers, AHRI stated that although
many economizers are field-installed,
AHRI is considering collecting data on
factory-installed economizers,
particularly by state or climate zone.
(AHRI, EERE–2022–BT–STD–0015–
0008, at p. 5) AHRI did not provide any
such data in its comment.
ASAP and ACEEE cited AHRI data
indicating that economizers are
typically installed in CUACs. ASAP and
ACEEE noted that ASHRAE 90.1–2019
requires economizers in all but one
climate zone, suggesting the importance
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of incorporating fan energy use during
economizer only cooling mode. (ASAP
and ACEEE, EERE–2022–BT–STD–
0015–0011, at pp. 1–2)
Lennox commented that its
information indicates that the
percentage of CUACs and CUHPs
shipped with factory installed
economizers ranges from around 30
percent to 80 percent by state, averaging
around 55 percent in the U.S. (Lennox,
EERE–2022–BT–STD–0015–0009, at p.
5) Lennox noted that the total
percentage is likely far higher than this
level when field-installed economizers
are taken into account. Id. Lennox also
stated that its information indicates that
a higher fraction of equipment in
northern climates contain economizers
than in warmer southern climates.
Lennox recommended that DOE review
the standard and code requirements for
where economizers are required in order
to assess the fraction of products
installed with economizers in each
climate zone. Id.
Carrier commented that, based on the
market distribution data used for the
ASHRAE 90.1 determination,
economizers are required on
approximately 96 percent of the 16
reference buildings’ weighted sales.
(Carrier, EERE–2022–BT–STD–0015–
0010, at pp. 9–10)
Regarding economizer hours and
methodology for determination of hours
in each bin load, AHRI stated that DOE
should use the heating and cooling load
modeling used to develop IEER to
understand the heating, cooling, and
economizing hours for CUACs and
CUHPs. (AHRI, EERE–2022–BT–STD–
0015–0008, at p. 3)
Carrier provided data showing the
hours CUACs and CUHPs spend in
economizer only, integrated
economizer, and mechanical only
cooling developed as part of ASHRAE
90.1 economizer studies it has
conducted. (Carrier, EERE–2022–BT–
STD–0015–0010, at p. 12) Carrier stated
that the 2005 analysis performed to
determine the IEER metric was based on
the mechanical cooling operation,
including hours where integrated
economizers are used, but that it did not
account for the benefits of the
economizer capacity. (Carrier, EERE–
2022–BT–STD–0015–0010, at pp. 12–
13)
In addition to distribution and
operating information, DOE received
multiple recommendations in response
to the May 2022 TP/ECS RFI relating to
the inclusion of economizer or
ventilation data in a new efficiency
metric.
The CA IOUs stated that economizer
performance is highly dependent on the
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use of climate-zone appropriate
controls, and that economizers are often
shipped with conservative default
control settings appropriate for warm
and moist areas. (CA IOUs, EERE–2022–
BT–STD–0015–0012, at pp. 3–4) The CA
IOUs asserted that including
economizers in the CUAC and CUHP
energy efficiency metric would not be
beneficial because it would preempt
climate-zone-dependent economizer
requirements in building codes. Id. The
CA IOUs explained that economizers
and their installed controls are often
sold by third parties, and that original
equipment manufacturers (OEMs)
usually do not determine the method of
economizer control or quality of
construction. Id. The CA IOUs stated
that DOE may need to determine if
independently manufactured
economizers fall within its statutory
authority and if it is feasible to regulate
them. Id. Furthermore, the CA IOUs
asserted that designing a test procedure
that measures a significant difference
between models may be challenging
unless the test includes operation as an
integrated economizer, in which case
the difference in performance would be
driven by the unit’s capacity control and
turndown capability. Id.
Carrier asserted that the downside of
including the ventilation cooling hours
in a new cooling metric is that it would
decrease the focus on the mechanical
cooling, and that evaluation of
mechanical cooling performance was
the intent of the current IEER metric.
(Carrier, EERE–2022–BT–STD–0015–
0010, at pp. 9–10) Carrier requested that
if the IEER metric and test procedure are
modified to include ventilation fan
power, the benefits of the economizer
and also energy recovery be included to
account for the actual capabilities of
such a large application base. Id.
Based on comments received in
response to the July 2017 TP RFI and
the May 2020 ECS RFI, DOE recognized
in the May 2022 TP/ECS RFI a need to
further investigate fan operation during
ventilation or air circulation/filtration
and economizing. Specifically, while
comments received previously had
indicated the prevalence of multi-speed
fans that reduce fan speed in these
operating modes, the commenters had
not indicated how the fan speed in these
operating modes typically compares to
fan speed when operating at the lowest
stage of compressor cooling. Thus, in
the May 2022 TP/ECS RFI, DOE sought
feedback on the supply airflow and fan
power at the lowest stage of
compression for variable air volume and
staged air volume fans in relation to
ventilation, air circulation, and
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economizer-only cooling. 87 FR 31743,
31750–31751.
In response to the May 2022 TP/ECS
RFI, AHRI and Lennox recommended
that DOE review ASHRAE 62.1
‘‘Ventilation for Acceptable Indoor Air
Quality,’’ which specifies minimum
ventilation rates and other measures to
achieve proper indoor air quality
control in commercial buildings. (AHRI,
EERE–2022–BT–STD–0015–0008, at pp.
4–5; Lennox, EERE–2022–BT–STD–
0015–0009, at pp. 4–5) AHRI noted that
ventilation rates specified by ASHRAE
62.1 vary from 18 percent to 60 percent
based on building type. (AHRI, EERE–
2022–BT–STD–0015–0008, at p. 4)
AHRI also noted that ASHRAE 90.1–
2019 provides minimum requirements
for the CUACs and CUHPs, including
the requirement to have two-speed fans.
Id. AHRI stated that airflow, including
during ventilation, will be different for
CUACs and CUHPs if the product is
multi-zone variable air volume
(MZVAV), single-zone variable air
volume (SZVAV), or constant volume,
and that the relationship between fan
power, airflow, and code requirements
must be considered when developing a
metric change that incorporates
ventilation. (AHRI, EERE–2022–BT–
STD–0015–0008, at pp. 4–5) AHRI also
stated that ventilation occurs only
during occupied mode. (AHRI, EERE–
2022–BT–STD–0015–0008, at p. 5)
Lennox stated that CUAC and CUHP
systems are generally designed to meet
minimum ventilation requirements in
all operating modes. (Lennox, EERE–
2022–BT–STD–0015–0009, at p. 5)
Lennox recommended that for the test
procedure, the airflow in ventilationonly mode be set at the same as the
airflow used at the minimum stage of
capacity. Id. Lennox stated that for
economizer-only cooling, the systems
are generally designed to meet a supply
air temperature setpoint, and that the
supply airflow volume is influenced by
outside air temperature and/or the
cooling demand of the conditioned
space to attain this setpoint. Id. Lennox
stated that the economizer-only supply
airflow might not be the same as the
lowest stage of compression and can be
less than the airflow at the lowest stage
of compression. Id.
Carrier stated that for ventilation-only
operation, the airflow may or may not
be the same as the minimum stage of
capacity, and that the airflow depends
on the controls and application, as well
as the required ventilation rate. (Carrier,
EERE–2022–BT–STD–0015–0010, at p.
9) Carrier also stated that fan speeds can
be higher during economizer cooling
operation. Id. Carrier noted that
ASHRAE 90.1 requires economizers to
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be capable of 100-percent airflow and
that the maximum economizer capacity
be used before turning on the
mechanical cooling of the integrated
economizer option. Id.
NEEA noted that CUAC and CUHP
standard rating conditions do not
consider operating modes where
ventilation air (either mixed or not
mixed with return air) is actively heated
or cooled. NEEA stated that it
recognizes that the impact of certain
features—including economizers and
ventilation systems—will vary
depending on the amount of ventilation
air introduced by the CUAC/CUHP.
NEEA described, for example, that in
30-percent and 100-percent outside air
systems, energy recovery represents a
significant opportunity for energy
savings, whereas in 0-percent outside
systems, enclosure improvements or
reducing damper leakage may present
the greatest opportunity for energy
savings. NEEA asserted that by only
accounting for 0-percent outside air
cooling and heating modes, the current
efficiency metrics give misleading
signals to manufacturers and consumers
about what models will decrease energy
consumption. NEEA recommended that
DOE consider how the market
categorizes CUAC and CUHP equipment
and ensure that DOE product definitions
align with the market and not just what
is simplest for regulation. (NEEA,
EERE–2022–BT–STD–0015–0013 at p.
6)
During negotiations for the Working
Group, the Working Group agreed not to
include testing with economizers
operating due to test burden and
repeatability concerns. (See EERE–
2022–BT–STD–0015–0048 at pp. 55–57)
However, the Working Group agreed to
include operating hours and fan energy
use associated with economizer
operation (reflecting both factoryinstalled and field-installed
economizers). (See EERE–2022–BT–
STD–0015–0053 at pp. 9, 32) DOE and
other participating stakeholders then
assessed market data of economizer
distribution. Due to the wide
distribution of economizers identified
through this analysis, all caucuses
agreed to include the economizer
benefit and energy use in the new
integrated cooling metric—IVEC. To
ensure representative consideration of
economizers in the cooling metric, the
calculation for the IVEC metric
incorporates both the cooling benefit
and energy use associated with the
hours of cooling contribution provided
in integrated economizing and
economizer-only cooling modes. The
IVEC metric also includes the energy
use associated with cooling season
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ventilation operation. To determine the
breakdown of hours among economizeronly cooling, integrated economizer,
mechanical cooling-only, and cooling
season ventilation operation for the
IVEC metric, the Working Group
utilized the previously discussed
building modeling of several ASHRAE
90.1 building types and climate zones in
which CUACs and CUHPs are installed.
DOE has tentatively determined that the
proposed inclusion of fan energy for
economizing and ventilation operating
modes in the IVEC cooling metric—in
conjunction with other proposed test
condition changes—addresses the
concerns previously raised regarding fan
energy representation in the efficiency
metric, and proposes to adopt the IVEC
metric as specified in the AHRI 1340–
202X Draft.
e. External Static Pressure Requirements
In the testing of air conditioners and
heat pumps, ESP requirements simulate
the resistance that the indoor fan must
overcome from the air distribution
system when installed in real-world
installations. Both AHRI 210/240 (i.e.,
the 2008, 2017, and 2023 versions) and
AHRI 340/360 (i.e., the 2007, 2015,
2019, and 2022 versions) specify
minimum ESPs for testing based on the
unit’s rated capacity. Minimum ESPs
are specified in Table 7 of AHRI 340/
360–2022 and range from 0.10–0.20
inches of water column (in. H2O) for
ACUACs and ACUHPs with a rated
cooling capacity less than 65,000 Btu/h,
and range from 0.2–0.75 in. H2O for all
CUACs with cooling capacity greater
than or equal to 65,000 Btu/h. These
values align with the ESP requirements
specified in the current DOE test
procedure.
In 2015, the Commercial Package Air
Conditioners Working Group
recommended that the energy use
analysis conducted for the January 2016
Direct Final Rule should use higher
ESPs than those specified in the DOE
test procedure to help better simulate
real-world applications. 81 FR 2420,
2470 (Jan. 15, 2016). Specifically, the
Commercial Package Air Conditioners
Working Group recommended ESPs of
0.75 and 1.25 in. H2O, which
corresponded to the ESPs used in
modified building simulations of the
cooling load. Id. The ESP values
recommended by the Commercial
Package Air Conditioners Working
Group did not vary with capacity.
Recommendation #2 of the term sheet
developed by the Commercial Package
Air Conditioners Working Group
suggested that DOE should amend the
test procedure for CUACs and CUHPs to
better represent the total fan energy use
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by considering alternative ESPs. (See
Document No. 93 in Docket No. EERE–
2013–BT–STD–0007 at p. 2) Higher
ESPs at the same airflow would result
in higher fan power measured during
testing and would, therefore, result in
fan energy use comprising a larger
fraction of total energy use measured
during the test.
In the May 2022 TP/ECS RFI, DOE
sought data and comment on
representative ESPs in the field of all
CUACs and CUHPs. 87 FR 31743, 31749
(May 25, 2022). NEEA provided a
comment, recommending generally that
DOE establish a more representative
ESP value for testing all CUACs and
CUHPs based on the previous
recommendation from the Commercial
Package Air Conditioners Working
Group. (NEEA, EERE–2022–BT–STD–
0015–0013 at pp. 7–8) NEEA noted that
the ESP levels used by DOE for the
energy use analysis during the last
energy conservation standards
rulemaking for ACUACs and ACUHPs
are two to three times higher than the
required ESPs in the existing test
procedure. Id. NEEA stated that these
values were more representative of units
in the field due to the ESP used in this
test procedure not including the return
ductwork pressure loss, which NEEA
described as significant because many
units do not include return fans. Id.
The CA IOUs supported updates to
the CUAC and CUHP test procedure to
improve the representation of fan energy
use, particularly by updating the
required ESPs in the test procedure. (CA
IOUs, EERE–2022–BT–STD–0015–0012
at p. 2) Specifically regarding ESPs, the
CA IOUs encouraged DOE to explore
California’s 2022 Title 24 codes and
standards-enhancement effort for air
distribution enhancements. Id. The CA
IOUs, as well as NYSERDA and ASAP
and ACEE, recommended that DOE
consider alternative ESP values more
representative of units in real-world
installations. (CA IOUs, EERE–2022–
BT–STD–0015–0012, at p. 2; ASAP and
ACEEE, EERE–2022–BT–STD–0015–
0011, at pp. 1–2; NYSERDA, EERE–
2022–BT–STD–0015–0007, at p. 3)
AHRI and Lennox stated that CUACs
and CUHPs are designed to cover a
range of ESPs, noting that big box retail
stores could have an ESP of 0.5 in. H2O
and that multi-story offices could
exceed ESPs of 2.0 in. H2O. (AHRI,
EERE–2022–BT–STD–0015–0008 at pp.
2–3; Lennox, EERE–2022–BT–STD–
0015–0009 at p. 2) AHRI noted that the
Commercial Package Air Conditioners
Working Group agreed to use 0.75 and
1.25 in. H2O for the energy conservation
standards energy use analysis. Id. AHRI
stated that its members were unable to
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form a consensus position on the issue
of representative ESPs for CUACs and
CUHPs before the comment period
ended; however, AHRI may submit
supplementary comments to DOE or a
working group if one were to be formed.
(AHRI, EERE–2022–BT–STD–0015–
0008 at p. 3)
Lennox stated that while its review of
data was ongoing regarding a
representative ESP recommendation, it
found the ESP levels used by the
Commercial Package Air Conditioners
Working Group to be reasonable.
Lennox recommended that the ESPs
used for testing increase according to
the capacity breaks specified in AHRI
340/360 because ESPs generally
increase with product capacity.
(Lennox, EERE–2022–BT–STD–0015–
0009 at pp. 2–3) Lennox also
commented the applied static pressure
from ECUACs and WCUACs did not
vary from similar air source products
and recommended similar values be
used for product performance
comparison. (Id. at p. 3)
Carrier stated that it agreed some
adjustments to the ESPs might be
appropriate, but that several things need
to be reviewed before the ESPs are
revised. Carrier also stated that ESPs can
vary significantly depending on the
application. Specifically, Carrier stated
that some applications can use
concentric ductwork, where ESPs are
likely higher than the current ESPs in
AHRI 340/360–2022; and other
applications use variable air volume
(VAV) systems, which have more
extensive ductwork and added pressure
drop from terminals. Carrier stated that
for larger equipment, the applications
are more complex because the
equipment is larger and ductwork
design can vary based on the building
design. Carrier mentioned a general
trend that static pressure and ductwork
length increase with equipment size, but
also mentioned that this depends on the
building design, configuration, and
system type. Carrier stated that it is in
the process of reviewing job design data
and applications and will have that data
for further discussions once it is
received. Additionally, Carrier stated
that performing an analysis of the
ASHRAE Standard 90.1 fan power
budget addendum BO may also provide
additional insight to proper static
pressure levels. (Carrier, EERE–2022–
BT–STD–0015–0010 at p. 7)
In the May 2022 RFI, DOE also sought
specific data on ESPs for ECUACs and
WCUACs with cooling capacities less
than 65,000 Btu/h, as well as feedback
on whether a representative ESP value
for testing would be 0.5 in H2O (as
referenced for air-cooled CUACs
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<65,000 Btu/h in AHRI 210/240–2023),
the range of 0.10 to 0.20 in H2O (from
AHRI 340/360–2022), or alternative
values. For WCUACs with a cooling
capacity of less than 65,000 Btu/h,
DOE’s preliminary analysis showed that
these units may typically be installed
above dropped ceilings in commercial
buildings. For ECUACs with a cooling
capacity of less than 65,000 Btu/h,
DOE’s preliminary analysis shows that
these units are primarily marketed for
residential applications, which suggests
that it may be appropriate to align the
ESP requirements for ECUACs with a
cooling capacity of less than 65,000 Btu/
h with those specified for CAC/HPs in
10 CFR part 430, subpart B, appendix
M1 (appendix M1) (i.e., 0.5 in H2O for
conventional units). Therefore, DOE
considered whether it was appropriate
for the same ESP requirements to be
applied for both ECUACs and WCUACs
with a cooling capacity of less than
65,000 Btu/h. 87 FR 31743, 31750 (May
25, 2022).
Carrier stated that the ESPs for
ECUACs and WCUACs less than 65,000
Btu/h in the field would not be much
different than the average values used
for the AHRI 210/240–2023 analysis.21
Carrier asserted that ESP values in the
field might be lower than those ESPs,
because some ECUACs and WCUACs
with a capacity less than 65,000 Btu/h
are applied with short supply ducts and
no return ducts or can also be used with
concentric ducts. (Carrier, EERE–2022–
BT–STD–0015–0010 at pp. 7–8) Lennox
recommended the ESP value of 0.5 in
H2O from AHRI 210/240–2023 be used
for ECUACs and WCUACs with cooling
capacity less than 65,000 Btu/h.
(Lennox, EERE–2022–BT–STD–0015–
0009 at p. 3)
The majority of comments received in
response to both the July 2017 TP RFI
and May 2022 TP/ECS RFI indicate that
higher ESP requirements for testing
would be more representative of all
CUACs and CUHPs in the field. The ESP
requirements included in the ACUAC
and ACUHP Working Group TP Term
Sheet reflect consensus among Working
Group members regarding higher ESP
requirements for testing. The AHRI
1340–202X Draft specifies provisions for
determining the IVEC and IVHE metrics
for double-duct systems, ECUACs, and
WCUACs, including higher ESP
requirements for testing consistent with
21 In its comment, Carrier mentioned the ‘‘AHRI
210/240–2003 analysis.’’ Because there is no 2003
version of AHRI 210/240 and the ESP requirements
for air-cooled central air conditioners and heat
pumps with cooling capacity less than 65,000 Btu/
h were updated in AHRI 210/240–2023, DOE
interprets the intent of Carrier’s comment as
referring to AHRI 210/240–2023.
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the ACUAC and ACUHP Working Group
TP Term Sheet. Because the ACUAC
and ACUHP Working Group TP Term
Sheet does not include provisions for
testing ECUACs and WCUACs, the term
sheet does not include ESP
requirements for testing equipment with
cooling capacity less than 65,000 Btu/h.
The AHRI 1340–202X Draft includes an
ESP requirement of 0.5 in H2O for
testing ECUACs and WCUACs with
cooling capacity less than 65,000 Btu/h,
which is consistent with the ESP
requirement specified in AHRI 210/240–
2023 for comparable air-cooled
equipment. DOE has tentatively
concluded that the ESP requirements
specified in AHRI 1340–202X Draft
represent industry consensus for testing
CUACs and CUHPs and provide a more
representative measure of energy
efficiency. Therefore, as discussed in
sections III.F.4 and III.F.5 of this NOPR,
DOE is proposing to adopt the ESP
requirements specified in AHRI 1340–
202X Draft as part of the IVEC and IVHE
metrics.
f. Damper Leakage, Energy Recovery
Systems, and Crankcase Heaters
In response to the May 2022 TP/ECS
RFI, DOE received several comments
recommending that damper leakage,
energy recovery systems, and crankcase
heaters be addressed in the test
procedure for ACUACs and ACUHPs.
NEEA recommended that DOE create
a test procedure that accounts for energy
losses and gains from auxiliary
components, considers energy saved
from increased enclosure insulation,
and considers variation alongside
potentially incorporating CSA P.8,
Thermal efficiencies of industrial and
commercial gas-fired packaged
furnaces. (NEEA, EERE–2022–BT–STD–
0015–0013, at pp. 2–6) NEEA
highlighted the significant energy
savings potential of heat recovery
ventilation (HRV) and energy recovery
ventilation (ERV) systems. NEEA stated
that its research indicates such systems
can reduce energy use by 24 percent in
commercial warm air furnaces in
Northwest climate zones. Accordingly,
NEEA recommended that energy
recovery be incorporated into the test
procedure and performance metric for
CUACs and CUHPs. Id. With regard to
insulation, NEEA stated that while
building codes such as ASHRAE 90.1
stipulate maximum damper leakage, the
requirements do not apply to the resale
market, causing a significant number of
units available today to have
significantly higher leakage rates than
code requirements. Id. NEEA
recommended that DOE investigate the
savings potential of increased insulation
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and account for its benefit across all
operating modes in test procedure and
efficiency metrics, as non-conditioning
operating periods are not currently
accounted for. Id. NEEA stated that its
research indicates that increased
enclosure insulation can improve
heating season energy savings, and that
NEEA expects there would be cooling
season savings as well that are not
currently accounted for. Id. NEEA
provided examples of subcomponent
performance characteristics that could
be used as part of a whole box metric
approach, including AHRI 1060 for
energy recovery, ANSI/AMCA Standard
500–D–18 for damper leakage, and
AHRI 1350 for evaluation of enclosure
insulation material and thickness for
casing loss. Id. NEEA recommended that
DOE consider the approach
implemented in CSA P.8 to account for
different outdoor air configurations,
which could be emulated to account for
different percentages of ventilation air
without adding additional test burden.
Id.
The CA IOUs expressed concern that
energy use of equipment components,
such as crankcase heaters, is significant
and not represented in the IEER metric.
(CA IOUs, EERE–2022–BT–STD–0015–
0012, at p. 6) The CA IOUs therefore
recommended that off-mode and
standby energy consumption be
accounted for when updating the
CUAC/HP test procedure and metric. Id.
As discussed, the Working Group
assessed the impact of energy from
additional operating modes, as well as
crankcase heaters and controls power,
and the metrics recommended in the
ACUAC and ACUHP Working Group TP
Term Sheet include: (1) in the IVEC
metric—economizer-only cooling,
cooling season ventilation mode,
crankcase heat operation, and controls
power in unoccupied no-load cooling
season hours; and (2) in the IVHE
metric—heating season ventilation
mode, crankcase heat operation, and
controls power in unoccupied no-load
heating season hours. (See EERE–2022–
BT–STD–0015–0065) Additionally,
damper leakage was discussed during
the Working Group meetings, and the
Working Group ultimately voted not to
address this issue in the IVEC and IVHE
metrics. (See EERE–2022–BT–STD–
0015–0055, pp. 7–9) While cabinet
insulation and the effects of ERVs and
HRVs were discussed during the
Working Group discussions, no
proposals were made to include them in
the new metrics. All members of the
Working Group voted to recommend
inclusion of the IVEC and IVHE metrics
in the DOE test procedure for ACUACs
and ACUHPs. DOE has tentatively
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determined that the issues regarding
additional operating modes raised by
commenters are adequately addressed
by provisions in the ACUAC and
ACUHP Working Group TP Term Sheet,
and these provisions are also included
in the AHRI 1340–202X Draft. Further,
at this time DOE lacks clear and
convincing evidence to justify
proposing any deviations from the IVEC
and IVHE metrics specified in AHRI
1340–202X Draft to address damper
leakage, cabinet insulation, or ERVs and
HRVs. Therefore, DOE proposes to
adopt the IVEC and IVHE metrics
specified in AHRI 1340–202X Draft in
appendix A1.
g. Controls Verification Procedure
In response to the May 2022 TP/ECS
RFI, DOE also received several
comments regarding recommendations
for a controls verification procedure.
The CA IOUs, ASAP and ACEEE, and
NEEA suggested that DOE consider a
controls verification procedure (CVP) in
the DOE test procedure. (CA IOUs,
EERE–2022–BT–STD–0015–0012, at p.
5; ASAP and ACEEE, EERE–2022–BT–
STD–0015–0011, at pp. 2–3; NEEA,
EERE–2022–BT–STD–0015–0013, at p.
5) Specifically, the CA IOUs
recommended that DOE consider a CVP
similar to the one developed for variable
refrigerant flow multi-split systems
(VRF multi-split systems) to validate
that the controls used within CUACs
and CUHPs with variable speed
compressors are used effectively. (CA
IOUs, EERE–2022–BT–STD–0015–0012,
at p. 5) ASAP and ACEEE stated that the
CVP should include requirements for
testing under native controls to better
reflect performance of equipment in the
field. (ASAP and ACEEE, EERE–2022–
BT–STD–0015–0011, at pp. 2–3) ASAP
and ACEEE stated that this would
mirror the CVP included in the
December 2021 test procedure NOPR for
VRF multi-split systems (See 86 FR
70644) and the native control
requirement in the residential cold
climate heat pump challenge in the
September 2021 specifications. Id.
NEEA recommended that DOE consider
a verification procedure to test that
economizer controls operate as
intended. (NEEA, EERE–2022–BT–STD–
0015–0013, at p. 5) Due to what NEEA
asserted is a significant energy savings
opportunity of economizer cooling if the
controls are verified, NEEA
recommended that economizers be
incorporated into the efficiency metric
through a calculation-based approach.
Id.
DOE notes that members from NEEA,
ASAP, and the CA IOUs were involved
during the Working Group negotiations
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and provided input on the included test
procedure requirements. The resulting
ACUAC and ACUHP Working Group TP
Term Sheet does not contain any
provisions for a CVP and was agreed
upon by all members of the Working
Group. As such, DOE believes that the
issues raised by these stakeholders are
resolved on this matter. Further,
commenters did not provide sufficient
information that would justify or inform
development of a CVP for CUACs and
CUHPs, and at this time, DOE lacks
clear and convincing evidence to
propose any test procedure amendments
that deviate from the AHRI 1340–202X
Draft to address controls verification.
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h. Heating Efficiency Metric
In the May 2022 TP/ECS RFI, DOE
stated that it was considering whether
incorporating heating performance at
temperatures lower than 47 °F would
improve the representativeness of the
DOE test procedure for ACUHPs, and
how such performance would differ
between CUHPs with different types of
supplementary heat (e.g., electric
resistance heat and furnaces) and the
climate regions in which CUHPs are
typically installed. As such, in the May
2022 TP/ECS RFI, DOE requested
comment on data relating to CUHP
shipments and typical regions they are
shipped to, distribution of heating types
shipped with CUHPs, and the lowest
outdoor temperatures CUHPs are
expected to operate at alongside cut in
and cut out temperature data. 87 FR
31743, 31750–31753.
Carrier provided data showing the
shipment-weighted market share by
building type for CUACs and CUHPs;
however, Carrier noted that the actual
shipment data by building type would
be best obtained from AHRI for the
whole U.S. industry. (Carrier, EERE–
2022–BT–STD–0015–0010, at p. 13)
In response to the request for
comment regarding shipment data of
CUHPs, Lennox and the CA IOUs
commented that the market for CUHPs
is growing alongside electrification
efforts, but still represents a small
fraction of the overall CUAC and CUHP
market. (Lennox, EERE–2022–BT–STD–
0015–0009, at pp. 3–4; CA IOUs, EERE–
2022–BT–STD–0015–0012, at pp. 4–5)
Additionally, Lennox stated that the
CUHP market is primarily concentrated
in the south and southwestern regions
of the country, with the majority located
in California and Arizona. Id. Lennox
acknowledged the importance of CUHP
market growth and test procedure
improvements but recommended that
DOE fully evaluate industry capability
and incremental burden associated with
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test procedure amendments to prevent
undue burden. Id.
NYSERDA noted that in an effort to
decarbonize, the Climate Action Council
of New York set a 2030 goal that heat
pumps should provide space heating
and cooling for 10 percent to 20 percent
of commercial space statewide, and that
heat pumps should become the majority
of new purchases for space and water
heating by the late 2020s. (NYSERDA,
EERE–2022–BT–STD–0015–0007, at pp.
1–2)
Carrier stated that the commercial
heat pump market is generally limited
to models under 20 tons because the
demand for large heat pumps in
commercial buildings is currently very
small. (Carrier, EERE–2022–BT–STD–
0015–0010, at p. 8) Carrier noted that
commercial load profiles are
significantly different than residential
buildings, that commercial buildings
have much higher cooling loads than
residential buildings, and that
commercial buildings tend to operate
during the day and are often
unoccupied during the evening when
temperatures are lower. Id.
In response to the request for
comment regarding the distribution of
supplementary heating types shipped
with CUHPs, Carrier stated that
currently, it only provides CUHPs with
electric heat as backup, mostly because
the different load profiles in commercial
buildings are more cooling intensive.
(Carrier, EERE–2022–BT–STD–0015–
0010, at p. 8) Carrier also stated that
with the growing interest in use of heat
pumps in colder climates, it is
evaluating the use of backup gas heat.
Id. Lennox stated that it does not offer
CUHP products with factory-installed
supplementary electric heat and
described the difficulty in tracking fieldinstalled electric heat accessories.
(Lennox, EERE–2022–BT–STD–0015–
0009, at p. 4) Lennox noted that dualfuel CUHP products with factoryinstalled gas furnaces comprise less
than 1 percent of the CUHP and CUAC
markets but could expand as CUHPs are
implemented in climates with heating
capacity requirements exceeding current
CUHP abilities. Id.
In response to the request for data on
the operating temperatures for CUHPs,
AHRI stated that the lowest outdoor
temperatures at which CUHPs typically
operate in mechanical heating mode
would be between 5 °F and 15 °F, and
that the cut-out temperature is not
dependent on supplementary heat.
(AHRI, EERE–2022–BT–STD–0015–
0008, at p. 4) AHRI stated that the
purpose of supplementary heat is to
provide comfort conditions to buildings,
and that a compressor cut-out
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temperature is required to protect
equipment. Id. Carrier stated that
currently, its CUHPs are rated to operate
down to ¥10 °F with a few limited to
¥5 °F and 0 °F, and that at these very
low temperatures, auxiliary electric heat
is required. (Carrier, EERE–2022–BT–
STD–0015–0010, at p. 8) Carrier also
stated that currently, there is no set
temperature for mechanical heating
lockout. Id. Lennox stated that industry
compressor cut-out temperatures range
from over 15 °F to ¥15 °F depending on
unit design. (Lennox, EERE–2022–BT–
STD–0015–0009, at p. 4) Lennox
commented that with electric heating,
cut-out temperatures are typically set to
the lowest available setting, while
compressor cut-out temperature is
normally more flexible and typically set
to a higher temperature with furnace
supplementary heating. Id.
In addition to the data and
information provided regarding specific
heat pump issues, DOE received
recommendations from multiple
stakeholders regarding potential new
heating efficiency metrics. The CA IOUs
encouraged DOE to adopt an updated
heating metric to match the expected
increase in market share and
recommended using a metric that is
representative of an average use cycle.
(CA IOUs, EERE–2022–BT–STD–0015–
0012, at pp. 4–5) Additionally, the CA
IOUs expressed support for a seasonal
heating metric, similar to HSPF2 for
consumer heat pumps, which could
account for performance at different
ambient conditions, defrost operation,
and standby modes. Id. The CA IOUs
also noted that separate product
categories could also be considered,
such as for cold-climate CUHPs. Id.
NYSERDA stated that a heating
efficiency metric could utilize heatingspecific weighting factors similar to
those used in the approach for IEER
calculations and could take into account
heating mode tests at all three
conditions, alongside proposing two
new required test conditions.
(NYSERDA, EERE–2022–BT–STD–
0015–0007, at pp. 1–2) NYSERDA also
recommended the new metric utilize
fractional heating bin hours for a
representative region, and account for
the typical load profiles for the 16 DOE
commercial prototype buildings. Id.
Lennox asserted that reasonably
designed test procedure amendments
could encourage CUHP product
improvements in low temperature
performance and accelerate market
expansion. (Lennox, EERE–2022–BT–
STD–0015–0009, at p. 4)
Specifically, NYSERDA, the CA IOUs,
and ASAP and ACEEE supported an
update to the CUHP heating metric to
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account for performance under 17 °F
and 5 °F ambient conditions.
(NYSERDA, EERE–2022–BT–STD–
0015–0007, at pp. 1–2; CA IOUs, EERE–
2022–BT–STD–0015–0012, at p. 4;
ASAP and ACEEE, EERE–2022–BT–
STD–0015–0011, at p. 1) All three
groups recommended that DOE
incorporate a test at 5 °F as an optional
test condition. Id. The CA IOUs also
recommended accounting for defrost
performance, and that DOE track the
development of ASHRAE RP–1831
‘‘Validation of a Test Method for
Applying a Standardized Frost Load on
a Test Evaporator in a Test Chamber
with an Operating Conditioning
System’’ to consider whether it can help
the development of a test procedure that
incorporates defrost performance. (CA
IOUs, EERE–2022–BT–STD–0015–0012,
at p. 4)
Carrier stated that it is not aware of
how many test laboratories in the
United States have the capabilities of
testing on ACUHPs at low ambient
conditions. (Carrier, EERE–2022–BT–
STD–0015–0010, at p. 9) Carrier
asserted that if DOE were to require
testing at lower ambient conditions for
ACUHPs, manufacturers and third-party
labs may be required to invest
substantial capital in psychrometric
room upgrades. Id.
During the Working Group ASRAC
negotiations, extensive discussions were
held and analyses were conducted on
improving the representativeness of the
heating metric for ACUHPs by creating
a seasonal metric. As a result of these
discussions and analyses, Working
Group members reached consensus on
the IVHE metric to better represent
ACUHP energy use across a range of
operation conditions, and specified test
conditions and procedures for
determining IVHE in the ACUAC and
ACUHP Working Group TP Term Sheet.
The tests for determining IVHE include
required and optional tests at varying
load levels (i.e., full-load, part-load, and
for variable-speed equipment, boost
compressor speed) and outdoor air drybulb temperatures (specifically 47 °F,
17 °F, and 5 °F). The IVHE metric also
accounts for defrost operation by
including a defrost degradation
coefficient for low-temperature
operation (less than 40 °F). DOE has
tentatively determined that the IVHE
metric included in the ACUAC and
ACUHP Working Group TP Term Sheet
and the AHRI 1340–202X Draft
addresses concerns raised by
commenters, and as discussed further in
section III.F.5 of this NOPR, DOE is
proposing to adopt the IVHE metric as
specified in the AHRI 1340–202X Draft
in appendix A1.
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2. Test Conditions Used for Current
Metrics in Appendix A
As discussed, DOE proposes to update
the current test procedure for CUACs
and CUHPs (which DOE proposes to
specify for ACUACs and ACUHPs,
ECUACs, and WCUACs in appendix A)
to reference the updated industry test
standard AHRI 340/360–2022 and retain
the current metrics for CUACs and
CUHPs. AHRI 340/360–2022 designates
certain test conditions for test
procedures characterized as ‘‘standard
rating tests’’ and certain other test
conditions for test procedures
characterized as ‘‘performance operating
tests.’’ The ‘‘standard rating tests’’ are
used for determining representations of
cooling capacity, heating capacity, and
cooling and heating efficiencies. The
‘‘performance operating tests’’ evaluate
other operating conditions, such as
‘‘maximum operating conditions’’ (see
section 8 of AHRI 340/360–2022), which
DOE is not proposing to include in the
DOE test procedure. Specifically, Table
6 of AHRI 340/360–2022 specifies test
conditions for standard rating and
performance operating tests for CUACs
and CUHPs. The relevant conditions for
EER and IEER cooling tests are those
referred to as ‘‘standard rating
conditions’’ in AHRI 340/360–2022. To
clarify this distinction, DOE proposes to
specify explicitly in section 3 of
appendix A that the cooling test
conditions used for representations as
required under the DOE regulations are:
(1) for equipment subject to standards in
terms of EER, the ‘‘Standard Rating
Conditions, Cooling’’ conditions
specified in Table 6 of AHRI 340/360–
2022; and (2) for equipment subject to
standards in terms of IEER, the
‘‘Standard Rating Conditions, Cooling’’
and ‘‘Standard Rating Part-Load
Conditions (IEER)’’ conditions specified
in Table 6 of AHRI 340/360–2022.
For heating mode tests of CUHPs,
Table 6 of AHRI 340/360–2022 includes
‘‘Standard Rating Conditions’’ for both a
‘‘High Temperature Steady-state Test for
Heating’’ and a ‘‘Low Temperature
Steady-state Test for Heating’’
(conducted at 47 °F and 17 °F outdoor
air dry-bulb temperatures, respectively).
To clarify which conditions are
applicable for representations as
required under the DOE regulations,
DOE proposes to specify explicitly in
section 3 of appendix A that the heating
test conditions used for compliance are
the ‘‘Standard Rating Conditions (High
Temperature Steady-state Heating)’’
conditions specified in Table 6 of AHRI
340/360–2022. Further, DOE proposes
to also include the low-temperature (i.e.,
17 °F) heating test condition specified in
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Table 6 of AHRI 340/360–2022 (referred
to as ‘‘Low Temperature Steady-state
Heating’’) in the proposed test
procedure and specify in section 3 of
appendix A that representations of COP
at this low-temperature heating
condition are optional.
3. Test Conditions Used for New Metrics
in Proposed Appendix A1
As discussed, DOE is proposing to
include the new test procedure
recommended in the ACUAC and
ACUHP Working Group TP Term Sheet
and included in the AHRI 1340–202X
Draft in a new appendix A1. This
proposal includes adopting the new
IVEC and IVHE metrics discussed in
sections III.F.4 and III.F.5 of this NOPR.
The AHRI 1340–202X Draft designates
certain test conditions for test
procedures characterized as ‘‘standard
rating tests’’ and certain other test
conditions for test procedures
characterized as ‘‘performance operating
tests.’’ The ‘‘standard rating tests’’ are
used for determining representations of
cooling capacity, heating capacity, and
cooling and heating efficiencies. The
‘‘performance operating tests’’ evaluate
other operating conditions, such as
‘‘maximum operating conditions’’ (see
section 8 of AHRI 1340–202X Draft),
which DOE is not proposing to include
in the DOE test procedure at appendix
A1. Specifically, Table 7 of AHRI 1340–
202X Draft specifies test conditions for
standard rating and performance
operating tests for CUACs and CUHPs.
The relevant test conditions for IVEC
tests, as well as EER2 representations,
are those referred to as ‘‘standard rating
conditions’’ in the AHRI 1340–202X
Draft. To clarify this distinction, DOE
proposes to specify explicitly in section
3 of appendix A1 that the cooling
conditions used for representations as
required under the DOE regulations are
the ‘‘Standard Rating Conditions,
Cooling’’ and ‘‘Standard Rating PartLoad Conditions (IVEC)’’ specified in
Table 7 of AHRI 1340–202X Draft.
Additionally, DOE proposes to include
provisions for optional representations
of EER2.
For heating mode tests of ACUHPs,
Table 7 of the AHRI 1340–202X Draft
includes ‘‘Standard Rating Conditions,
Heating’’ for three outdoor temperature
conditions at 47 °F, 17 °F, and 5 °F.
Additionally, the table includes
‘‘Standard Rating Part-Load Conditions
(IVHE),’’ which includes optional part
load conditions for rating units with the
IVHE metric. The required test
conditions for IVHE representations are
the ‘‘Standard Rating Conditions
Heating’’ at 47 °F and 17 °F. The
optional test conditions for IVHE
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representations are the ‘‘Standard Rating
Conditions Heating’’ at 5 °F and
‘‘Standard Rating Part-Load Conditions
(IVHE)’’. To clarify this, DOE proposes
to specify explicitly in section 3 of
appendix A1 that the heating conditions
used for representations as required
under the DOE regulations are the
‘‘Standard Rating Conditions Heating’’
at 47 and 17 °F specified in Table 7 of
AHRI 1340–202X Draft. Further, DOE
proposes to also include the 5 °F heating
test condition as well as the part load
test conditions specified in Table 7 of
AHRI 1340–202X Draft (referred to as
‘‘Standard Rating Conditions Heating
(5 °F ambient)’’ and ‘‘Standard Rating
Part-Load Conditions (IVHE)’’
respectively) in the proposed test
procedure and specify in section 3 of
appendix A1 that testing to the lowtemperature heating conditions and the
part load conditions are optional for
representations of IVHE. Additionally,
DOE proposes to include provisions for
optional representations of COP247,
COP217, and COP25 at the 47, 17, and
5 °F heating test conditions previously
discussed.
4. IVEC
The following section provides a
summary of the development and final
recommendations regarding the IVEC
cooling metric proposals in the ACUAC
and ACUHP Working Group TP Term
Sheet and DOE’s corresponding
proposals for inclusion in the appendix
A1 test procedure.
As discussed, for the newly proposed
cooling metric, the Working Group
determined to modify the climate zones
and building types accounted for in the
test procedure compared to those
included in the current DOE test
procedure. To do so, the Working Group
utilized hour-based weighting factors.
To develop these weighting factors,
members of the Working Group used
building modeling developed by Carrier
that was based on 10 ASHRAE 90.1
building prototypes across all U.S.
climate zones. (See EERE–2022–BT–
STD–0015–0019) This resulted in hourbased weighting factors, which are
provided in Recommendation #2 of the
ACUAC and ACUHP Working Group TP
Term Sheet.
The ACUAC and ACUHP Working
Group concluded that including
economizer-only cooling and cooling
season ventilation operating modes in a
seasonal cooling metric would improve
the representativeness for ACUACs and
ACUHPs. Appendix B of the ACUAC
and ACUHP Working Group TP Term
Sheet provides the recommended
calculation method for the IVEC method
and includes sections specifying the
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the Working Group recommended that
for all units tested without an
economizer installed, 0.10 in. H2O shall
be added to the full load ESP values
specified in Table III.1.
3. Return and supply static split
requirements: Test procedures for
CUACs and CUHPs include ESP
requirements that reflect the total ESP
applied within the return and supply
ductwork of the test setup. The current
Federal test procedure does not specify
requirements for how ESP is distributed
during testing (i.e., the relative
contribution from return ductwork
versus supply ductwork). Given the
recommendation to increase the
required ESP levels for testing (as
discussed in section III.F.1.e of this
document), the Working Group
concluded that the higher ESP
conditions could cause variability in
test results if the distribution of ESP
between return ductwork and supply
ductwork were not specified in the
revised test procedure. To ensure
TABLE III.1—MINIMUM ESP REQUIRE- repeatable and reproducible testing
MENTS FOR IVEC AND IVHE REC- conditions for CUAC and CUHP units,
OMMENDED BY THE ACUAC AND the Working Group recommended
specifying that ESP requirements be
ACUHP WORKING GROUP
split with 25 percent applied in the
return ductwork and the remaining 75
ESP
Rated cooling capacity
percent applied in the supply ductwork.
(in H2O)
The Working Group further
≥65 and <135 kBtu/h ..................
0.75 recommended that the fraction of ESP
≥135 and <240 kBtu/h ................
1.0 applied in the return ductwork shall
≥240 and <280 kBtu/h ................
1.0 have a ¥5/+0 percent tolerance (i.e., the
≥280 and <760 kBtu/h ................
1.5 return static must be within 20 to 25
percent of the total ESP) for the full-load
2. Economizer pressure drop:
cooling test. In a case where there is no
ASHRAE 90.1–2022 requires the use of
additional restriction on the return duct
economizers for comfort cooling
and more than 25 percent of the ESP is
applications for almost all U.S. climate
already applied in the return ductwork
zones. The analysis conducted by
without a restriction, then greater than
Carrier in support of the Working Group 25 percent ESP in the return ductwork
indicates that over 96 percent of
would be allowed. Once set for the fullbuildings require the use of
load cooling test, these restriction
economizers. Economizers installed in
settings shall remain unchanged for the
CUACs and CUHPs add internal static
other cooling and heating tests
pressure that the indoor fan has to
conducted.
overcome, even when the economizer
To incorporate the various changes
dampers are closed. The current DOE
involved in testing requirements and
test procedure does not require the
weighting factors already discussed, the
installation of an economizer on a tested Working Group created the IVEC metric
unit, and DOE is aware that
provided in Recommendation #1 with
manufacturers generally do not test
further specifications in appendix B of
CUACs and CUHPs with economizers
the ACUAC and ACUHP Working Group
installed. The ESP requirements
TP Term Sheet. The IVEC metric is
specified by the current DOE test
essentially a summation formula
procedure are the same regardless of
analogous to the seasonal energy
whether a unit is tested with or without efficiency ratio 2 (SEER2) metric
an economizer. As such, testing a unit
designated for residential central air
without an economizer does not reflect
conditioner (CAC) equipment. (See
the total static pressure that would be
appendix M1 to subpart B of part 430
experienced in the field for installations ‘‘Uniform Test Method for Measuring
that require the use of an economizer. In the Energy Consumption of Central Air
order to better represent the fan power
Conditioners and Heat Pumps’’)
of ACUACs and ACUHPs that are
Specifically, the IVEC metric is
typically installed with economizers,
calculated by dividing the total annual
methods for including ventilation and
economizer-only cooling operation in
the calculation of IVEC.
As discussed in section III.F.1.e of
this NOPR, the Working Group also
considered ESP requirements for the
newly proposed IVEC and IVHE metrics.
Stakeholders indicated the need for
higher ESP requirements to improve
representativeness of field performance.
Additionally, stakeholders discussed
the importance of maintaining
uniformity in testing of units at higher
ESP conditions. (See EERE–2022–BT–
STD–0015–0062 at p. 11) The ESP
requirements agreed to by the Working
Group are provided in Recommendation
#12 of the ACUAC and ACUHP Working
Group TP Term Sheet and include the
following:
1. Higher ESP requirements for
testing: As discussed previously, the
minimum ESP conditions recommended
by the Working Group are provided in
Table III.1.
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cooling capacity by the total annual
energy use. Key aspects encompassed in
the proposed IVEC metric include the
following:
1. Accounting for energy consumed in
different modes: The IVEC metric
includes energy use during mechanical
cooling, integrated mechanical and
economizer cooling, economizer-only
cooling, cooling season ventilation,
unoccupied no-load hours, and heating
season operation of crankcase heat (for
CUACs only). Appendix B of the
ACUAC and ACUHP Working Group TP
Term Sheet specifies instructions for
determining energy consumption during
each mode.
2. Testing parameters: The ACUAC
and ACUHP Working Group TP Term
Sheet further specifies instructions in
appendix B for the mechanical cooling
tests at each target mechanical load.
These methodologies and tolerances
mirror those specified in AHRI 340/
360–2022, including a 3-percent
tolerance on the target mechanical load
for part-load tests, and in cases when
the target mechanical load cannot be
met within tolerance, instructions for
using interpolation and cyclic
degradation to determine the
performance at the target test point.
3. Target load percentages:
Recommendation #4 of the ACUAC and
ACUHP Working Group TP Term Sheet
includes target conditions for testing,
including load percentages for testing
units at part-load conditions. For each
bin, the specified target load percent (%
Loadi) reflects the average load as a
percentage of the full-load capacity for
that bin met by using all modes of
cooling, and is used for determining
total annual cooling provided in the
numerator of the IVEC equation. The
target mechanical load percent (%
Loadi, mech) is the average load for
each bin met only through mechanical
cooling (i.e., mechanical-only cooling
and the mechanical portion of
integrated mechanical and economizer
cooling) and is the target load fraction
used for the part-load cooling test for
each bin.
As mentioned, the IVEC metric
includes the annual operation of
crankcase heaters for CUACs and
CUHPs. Appendix B of the ACUAC and
ACUHP Working Group TP Term Sheet
further specifies the accounting of
crankcase heater energy consumption in
each operating mode. Recommendation
#2 of the ACUAC and ACUHP Working
Group TP Term Sheet specifies hour-
based weighting factors to account for
crankcase heat operation in unoccupied
no-load cooling season hours for CUACs
and CUHPs as well as heating season
hours for CUACs. Appendix B of the
ACUAC and ACUHP Working Group TP
Term Sheet also specifies that for partload cooling tests, crankcase heat is
accounted for in power measurements
of higher stage compressors that are
staged off during testing, while
crankcase heat operation of lower-stage
compressors when cycled off as well as
crankcase heat operation in other
operating modes is calculated using the
certified crankcase heater power.
The IVEC metric also accounts for a
15-percent oversizing factor.
Accordingly, the target load percentages
specified in Recommendation #4
include this 15 percent oversizing
factor. Additionally, the A test
condition is excluded from the IVEC
calculation; however, the A test is still
a required test point for determining full
load capacity.
IVEC includes outdoor and return air
dry-bulb and wet-bulb test temperatures
that differ from those used in the
current test procedure for determining
IEER, as shown in Table III.2.
TABLE III.2—IEER AND IVEC TEST TEMPERATURES
IEER test conditions
Test point
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A
B
C
D
Outdoor air dry
bulb temperature
(°F)
...............................................................................................
...............................................................................................
..............................................................................................
..............................................................................................
The IVEC metric also limits the
minimum airflow that can be used for
testing. This minimum airflow limit
calculation method is based on the
average ventilation rate determined in
building modeling performed to develop
IVEC and is a function of the full-load
cooling capacity. Unlike AHRI 340/360–
2022 (see section 6.1.3.4.5), the
provisions for determining IVEC do not
specify separate test provisions for
setting airflow during part-load tests of
MZVAV units. Rather, the part-load
airflow used for testing all CUACs and
CUHPs would be based on the certified
part-load cooling airflow.
Based on the discussions in the
Working Group, DOE understands that
the changes recommended for the IVEC
metric are intended to result in an
efficiency metric that is more
representative of CUAC and CUHP
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Return air
temperature
(dry bulb/wet bulb)
(°F)
95
81.5
68
65
5. IVHE
The following section provides a
summary of the development and final
recommendations regarding the IVHE
heating metric specified in the ACUAC
and ACUHP Working Group TP Term
Sheet.
The IVHE metric specified in the
ACUAC and ACUHP Working Group TP
Term Sheet differs from the COP heating
efficiency metric specified in the
Frm 00024
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Outdoor air dry
bulb temperature
(°F)
80/67
80/67
80/67
80/67
operation. Therefore, DOE tentatively
agrees with the approach recommended
by the Working Group and is proposing
to adopt the IVEC metric in appendix
A1 as specified in the AHRI 1340–202X
Draft (including the provisions
discussed in section III.F.6 of this NOPR
that were not included in the ACUAC
and ACUHP Working Group TP Term
Sheet).
PO 00000
IVEC test conditions
95
85
75
65
Return air
temperature
(dry bulb/wet bulb)
(°F)
80/67
77/64
77/64
77/64
current DOE test procedure through the
inclusion of heating season operating
modes not currently accounted for, a
combined seasonal performance metric
rather than individual ratings at specific
temperature conditions, and additional
optional test conditions. In alignment
with the development of the IVEC
metric described in section III.F.4 of this
NOPR, the Working Group determined
to utilize hour-based weighting factors
to account for heating loads across more
building types and climate zones than
are included in the current DOE test
procedure. The building heating load
lines and hours developed for the IVHE
metric rely on a similar ASHRAE 90.1
building and climate zone analysis as
the one conducted for the IVEC metric
development. Additionally, in
developing the heating load line that the
hour-based weighting factors rely on,
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the Working Group utilized the
previously discussed 15-percent
oversizing factor and assumed a heat to
cool ratio of 1 as outlined in
Recommendation #8 (i.e., assumed the
peak building cooling load equals the
peak building heating load).
The heating rating requirements
recommended in the ACUAC and
ACUHP Working Group TP Term Sheet
include several distinct provisions
regarding testing requirements from the
existing DOE test procedure. In the
current DOE test procedure, CUHPs are
required to be tested only at a 47 °F fullload condition to generate a COP rating.
Recommendation #9 of the ACUAC and
ACUHP Working Group TP Term Sheet,
however, introduces several provisions
with significant differences from the
existing DOE test procedure. First, the
recommendation includes required
testing at 47 °F and 17 °F full load
conditions, aligning with those
previously specified in AHRI 340/360–
2022. Additionally, the
recommendation introduces optional
part load test conditions at both 47 °F
and 17 °F temperature conditions as
well as test conditions for optional
testing at a 5 °F full load condition.
Finally, the recommendation includes
test requirements for optional boost tests
at the 17 °F and 5 °F test conditions for
variable speed units. Additionally, the
IVHE metric incorporates two operating
modes previously excluded from the
DOE test procedure: heating season
ventilation mode and supplemental
electric resistance heat operation.
Lastly, the IVHE test conditions rely on
the same ESP requirements per capacity
bin as those specified for IVEC, as
detailed in Recommendation #12. The
airflow provisions pertaining to IVEC
mentioned in section III.F.4 of this
NOPR (i.e., a limit on minimum airflow
used for testing and no separate test
provisions for MZVAV units) apply to
the test provisions for the IVHE metric
as well.
The results from optional and
required testing as well as the newly
included operating modes are included
in the calculation of the IVHE metric
utilizing the weighting factors outlined
in Recommendation #8 and calculation
methods from appendix C of the
ACUAC and ACUHP Working Group TP
Term Sheet. The calculation methods
for IVHE that implement these changes
are further detailed in the paragraphs
that follow.
The IVHE metric includes
contributions from both mechanical and
resistance heating to meet building
heating load. Similar to the IVEC
calculation approach, the IVHE metric is
calculated by dividing the total annual
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building heating load by the total
annual energy use.
Recommendations #8, #9 and #10, as
well as appendices B and C of the
ACUAC and ACUHP Working Group TP
Term Sheet, provide the calculation
methods for the IVHE metric. The
proposed hour-based weighting factors
and bin temperatures for IVHE are
included in Recommendation #8 of the
ACUAC and ACUHP Working Group TP
Term Sheet, which specifies 10 distinct
load-based bins alongside weighting
factors for heating season ventilation
and operation of crankcase heat in
unoccupied no-load heating season
hours. The calculation methods
outlined for the IVHE metric in the
ACUAC and ACUHP Working Group TP
Term Sheet are specified as the
following:
1. Building load calculation:
Recommendation #8 includes the
calculation method for the building load
in each load bin based on the measured
full-load cooling capacity.
2. Interpolation between
temperatures: Appendix C of the
ACUAC and ACUHP Working Group TP
Term Sheet specifies interpolation
instructions for the various test
temperatures specified in
Recommendation #8. Interpolation
instructions are specified for bins with
temperatures between 17 °F and 47 °F.
Appendix C also includes the following
instructions for bins with temperatures
less than 17 °F: (1) interpolation
instructions to be used if the optional
5 °F test is conducted, and (2)
extrapolation instructions utilizing the
47 °F and 17 °F test data to be used if the
5 °F test is not conducted.
3. Determination of heating stage,
auxiliary heat, and cyclic degradation:
For load bins in which the calculated
building load exceeds the highest-stage
mechanical heating capacity determined
for the bin temperature, appendix C of
the ACUAC and ACUHP Working Group
TP Term Sheet includes calculation
methods for determining the power
required by auxiliary resistance heat
and is included in the overall IVHE
calculation. For load bins in which the
calculated building load is lower than
the lowest-stage mechanical heating
capacity determined for the bin
temperature, appendix C of the ACUAC
and ACUHP Working Group TP Term
Sheet includes calculation methodology
for calculating power and incorporating
cyclic degradation with a cyclic
degradation factor of 0.25. This cyclic
degradation methodology is consistent
with the methodology specified in
appendix M1 to subpart B of 10 CFR
part 430 for residential central heat
pumps. For load bins in which the
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56415
calculated building load is in between
the lowest-stage and highest-stage
mechanical heating capacities
determined for the bin temperature,
appendix C of the ACUAC and ACUHP
Working Group TP Term Sheet includes
calculations for determining power
based on interpolation between
performance of mechanical heating
stages.
4. Defrost degradation: The capacity
calculations for all load bins with
temperatures less than 40 °F include a
defrost degradation coefficient, with
calculations specified in appendix C of
the ACUAC and ACUHP Working Group
TP Term Sheet.
5. Cut-out factor: Recommendation
#10 of the ACUAC and ACUHP Working
Group TP Term Sheet specifies that
manufacturers will certify cut-in and
cut-out temperatures, or the lack
thereof, to DOE to ensure resistanceonly operation is included at
temperatures below which mechanical
heating would not operate. This
restriction is implemented in
calculations through a cut-out factor
included in appendix C. DOE is not
proposing to amend the certification or
reporting requirements for ACUHPs in
this NOPR to require reporting cut-in
and cut-out temperatures. Instead, DOE
may consider proposals to amend the
certification and reporting requirements
for this equipment under a separate
rulemaking regarding appliance and
equipment certification.
6. Crankcase heater power
contribution: In alignment with the
inclusion of crankcase heater power
contribution in IVEC, appendix C of the
ACUAC and ACUHP Working Group TP
Term Sheet specifies a method for
incorporating crankcase heat power for
all heating season operating modes for
ACUHPs. Specifically, for part-load
heating tests, crankcase heat is
accounted for in power measurements
of higher stage compressors that are
staged off during testing, while
crankcase heat operation of lower-stage
compressors when cycled off as well as
crankcase heat operation in other
operating modes is calculated using the
certified crankcase heater power.
Based on participation in the Working
Group, DOE understands that the
changes recommended for the IVHE
metric are intended to result in an
efficiency metric that is more
representative of CUHP operation. As
discussed, DOE tentatively agrees with
the approach recommended by the
Working Group and is proposing to
adopt the IVHE metric in appendix A1,
as specified in the AHRI 1340–202X
Draft (including the provisions
discussed in section III.F.6 of this NOPR
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that were not included in the ACUAC
and ACUHP Working Group TP Term
Sheet).
a. IVHE for Colder Climates
While stakeholder comments received
(as discussed in section III.F.1.h)
indicate that the majority of current
CUHP shipments are concentrated in
the south and southwestern regions of
the country, it is likely that in the future
manufacturers will develop CUHPs that
are designed for operation in colder
climates, and correspondingly that the
market for CUHPs in colder climates is
expected to grow. Because the IVHE
metric is based on the US national
average climate across all US climate
zones, the lowest bin temperature for
calculating IVHE is 15.9 °F, and a small
fraction of heating hours are at colder
temperatures (i.e., 19 percent of heating
hours are in a load bin with a
temperature colder than 32 °F, and less
than 1 percent of heating hours are in
a load bin with a temperature colder
than 17 °F).
As a result, the AHRI 1340–202X
Draft includes provisions, including
weighting factors and temperature bins,
for calculating a colder climate-specific
IVHE metric, designated as IVHEC,
which are distinct from the provisions
used for IVHE. Specifically, IVHEC was
developed using the same building
heating analysis that was used to
develop IVHE (as discussed in section
III.F.5 of this NOPR), but the IVHEC
weighting factors and load bins were
developed using the results for climates
zones 5 and above (i.e., climate zone 5
as well as all climate zones colder than
climate zone 5), weighted by the share
of the US population in each of those
climate zones. The use of only climate
zones 5 and colder for IVHEC results in
the following, compared to IVHE: lower
outdoor dry-bulb temperature for each
load bin, more heating season hours in
all load bins, and a higher heating
season building load. Specifically, for
IVHEC, 56 percent of heating hours are
in a load bin with a temperature colder
than 32 °F, and 12 percent of heating
hours are in a load bin with a
temperature colder than 17 °F. Further,
because the defrost degradation
coefficients specified in appendix C of
the ACUAC and ACUHP Working Group
TP Term Sheet depend on the outdoor
temperature for each load bin (and
IVHEC has colder bin temperatures than
IVHE), the AHRI 1340–202X Draft also
specifies separate defrost degradation
coefficients for calculating IVHEC. The
temperatures and hours for each load
bin for calculating IVHE and IVHEC can
be found in section 6.3.2 of the AHRI
1340–202X Draft.
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Given the potential for the
development of CUHPs designed for
operation in colder climates and the
expected increased number of
shipments of CUHPs into colder
climates, DOE recognizes the utility in
having CUHP ratings for a separate
IVHE metric that is specific to colder
climates. Correspondingly, DOE has
tentatively concluded that the IVHEC
metric as specified in the AHRI 1340–
202X Draft is more representative of
field conditions for CUHPs installed in
colder US climates. Therefore, DOE is
proposing to adopt provisions for
determining the IVHEC metric in
appendix A1 via reference to the AHRI
1340–202X Draft, and to allow for
optional representations of IVHEC for
CUHPs. Specifically, DOE is proposing
that IVHE would be the regulated metric
when testing to appendix A1; therefore,
should DOE adopt amended standards
for CUHPs in terms of IVEC and IVHE,
all CUHPs would be required to certify
compliance with IVHE standards, and
additional representations of IVHEC
would be optional.
6. Additions and Revisions to the IVEC
and IVHE Metrics Not Included in the
Term Sheet
AHRI 1340–202X Draft includes
several provisions regarding the new
IVEC and IVHE metrics that are not
included in the ACUAC and ACUHP
Working Group TP Term Sheet. DOE
notes that the ACUAC and ACUHP
Working Group TP Term Sheet includes
provisions to allow changes to the
proposals in the term sheet if mistakes
in the original recommendations are
identified through further analysis or
discussion between stakeholders. (See
EERE–2022–BT–STD–0015–0065,
Recommendations #2, #8, #11) Further,
the AHRI 1340–202X Draft includes a
number of additional test provisions
that DOE has tentatively concluded are
consistent with the intent of the ACUAC
and ACUHP Working Group TP Term
Sheet, but provide additional guidance
for determining IVEC and IVHE. As
discussed, DOE is proposing to adopt
AHRI 1340–202X Draft for determining
IVEC and IVHE in appendix A1,
including these additional provisions
not specified in the ACUAC and
ACUHP Working Group TP Term Sheet.
The following sections discuss these
provisions in further detail.
a. Cooling Weighting Factors
Adjustment
Subsequent to the development of the
ACUAC and ACUHP Working Group TP
Term Sheet, additional analysis of the
building models used to develop the
weighting factors for the IVEC metric
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indicated that the proposed weighting
hours included in the ACUAC and
ACUHP Working Group TP Term Sheet
are incorrect. Specifically, the weighting
hour factors in the ACUAC and ACUHP
Working Group TP Term Sheet overrepresent mechanical-only cooling
hours and underrepresent economizeronly and integrated-economizer hours
for all IVEC load bins. DOE presented
corrected weighting factors during the
ACUAC and ACUHP standards
negotiations and no concerns were
raised. (See EERE–2022–BT–STD–0015–
0078 at p. 8) These corrected IVEC
weighting factors are included in AHRI
1340–202X Draft. DOE is proposing to
adopt AHRI 1340–202X Draft for
determining IVEC and IVHE in
appendix A1, including these updated
IVEC weighting factors.
b. ESP Testing Target Calculation
Recommendation #12 of the ACUAC
and ACUHP Working Group TP Term
Sheet includes an equation for
determining adjusted ESP for cooling or
heating tests that use an airflow that
differs from the full-load cooling
airflow. However, the equation specified
in Recommendation #12 is missing a
term for the full-load ESP. This equation
is corrected in AHRI 1340–202X Draft.
DOE is proposing to adopt these
provisions of AHRI 1340–202X Draft for
determining IVEC and IVHE in
appendix A1, including this corrected
equation for determining adjusted ESP.
c. Test Instructions for Splitting ESP
Between Return and Supply Ductwork
As discussed previously,
Recommendation #12 of the ACUAC
and ACUHP Working Group TP Term
Sheet specifies that ESP shall be split
between return and supply ducts during
testing, such that 25 percent of the ESP
is applied in the return ductwork.
However, the ACUAC and ACUHP
Working Group TP Term Sheet does not
contain explicit test setup instructions
specifying how to achieve the split in
ESP between return and supply
ductwork. Section E11 of the AHRI
1340–202X Draft includes more detailed
instructions regarding the duct and
pressure measurement setup, the
measurement and adjustment of the
return static pressure, and the
restriction devices that can be used in
the return ductwork to achieve the
required split of between 20 and 25
percent of the total ESP applied to the
return ductwork. The AHRI 1340–202X
Draft also includes test instructions for
cases in which the ESP split is not
achieved in the first test as well as any
exceptions to the specified tolerance
requirement. DOE has tentatively
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concluded that these additional
instructions will provide a more
consistent measurement of ESP and are
aligned with the intent of
Recommendation #12 of the ACUAC
and ACUHP Working Group TP Term
Sheet. Therefore, DOE is proposing to
adopt these provisions of the AHRI
1340–202X Draft for determining IVEC
and IVHE.
d. Default Fan Power and Maximum
Pressure Drop for Coil-Only Systems
DOE’s current test procedure for
CUACs and CUHPs references ANSI/
AHRI 340/360–2007, and section 6.1 of
that test standard specifies default fan
power and corresponding capacity
adjustment for ACUACs, ACUHPs,
ECUACs, and WCUACs with a coil-only
configuration (i.e., without an integral
indoor fan). Specifically, ANSI/AHRI
340/360–2007 requires that an indoor
fan power of 365 Watts (W) per 1,000
standard cubic feet per minute (scfm) be
added to power input for coil-only units
and that the corresponding heat
addition (i.e., 1,250 Btu/h per 1,000
scfm) be subtracted from measured
cooling capacity (and added to
measured heating capacity), regardless
of capacity of the unit under test and
regardless of full or part-load test
conditions. In the July 2017 TP RFI,
DOE requested comment on the
prevalence of ACUACs, ACUHPs,
ECUACs, and WCUACs that are sold in
coil-only configurations and requested
data on the typical efficiency or typical
power use and airflow of fans used with
coil-only ACUACs, ACUHPs, WCUACs,
and ECUACs in field installations. 82
FR 34427, 34440 (July 25, 2017).
In response, Lennox and AHRI stated
that the market for coil-only ACUACs
and ACUHPs is very small and that less
than 1 percent of the approximately
9,000 models listed in the AHRI
directory are coil-only models. In
addition, Lennox and AHRI stated their
expectation that the coil-only
configuration will become even less
common or disappear from the market
by 2023 when new energy conservation
standards become effective. (Lennox,
EERE–2017–BT–TP–0018–0008 at p. 3;
AHRI, EERE–2017–BT–TP–0018–0011
at pp. 23–24) Lennox recommended
maintaining the current default fan
power because the market for these
configurations is very small and stated
that the effect of any change in default
fan power associated with the difference
in typical energy use would be de
minimis. (Lennox, EERE–2017–BT–TP–
0018–0008 at p. 3)
Section 6.1.1.6 of AHRI 340/360–2022
has the same requirement as ANSI/
AHRI 340/360–2007 regarding default
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fan power and capacity adjustment of
coil-only systems. Additionally, both
section 6.1.3.2(d) of ANSI/AHRI 340/
360–2007 and section 6.1.3.3.4 of AHRI
340/360–2022 specify that for coil-only
systems, the pressure drop across the
indoor assembly shall not exceed 0.30
in H2O for the full-load cooling test. If
the measured pressure drop exceeds
that value, then the industry test
standards specify that the indoor airflow
rate be reduced such that the measured
pressure drop does not exceed the
specified maximum pressure drop.
The AHRI 1340–202X Draft includes
different requirements for testing coilonly units as compared to ANSI/AHRI
340/360–2007 and AHRI 340/360–2022.
First, section 5.17.4 of the AHRI 1340–
202X Draft includes a higher maximum
pressure drop across the indoor
assembly of 1.0 in H2O when testing
coil-only units, as compared to the
maximum pressure drop of 0.3 in H2O
specified in ANSI/AHRI 340/360–2007
and AHRI 340/360–2022. Second,
section 6.2.4.2 of the AHRI 1340–202X
Draft includes higher default fan power
values than specified in ANSI/AHRI
340/360–2007 and AHRI 340/360–2022;
these values were updated to reflect the
higher ESP requirements used for IVEC
and IVHE. Because the ACUAC and
ACUHP Working Group TP Term Sheet
and AHRI 1340–202X Draft specify ESP
requirements that vary by capacity bin,
section 6.2.4.2 of the AHRI 1340–202X
Draft specifies different default fan
power adders and capacity adjustments
for each capacity bin, developed based
on fan power needed to overcome the
ESP requirement for each bin.
Lastly, while ANSI/AHRI 340/360–
2007 and AHRI 340/360–2022 specify a
single default fan power adder (and
corresponding capacity adjustment) to
be used for all tests, the AHRI 1340–
202X Draft includes separate default fan
power adders and capacity adjustments
for full-load tests and part-load tests
(i.e., tests conducted at an airflow lower
than the full-load cooling airflow) to
reflect that fan power does not decrease
linearly with airflow (i.e., reducing
airflow in part-load operation would
reduce fan power in field operation by
more than would be calculated using a
single power adder that is normalized
by airflow). These part-load fan power
adders and capacity adjustments were
developed assuming a part-load airflow
that is 67 percent of the full-load
airflow. The AHRI 1340–202X Draft
does not specify what values to use if
the part-load airflow is higher than 67
percent of the full-load airflow. In a test
procedure final rule for CAC/HPs
published October 25, 2022, DOE
adopted a part-load fan power adder
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and capacity adjustment for coil-only
systems based on 75 percent of the fullload airflow, and specified that linear
interpolation be used to determine the
default fan power coefficient between
the part-load and full-load default fan
power coefficients when the specified
part-load airflow is between 75 and 100
percent of the full-load airflow. 87 FR
64550, 64558. DOE has tentatively
concluded that similar linear
interpolation provisions would be
appropriate for coil-only CUACs and
CUHPs in the case where the airflow
specified by a manufacturer for a test is
between 67 and 100 percent of the fullload airflow. Therefore, DOE is
proposing to include similar provisions
in appendix A1 that specify how to
calculate the default fan power
coefficient and capacity adjustment in
such cases.
Consistent with the basis of part-load
values in the AHRI 1340–202X Draft on
67 percent of full-load cooling airflow,
DOE is also proposing to clarify that for
tests in which the manufacturerspecified airflow is less than the fullload cooling airflow, the target airflow
for the test must be the higher of: (1) the
manufacturer-specified airflow for the
test; or (2) 67 percent of the airflow
measured for the full-load cooling test.
DOE tentatively concludes the
changes to the coil-only test procedure
in the AHRI 1340–202X Draft represent
industry consensus on the most
appropriate and representative way to
test and determine IVEC and IVHE of
coil-only systems. Additionally, DOE
has tentatively concluded that
provisions to address manufacturerspecified airflows between 67 and 100
percent of full-load cooling airflow (via
interpolation between the specified fullload and part-load fan power adders and
capacity adjustments) would provide a
representative means to develop ratings
for coil-only CUACs and CUHPs,
consistent with the CAC/HP test
procedure at appendix M1. Lastly, these
do not conflict with any
recommendations in the ACUAC and
ACUHP Working Group TP Term Sheet.
DOE has tentatively concluded that
these provisions provide a
representative method to test coil-only
units that better aligns with the test
requirements for CUACs and CUHPs
with integral fans specified in the
ACUAC and ACUHP Working Group TP
Term Sheet and the AHRI 1340–202X
Draft. Therefore, DOE is proposing to
reference the provisions for testing coilonly units specified in sections 5.17.4
and 6.2.4.2 of the AHRI 1340–202X
Draft with additional instruction to use
linear interpolation for determining the
fan power adder and capacity
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adjustment for instances when
manufacturers specify an airflow
between 67 and 100 percent of full-load
cooling airflow, and clarifying that
airflow for coil-only systems must not
be lower than 67 percent of full-load
cooling airflow.
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e. Component Power Measurement
Section E10 of AHRI 1340–202X Draft
includes additional instruction
regarding how the total unit, indoor fan,
controls, compressor, condenser section,
and crankcase heat power should be
measured and accounted for during a
test. This includes details that were not
included in the ACUAC and ACUHP
Working Group TP Term Sheet, as well
as updates to address issues such as
unique model designs and power meter
precision that were identified after the
term sheet was completed. For example,
although the ACUAC and ACUHP
Working Group TP Term Sheet specified
that controls power be determined by
subtracting all other power
measurements from the total unit
power, sections E10.1 and E10.2 of
AHRI 1340–202X Draft require that
controls power be measured. This is
because controls power is a much
smaller value than power consumed by
other components of a CUAC or CUHP
and thus is more accurately determined
by measuring directly with a power
meter of sufficient precision. Section
E10.2 of AHRI 1340–202X Draft also
allows for determination of compressor
and condenser section power by
measurement together or by subtraction
from total power (i.e., separate power
measurement of power consumed by the
compressor and condenser section is not
required). These provisions address
cases in which unique wiring of certain
models may make separate
measurement of compressor and
condenser section power very difficult
or impossible, in addition to cases in
which the laboratory does not have
enough power meters to measure all
components separately. Section E10.3
also provides an equation for calculating
default value(s) for crankcase heater
power to address the case in which a
manufacturer does not specify crankcase
heater wattage.22 DOE has tentatively
concluded that these provisions will
provide more repeatable and
representative test results and is
22 As discussed, Recommendation # 13 of the
ACUAC and ACUHP Working Group TP Term
Sheet requires that manufacturers certify crankcase
heater wattage for each heater. DOE is not
proposing amendments to certification
requirements in this rulemaking, and will instead
address certification requirements in a separate
rulemaking for certification, compliance, and
enforcement.
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proposing to adopt them through
reference to section E10 of the AHRI
1340–202X Draft.
f. IVHE Equations
Section 6.3 of the AHRI 1340–202X
Draft includes the following changes
regarding the heating metric equations
that differ from the provisions in
appendix C of the ACUAC and ACUHP
Working Group TP Term Sheet.
1. Removal of the cut-out factor from
certain equations: As discussed in
section III.F.5 of this NOPR, appendix C
of the ACUAC and ACUHP Working
Group TP Term Sheet includes a cut-out
factor in IVHE calculations to reflect the
dependence of unit performance on
whether compressors are cut-out at a
given bin temperature. However, the
cut-out factor was inadvertently
included in certain equations in
appendix C of the ACUAC and ACUHP
Working Group TP Term Sheet where it
should not apply (i.e., equations to
determine unit performance that should
not be impacted by the fraction of time
in which compressors are cut out).
Therefore, in the AHRI 1340–202X
Draft, the cut-out factor was removed
from those equations where it was
incorrectly applied in the ACUAC and
ACUHP Working Group TP Term Sheet.
DOE notes that these changes would
only affect IVHE calculation for models
with a cut-out or cut-in temperature
higher than the temperature of the
lowest load bin.
2. Accounting for auxiliary heat when
compressors are cut out: When
compressors are cut-out, auxiliary heat
would operate to meet the building
load. This auxiliary heat operation is
addressed in section b of appendix C of
the ACUAC and ACUHP Working Group
TP Term Sheet (i.e., when building load
exceeds the highest stage unit heating
capacity at a given bin temperature), but
was inadvertently excluded in sections
c and d of appendix C of the ACUAC
and ACUHP Working Group TP Term
Sheet (i.e., when building load is
between capacities of a unit tested with
multiple heating stages, or when
building load is less than the capacity
for the lowest tested compressor stage).
Therefore, the AHRI 1340–202X Draft
includes corrections in these cases so
that auxiliary heat demand is applied to
meet building load in all cases in which
compressors are cut out.
3. Fan power applied in auxiliary
heat-only mode: In appendix C of the
Term Sheet, the equations do not
subtract the heat gain in the indoor
airstream from the indoor fan (i.e., ‘‘fan
heat’’) from the auxiliary heat demand.
The AHRI 1340–202X Draft addresses
this issue by subtracting fan heat from
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auxiliary heat demand. Additionally,
sections c and d of appendix C of the
ACUAC and ACUHP Working Group TP
Term Sheet assume that the fan would
be either cycling between airflows when
cycling between stages of compression
or operating at the lowest measured
indoor airflow for any cooling or heating
test when cycling on and off at the
lowest stage of compression; however,
the indoor fan would likely be operating
at the airflow corresponding to the fullload heating test when operating in
auxiliary heat mode. The AHRI 1340–
202X Draft addresses this by applying
fan power from the full-load heating test
for auxiliary heat-only mode. However,
DOE notes that because both fan heat
and auxiliary heat apply heat to the
indoor airstream with the same
efficiency (i.e., COP of 1), the airflow
assumed for auxiliary heat-only mode
does not impact results, as the fan heat
resulting from an increase in fan power
reduces the auxiliary heat needed to
meet the building load by the same
amount, resulting in no net change to
calculated IVHE.
4. Interpolation for variable-speed
compressor systems: When building
load is between capacities of a unit
tested with multiple heating stages,
section c of appendix C of the term
sheet includes a separate method for
interpolating between stages for
variable-speed compressor systems (i.e.,
a method that interpolates capacity
divided by power) from the method for
all other units (i.e., a method that
linearly interpolates power). As part of
development of the AHRI 1340–202X
Draft, it was determined that there were
insufficient data to support a separate
interpolation method for variable-speed
compressor systems, and therefore the
AHRI 1340–202X Draft applies the same
linear interpolation method based on
power for all units.
5. Compressor operating levels for
heating tests: Recommendation #9 of the
Term Sheet includes details on the
required and optional tests based on
configuration of the system (i.e., singlestage, two or more stages, and variablecapacity). Required tests include a test
at ‘‘high’’ operating level at 17 and 47 °
F; optional tests include tests at low and
intermediate operating levels at 17 and
47 ° F as well as high and ‘‘boost’’
operating levels at 5 ° F. For variablecapacity systems, the Term Sheet
specifies that the high speed and low
speed at each temperature should be the
normal maximum and minimum for
each ambient temperature. The AHRI
1340–202X Draft includes additional
explanation of which compressor
speeds correspond to the low, medium,
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high, and boost designations at each test
temperature.
DOE has tentatively concluded that
these updated IVHE equations as
described in the preceding paragraphs
would provide for a more accurate
calculation of IVHE. Further,
Recommendation #9 of the ACUAC and
ACUHP Working Group TP Term Sheet
states that the equations in appendix C
of the term sheet are subject to quality
control checking (‘‘QC’’) for errors with
the intent remaining the same as voted
on. DOE has tentatively concluded that
the discussed deviations in the AHRI
1340–202X Draft hold the same intent of
the recommendations set forth in the
ACUAC and ACUHP Working Group TP
Term Sheet. Therefore, DOE is
proposing to adopt the provisions of
AHRI 1340–202X Draft for determining
IVHE in appendix A1, including the
updated equations discussed in this
section.
DOE notes that appendix C of the
Term Sheet includes a provision that
‘‘additional provisions, still TBD would
apply for variable-speed compressors for
which pairs of full-speed or minimumspeed tests are not run at the same
speed.’’ The AHRI 1340–202X Draft
does not include any provisions
allowing for determination of capacity
for a bin by interpolating between tests
conducted at different compressor
operating levels. DOE has tentatively
concluded that this approach is
appropriate and that calculating IVHE
with results from multiple tests at each
compressor operating level will provide
representative ratings for manufacturers
that choose to include performance at
operating levels beyond the required
high operating level tests at 47 and 17 °F
in their representations of IVHE.
Therefore, DOE is not proposing to
deviate from the approach in the AHRI
1340–202X Draft.
g. Non-Standard Low-Static Indoor Fan
Motors
As discussed in section III.F.4, DOE is
proposing to include higher ESPs
recommended by the Working Group
and included in the AHRI 1340–202X
Draft in the Federal test procedure for
CUACs and CUHPs. However,
individual models of CUACs and
CUHPs with indoor fan motors intended
for installation in applications with a
low ESP may not be able to operate at
the proposed full-load ESP requirements
at the full-load indoor rated airflow. To
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address this situation, section 3.25 of
AHRI 1340–202X Draft defines ‘‘nonstandard low-static indoor fan motors’’
as motors which cannot maintain ESP as
high as specified in the test procedure
when operating at the full-load rated
indoor airflow and that are distributed
in commerce as part of an individual
model within the same basic model that
is distributed in commerce with a
different motor specified for testing that
can maintain the required ESP. Section
5.19.3.3 of AHRI 1340–202X Draft
includes test provisions for CUACs and
CUHPs with non-standard low-static
indoor fan motors that cannot reach the
ESP within tolerance during testing,
which require using the maximum
available fan speed that does not
overload the motor or motor drive,
adjusting the airflow-measuring
apparatus to maintain airflow within
tolerance, and operating with an ESP as
close as possible to the minimum ESP
requirements for testing. This approach
is consistent with the industry test
standard referenced by the DOE test
procedure for DX–DOASes (AHRI 920–
2020).
As discussed in section III.I.3.b, DOE
is proposing to clarify that
representations for a CUAC or CUHP
basic model must be based on the least
efficient individual model(s) distributed
in commerce within the basic model
(with the exception specified in 10 CFR
429.43(a)(3)(v)(A) for certain individual
models with the components listed in
Table 6 to 10 CFR 429.43(a)(3)). DOE
has tentatively concluded that the
combination of (1) the provisions in the
AHRI 1340–202X Draft for testing
models with ‘‘non-standard low-static
indoor fan motors’’ with (2) the
requirement that basic models be rated
based on the least efficient individual
model (with certain exceptions, as
discussed) provides an appropriate
approach for handling CUAC and CUHP
models with these motors—if an
individual model with a non-standard
low-static indoor fan motor is tested, the
test would be conducted at an indoor
airflow representative for that model.
But because testing at the rated airflow
for such an individual model would
result in testing at an ESP lower than the
requirement and thus a lower indoor fan
power, the representations for that basic
model would be required to be based on
an individual model with an indoor fan
motor that can achieve the ESP
requirements at the rated airflow.
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Consistent with the proposed adoption
of the AHRI 340/360–202X Draft in
appendix A1, DOE is not proposing any
deviations from the provisions for
testing models with non-standard lowstatic indoor fan motors.
7. Efficiency Metrics for ECUACs and
WCUACs
The current DOE test procedure for
WCUACs and ECUACs is specified at 10
CFR 431.96 and includes the EER
metric. The ACUAC and ACUHP
Working Group TP Term Sheet does not
include provisions for ECUACs and
WCUACs. However, AHRI 1340–202X
Draft includes provisions for
determining the new IVEC and optional
EER2 metric for ECUACs and WCUACs.
The AHRI 1340–202X Draft provisions
for determining IVEC and EER2 for
ECUACs and WCUACs are largely the
same as the provisions for ACUACs and
ACUHPs; however, there are several
provisions unique to ECUACs and
WCUACs—specifically regarding (1)
ESP requirements and (2) test
temperatures.
As discussed, the IVEC and EER2
metrics include higher ESP
requirements than the current DOE test
procedures and AHRI 340/360–2022.
For ECUACs and WCUACs with cooling
capacity greater than or equal to 65,000
Btu/h, the AHRI 1340–202X Draft
specifies the same ESP requirements for
determining IVEC and EER2 for
ECUACs and WCUACs as for ACUACs
and ACUHPs (shown in Table III.1 in
section III.F.4 of this NOPR). As
discussed in section III.F.1.e of this
NOPR, the AHRI 1340–202X Draft also
includes an ESP requirement of 0.5 in
H2O for testing ECUACs and WCUACs
with cooling capacity less than 65,000
Btu/h, which is consistent with the ESP
requirement specified in AHRI 210/240–
2023 for comparable air-cooled
equipment (i.e., air-cooled, three-phase
CUACs and CUHPs with cooling
capacity less than 65,000 Btu/h.
ECUACs and WCUACs use different
types of test temperatures than ACUACs
and ACUHPs, and AHRI 1340–202X
Draft includes test temperature
requirements for full-load and part-load
test points for determining IVEC for
ECUACs and WCUACs. Table III.3 and
Table III.4 show the test temperatures
included in the AHRI 1340–202X Draft
for determining IVEC for ECUACs and
WCUACs.
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TABLE III.3—IVEC TEST TEMPERATURES FOR ECUACS
AHRI 340/360–2022 IEER test temperatures
Test point
A
B
C
D
Outdoor air
dry-bulb
(°F)
...............................................................
...............................................................
...............................................................
...............................................................
95
81.5
68
65
Outdoor air
wet-bulb
(°F)
AHRI 1340–202X draft IVEC test temperatures
Make-up water
(°F)
75
66.2
57.5
52.8
Outdoor air
dry-bulb
(°F)
85
77
77
77
Outdoor air
wet-bulb
(°F)
95
85
75
65
Make-up water
(°F)
75
65
57
52
85
77
77
77
TABLE III.4—IVEC TEST TEMPERATURES FOR WCUACS
AHRI 340/360–2022 IEER test
temperatures
AHRI 1340–202X draft IVEC test
temperatures
Test point
Entering water
(°F)
A
B
C
D
...............................................................................................
...............................................................................................
..............................................................................................
..............................................................................................
85
73.5
62
55
Leaving water
(°F) *
Entering water
(°F)
95
..............................
..............................
..............................
85
72
62
55
Leaving water
(°F) *
95
..............................
..............................
..............................
ddrumheller on DSK120RN23PROD with PROPOSALS3
* AHRI 340/360–2022 and the AHRI 1340–202X Draft include a leaving water temperature condition only for the A test. Testing with the specified entering and leaving water temperature test determines the water flow rate used for the A test. For part-load tests, AHRI 340/360–2022 and
the AHRI 1340–202X Draft specify that the part-load water flow rate be set per the manufacturer’s installation instructions; and for any full-load
tests conducted at B, C, or D rating points (i.e., for interpolation to reach the target percent load), that the water flow rate used match the flow
rate measured for the A test. Therefore, a leaving water temperature is not specified for the B, C, and D tests.
DOE understands that the provisions
for determining IVEC and EER2 for
ECUACs and WCUACs included in the
AHRI 1340–202X Draft (including
higher ESP requirements and revised
test temperature requirements) reflect
industry consensus that the IVEC metric
(and optional EER2 metric) provide a
more representative measure of energy
efficiency for ECUACs and WCUACs.
Therefore, DOE tentatively concludes
that the IVEC metric specified in the
AHRI 1340–202X Draft (including ESP
requirements and test temperatures) is
more representative than the EER metric
specified in the current DOE test
procedure. Accordingly, DOE is
proposing to adopt the IVEC metric (as
well as the optional EER2 metric)
specified in the AHRI 1340–202X Draft
into appendix A1 of the Federal test
procedure for ECUACs and WCUACs.
At this time, DOE does not have
sufficient evidence to propose alternate
test conditions, but requests comment
on whether alternate test conditions are
appropriate for determining IVEC for
ECUACs and WCUACs.
As mentioned previously, the current
energy conservation standards of
ECUACs and WCUACs are in terms of
EER. Were DOE to adopt the appendix
A1 test procedure for determining IVEC
for ECUACs and WCUACs as proposed,
testing to the IVEC metric would not be
required until DOE adopts energy
conservation standards for ECUACs and
WCUACs in terms of that metric. As
discussed, DOE is also proposing to
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update the current test procedure for all
CUACs and CUHPs, including ECUACs
and WCUACs, in appendix A to
reference AHRI 340/360–2022,
maintaining the current EER metric
until DOE adopts energy conservation
standards for ECUACs and WCUACs in
terms of the proposed IVEC metric.
Issue 3: DOE requests comment in its
proposal to adopt the IVEC metric for
ECUACs and WCUACs in appendix A1
as specified in the AHRI 1340–202X
Draft, including the test temperature
requirements.
a. Heat Rejection Components for
WCUACs
WCUACs are typically installed in the
field with separate heat rejection
components 23 that reject heat from the
water loop to outdoor ambient air, but
these separate heat rejection
components are not accounted for in the
testing of WCUACs under the current
DOE test procedure. These heat
rejection components typically consist
of a circulating water pump (or pumps)
and a cooling tower. To account for the
power that would be consumed by these
components in field installations,
section 6.1.1.7 of AHRI 340/360–2022
specifies that WCUACs with cooling
capacities less than 135,000 Btu/h shall
add 10.0 W to the total power of the unit
23 Separate heat rejection components (e.g., a
cooling tower or circulating water pump) are not
used with ACUACs or ECUACs.
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for every 1,000 Btu/h of cooling
capacity.
The industry test procedure for
dedicated outdoor air systems
(DOASes)—AHRI 920–2020, ‘‘2020
Standard for Performance Rating of
Direct Expansion-Dedicated Outdoor
Air System Units’’—includes a different
method to account for the additional
power consumption of water pumps,
with a pump power adder referred to as
the ‘‘water pump effect’’ being added to
the calculated total unit power.
Specifically, section 6.1.6 of AHRI 920–
2020 specifies that the water pump
effect is calculated with an equation
dependent on the water flow rate and
liquid pressure drop across the heat
exchanger, including a term that
assumes a liquid ESP of 20 ft of water
column. In the May 2022 RFI, DOE
requested comment on the
representativeness of the AHRI 920–
2020 approach to account for power
consumption of external heat rejection
components as compared to the
approach in AHRI 340/360–2022. 87 FR
31743, 31752 (May 25, 2022).
On this topic, AHRI stated that its
members are still evaluating the
applicability of the AHRI 920 approach
but have some concerns regarding the
applicability to air-cooled equipment.
(AHRI, EERE–2022–BT–STD–0015–
0008 at p. 6) DOE notes that the
provisions discussed in this section
pertain only to WCUACs and not to aircooled equipment.
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The CA IOUs recommended DOE
adopt the approach used in AHRI 920–
2020 for adding power due to water
pumps. The CA IOUs concurred with
DOE that WCUAC and ECUAC
equipment are niche products with a
small market, and contended that a
simple power adder or alignment with
AHRI 920–2020 would be a good
solution. (CA IOUs, EERE–2022–BT–
STD–0015–0012 at p. 7)
Carrier commented that neither the
AHRI 340/360–2022 nor the AHRI 920–
2020 approach is appropriate, because
both methods rely on fixed constants
that may not give an accurate
representation of each system in the
field and ignore any opportunities for
improvements and optimization of the
building design. However, Carrier did
not suggest an alternative method to
accounting for the power consumption
of water pumps or a cooling tower.
Additionally, Carrier stated that both
AHRI 920 and AHRI 340/360 ignore the
impact of fouling,24 and recommended
fouling be considered for water-cooled
and evaporatively-cooled equipment.
(Carrier, EERE–2022–BT–STD–0015–
0010 at pp. 15–16)
Section 6.2.4.3 of the AHRI 1340–
202X Draft includes similar provisions
for accounting for the power of heat
rejection components for WCUACs to
those in AHRI 340/360–2022. However,
unlike AHRI 340/360–2022, the heat
rejection component power addition is
not limited to units with cooling
capacities less than 135,000 Btu/h in the
AHRI 1340–202X Draft, and instead
applies to WCUACs of all cooling
capacities.
In response to comments from
stakeholders, DOE does not have any
data to indicate that the approaches to
account for the power required by heat
rejection components in AHRI 340/360–
2022, AHRI 920–2020, or the AHRI
1340–202X Draft are inaccurate. Despite
expressing concerns regarding the
representativeness of the methods in
AHRI 340/360–2022 and AHRI 920–
2020, Carrier did not suggest any
alternative test method. While the CA
IOUs expressed a preference for use of
the method in AHRI 920, DOE has
tentatively concluded that the latest
approach presented in the AHRI 1340–
202X Draft is representative of industry
consensus to account for the power of
heat rejection components in WCUACs,
such as circulating water pumps and
cooling towers. Therefore, consistent
with the proposed adoption of the AHRI
340/360–202X Draft in appendix A1,
DOE is not proposing any deviations
24 ‘‘Fouling’’ refers to the formation of unwanted
material deposits on heat transfer surfaces.
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from the provisions for accounting for
the power of heat rejection components
for WCUACs specified in section 6.2.4.3
of the AHRI 1340–202X Draft.
As previously indicated, water-cooled
air conditioners and heat pumps rely on
pumps to circulate the water that
transfers heat to or from refrigerant in
the water-to-refrigerant coil. Most watercooled units rely on external circulating
water pumps; however, some watercooled units in other equipment
categories (e.g., water-source heat
pumps and DOASes) have integral
pumps included within the unit that
serve this function. For such units with
integral pumps, test provisions are
warranted to specify how to test with
the integral pump (e.g., provisions
specifying the liquid ESP at which to
operate the integral pump). AHRI 340/
360–2022 does not contain provisions
specific to testing WCUACs with
integral pumps. In contrast, DOE
recently adopted provisions requiring
that water-source DOASes with integral
pumps be tested with a target external
head pressure of 20 ft of water column
(consistent with AHRI 920–2020). 87 FR
45164, 45181 (July 27, 2022). DOE
requested comment on the prevalence of
WCUACs with integral pumps in the
May 2022 RFI, as it was not aware of
any WCUACs on the market with
integral pumps. DOE also sought
comment on what liquid ESP would be
representative for testing, if WCUACs
with integral pumps do exist on the
market. 87 FR 31743, 31752 (May 25,
2022).
AHRI and Carrier stated that they are
not aware of any WCUACs on the
market that contain integral pumps.
(AHRI, EERE–2022–BT–STD–0015–
0008 at p. 6; Carrier, EERE–2022–BT–
STD–0015–0010 at p. 16) Carrier noted
that typically, WCUACs are installed in
buildings with multiple units and then
connected to a central cooling tower
system; Carrier asserted that it would
not make sense to put pumps in each of
the units because multiple units use a
common cooling tower system. (Carrier,
EERE–2022–BT–STD–0015–0010 at p.
16)
Based on commenter responses
indicating a lack of WCUACs on the
market with integral pumps and lack of
provisions addressing WCUACs with
integral pumps in AHRI 340/360–2022
and the AHRI 1340–202X Draft, DOE is
not proposing to include test provisions
for WCUACs with integral pumps.
8. Efficiency Metrics for Double-Duct
Systems
As discussed in section III.B.3 of this
NOPR, double-duct systems are
equipment classes of ACUACs and
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ACUHPs, either single package or split,
designed for indoor installation in
constrained spaces, such that outdoor
air must be ducted to and from the
outdoor coil. DOE is proposing revisions
to the definition for double-duct
systems that align with the updated
definition in AHRI 340/360–2022 and
the AHRI 1340–202X Draft.
Pursuant to the current DOE test
procedure (which references ANSI/
AHRI 340/360–2007), double-duct
systems are tested and rated under the
same test conditions at zero outdoor air
ESP as conventional ACUACs and
ACUHPs (i.e., that are not double-duct
systems). AHRI 340/360–2022 added a
test method in appendix I that specifies
an outdoor air ESP requirement of 0.50
in. H2O for double-duct systems. When
testing with 0.50 in. H2O outdoor air
ESP, ratings are designated with the
subscript ‘‘DD’’ (e.g., EERDD, COPDD,
and IEERDD) to distinguish them from
the ratings determined by testing at zero
outdoor air ESP.
The ACUAC and ACUHP Working
Group TP Term Sheet does not include
provisions for double-duct systems.
However, the AHRI 1340–202X Draft
includes provisions for determining the
new IVEC and IVHE metrics for doubleduct systems. Specifically, similar to
appendix I of AHRI 340/360–2022, the
AHRI 1340–202X Draft applies a 0.50 in.
H2O outdoor air ESP requirement for
determining IVEC and IVHE for doubleduct systems. Other than this outdoor
air ESP requirement, the AHRI 1340–
202X Draft specifies no differences in
determining IVEC and IVHE for doubleduct systems as compared to
conventional ACUACs and ACUHPs.
Because double-duct systems are
installed indoors with ducting of
outdoor air to and from the outdoor coil,
DOE has tentatively concluded that
testing at a non-zero outdoor air ESP (as
specified in AHRI 1340–202X Draft)
would be more representative of field
applications than testing at zero outdoor
air ESP (as specified in the current
Federal test procedure). Further, DOE
has tentatively concluded that the IVEC
and IVHE metrics specified in the AHRI
1340–202X Draft are more
representative than the EER, IEER, and
COP metrics specified in the current
DOE test procedure, for the reasons
discussed throughout this NOPR (e.g.,
sections III.F.4 and III.F.5 of this NOPR)
for ACUACs and ACUHPs more
generally. Further, DOE has tentatively
concluded that the application of the
IVEC and IVHE metrics in the AHRI
1340–202X Draft to double-duct systems
reflect industry consensus that these
metrics provide a more representative
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measure of energy efficiency for doubleduct systems.
Therefore, DOE proposes to include
provisions in appendix A1 for
determining IVEC and IVHE for doubleduct systems. Although DOE is
proposing generally to incorporate by
reference AHRI 340/360–2022 in
appendix A, DOE has tentatively
determined not to reference in appendix
A the modified testing requirements for
double-duct systems specified in
appendix I of AHRI 340/360–2022
because the modified ESP requirements
would alter the measured efficiency of
double-duct systems. Instead, DOE
proposes to maintain the current metrics
for double-duct systems in appendix A.
As proposed, an outdoor air ESP
requirement of 0.50 in. H2O for doubleduct systems would only apply when
determining the new IVEC and IVHE
metrics per appendix A1.
As mentioned previously, the current
energy conservation standards for
double-duct systems are in terms of EER
and COP. Were DOE to adopt the test
procedures for IVEC and IVHE for
double-duct systems as proposed,
testing to those metrics would not be
required until DOE adopts energy
conservation standards for double-duct
systems in terms of those metrics.
Issue 4: DOE requests comment on its
proposal to adopt the IVEC and IVHE
metrics for double-duct systems in
appendix A1 as specified in the AHRI
1340–202X Draft.
G. Test Method Changes in AHRI
Standard 340/360
In the July 2017 TP RFI, DOE
requested and received comments on a
number of topics related to the current
DOE test procedure for CUACs and
CUHPs, and the most up-to-date version
of AHRI 340/360 that was available at
the time (i.e., AHRI 340/360–2015). 82
FR 34427, 34439–34445 (July 25, 2017).
With the publication of AHRI 340/360–
2022 and the development of the AHRI
1340–202X Draft, many of these topics
have been addressed in the updated and
draft versions of the standard. DOE is
not proposing any deviations from AHRI
340/360–2022 for appendix A. As
discussed later in this document, DOE
has tentatively determined, based upon
clear and convincing evidence, that the
updated industry test procedures in
AHRI 340/360–2022 and the AHRI
1340–202X Draft, as proposed to be
adopted by DOE in appendix A and
appendix A1, would more fully comply
with the EPCA requirements for the test
procedures to be reasonably designed to
produce test results that reflect the
energy efficiency or energy use of
CUACs and CUHPs during a
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representative average use cycle (as
determined by the Secretary), and not be
unduly burdensome to conduct. (42
U.S.C. 6314(a)(2)) In the following
sections, DOE summarizes the
comments received in response to the
July 2017 TP RFI, and discusses changes
in the industry test standard update that
are related to comments received, as
well as other changes to the industry
test standard AHRI 340/360 that are
relevant to DOE’s test procedure for
CUACs and CUHPs.
1. Vertical Separation of Indoor and
Outdoor Units
In the July 2017 TP RFI, DOE noted
that ANSI/AHRI 340/360–2007 does not
limit the vertical separation of indoor
and outdoor units when testing split
systems. 82 FR 34427, 34442 (July 25,
2017). In contrast, section 6.1.3.5 of
AHRI 340/360–2015 (the relevant
revision of that industry test standard at
the time of the July 2017 RFI) specifies
that the maximum allowable vertical
separation of the indoor and outdoor
units be no more than 10 feet,
presumably because separation greater
than 10 feet can adversely affect
measured performance. If test facilities
use indoor and outdoor environmental
chambers that are stacked vertically, the
limitation on vertical separation may
make it impractical or impossible to test
split systems. As part of the July 2017
TP RFI, DOE requested comment on
whether a maximum of 10 feet of
vertical separation of indoor and
outdoor units would limit the ability of
existing facilities to test split-system
CUACs and CUHPs and requested
comment on the impact that vertical
separation of split systems has on
efficiency and capacity. Id.
On this topic, AHRI commented that
if the vertical separation is too high,
there will be a large negative impact on
capacity and efficiency, and that if
separation approaches 15 feet,
intermediate traps may be needed. AHRI
also commented that this requirement
does not limit the ability of laboratories
to test units. (AHRI, EERE–2017–BT–
TP–0018–0011 at p. 26) Similarly,
Lennox commented that greater
separation would negatively impact
results, and that they were also not
aware of any test laboratories that had
difficulty with this requirement.
(Lennox, EERE–2017–BT–TP–0018–
0008 at p. 5) Carrier stated that vertical
separation can impact performance but
that the 10-foot maximum separation
should not be an issue as long as the
length of the interconnecting line in the
outdoor section does not exceed 5 feet.
(Carrier, EERE–2017–BT–TP–0018–0006
at p. 13) Goodman stated that a
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maximum of 10 feet of vertical
separation of the indoor and outdoor
units is appropriate. Goodman also
stated that the 10-feet maximum
allowable vertical separation ensures
minimal impact of suction line losses
and oil return problems, and that greater
vertical separation will adversely
impact cooling capacity and efficiency.
(Goodman, EERE–2017–BT–TP–0018–
0014 at p. 5) DOE received no other
comments on this issue.
AHRI 340/360–2022 and the AHRI
1340–202X Draft do not include any
specifications regarding the maximum
allowable vertical separation of the
indoor and outdoor units. DOE
understands that the approach provided
in both AHRI 340/360–2022 and the
AHRI 1340–202X Draft represents
industry consensus regarding setup for
testing of CUACs and CUHPs, and
surmises that the commenters’ original
positions on this provision changed
during the course of developing the
industry consensus standard. Consistent
with the proposed adoption of AHRI
340/360–2022 (in appendix A) and
AHRI 1340–202X Draft (in appendix
A1), DOE is not proposing specifications
regarding the maximum allowable
vertical separation of the indoor and
outdoor units.
2. Measurement of Air Conditions
In the July 2017 TP RFI, DOE
requested comment on condenser inlet
air size and uniformity using the criteria
in appendix C of AHRI 340/360–2015.
DOE also requested comment on
whether the requirements of appendix C
are sufficient to ensure reproducibility
of results and/or any test data that
demonstrate sufficient reproducibility.
82 FR 34427, 34442 (July 25, 2017).
Regarding this matter, AHRI and
Lennox stated that alterations to the
laboratory have been required to ensure
the air in the room is uniform. (AHRI,
EERE–2017–BT–TP–0018–0011 at p. 25;
Lennox, EERE–2017–BT–TP–0018–0008
at p. 5) Lennox stated that these
alterations typically include adjustment
to conditioning equipment supply
ducts, air mixers within the test room,
and temporary partitions to prevent air
stratification surrounding the unit under
test. (Lennox, EERE–2017–BT–TP–
0018–0008 at p. 5) Carrier commented
that the current method is well-proven
and used on rooftop units and chillers.
However, Carrier stated that airflow
stratification is an area of concern; it
requires not just measurement, but also
good test facilities that provide uniform
airflow. (Carrier, EERE–2017–BT–TP–
0018–0006 at p. 12) In response to DOE
asking specifically about ECUACs, AHRI
commented that the air sampling tree
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requirements in appendix C of AHRI
340/360–2015 are feasible for all
ECUACs, and that adding more wet-bulb
measurements than what is currently in
appendix C would not benefit test
reproducibility. (AHRI, EERE–2017–BT–
TP–0018–0011 at p. 25)
Appendix C of AHRI 340/360–2022
and AHRI 1340–202X Draft contains a
number of changes, including certain
changes related to temperature
uniformity, as well as provisions
regarding air condition measurement for
indoor air and outdoor outlet air. These
changes would improve test
representativeness and repeatability.
DOE understands that the approach
provided in appendix C of AHRI 340/
360–2022 and the AHRI 1340–202X
Draft represents industry consensus
regarding the most appropriate method
of measuring air conditions. Consistent
with the proposed adoption of AHRI
340/360–2022 (in appendix A) and
AHRI 1340–202X Draft (in appendix
A1), DOE is not proposing any
deviations from the provisions in
appendix C of AHRI 340/360–2022 and
AHRI 1340–202X Draft regarding
measuring air conditions.
3. Refrigerant Charging Instructions
As part of the July 2017 TP RFI, DOE
requested comment on whether it would
be appropriate to adopt an approach
regarding refrigerant charging
requirements for ACUACs and ACUHPs
that is similar or identical to the
approach used in the DOE test
procedure for central air conditioners
and heat pumps (CACs and HPs). DOE
also sought data to determine how
sensitive the performance of ACUACs,
ECUACs, and WCUACs is relative to
changes in the various charge indicators
used for different charging methods,
specifically the method based on subcooling. 82 FR 34427, 34441 (July 25,
2017).
On this topic, AHRI and Lennox
commented that charging instructions
should first be determined from the
supplemental PDF test instructions that
are certified to DOE. If instructions are
not found there, AHRI and Lennox
stated that charging should be
conducted in accordance with the
manufacturer installation instructions
provided with the unit. (AHRI, EERE–
2017–BT–TP–0018–0011 at p. 24;
Lennox, EERE–2017–BT–TP–0018–0008
at p. 4) Lennox further stated that if
neither the certified supplemental test
instructions (STI) nor the installation
instructions shipped with the unit
provide charging information, then a
predetermined method to set the
refrigerant charge should be employed,
consistent with the approach for CACs.
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Lennox also commented that charging
methods should consider a consistent
setup method in the test laboratories to
account for charge adjustments for
pressure transducers and any loss of
charge in the application of transducers,
and that charge verification is required
when visible damage on the equipment
is spotted, even if damage is minor.
(Lennox, EERE–2017–BT–TP–0018–
0008 at p. 4) Trane encouraged DOE to
require the certification of detailed
manufacturer instructions for setting up
CUACs for unique test standard
conditions, including the method that
the manufacturer uses to vary refrigerant
charge and the refrigerant charging
instructions that are unique to that unit
design. (Trane, EERE–2017–BT–TP–
0018–0012 at p. 2)
Carrier commented that DOE
currently requires charging instructions
to be included in the certified
supplemental test instructions for
CUACs. Further, Carrier stated that if
the manufacturer’s charging instructions
for a CUAC unit provide a specified
range for superheat, sub-cooling, or
refrigerant pressure, then DOE’s test
procedure should specify to use the
average of the range to determine the
refrigerant charge, consistent with AHRI
340/360–2015. (Carrier, EERE–2017–
BT–TP–0018–0006 at p. 11) Goodman
stated that while CUACs are sensitive to
changes in charge, regardless of the
charging method, manufacturers
typically provide a range of target values
for charging to allow for typical
accuracy of pressure and temperature
measurement equipment used in the
field. Goodman further commented that
it can provide a specific charging point
in the supplemental testing instructions
certified to DOE, but that adding
specific charge points to certified
instructions would be an added burden.
(Goodman, EERE–2017–BT–TP–0018–
0014 at p. 4)
Section 5.8 of AHRI 340/360–2022
and section 5.12 of the AHRI 1340–202X
Draft include a comprehensive set of
provisions regarding refrigerant
charging for CUACs and CUHPs that is
generally consistent with the approach
for CACs/HPs. Specifically, they require
that units be charged at conditions
specified by the manufacturer in
accordance with the manufacturer’s
installation instructions. If no
manufacturer-specified charging
conditions are provided, the test
standards specify charging at the
standard rating conditions (as defined in
Table 6 of AHRI 340/360–2022 and
Table 7 of the AHRI 1340–202X Draft).
These provisions also provide
additional charging instructions to be
used if the manufacturer does not
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provide instructions or if the provided
instructions are unclear or incomplete
(e.g., specifying default charging targets
to use if none are provided by the
manufacturer; specifying an instruction
priority to be used in the event of
conflicting information between
multiple manufacturer-provided
charging instructions).
DOE is proposing to adopt the
charging instructions in AHRI 340/360–
2022 and the AHRI 1340–202X Draft,
which are consistent with the charging
conditions DOE has established for
CACs/HPs. Additionally, given the
inclusion of these provisions in AHRI
340/360–2022 and AHRI 1340–202X
Draft, DOE understands that the
approach provided in section 5.8 of
AHRI 340/360–2022 and section 5.12 of
the AHRI 1340–202X Draft represents
industry consensus regarding the most
appropriate and representative approach
for refrigerant charging when testing
CUACs and CUHPs.
4. Primary and Secondary Methods for
Capacity Measurements
DOE’s current test procedure
references ANSI/ASHRAE 37–2009
which includes requirements on how to
perform the primary and secondary
methods of capacity measurement, and
further specifies which secondary
method can be used when testing
certain equipment classes. ASHRAE 37–
2009 lists applicable test methods in
Table 1 of that industry standard, but
the table does not indicate that the
outdoor air enthalpy method is
applicable for any configuration of
evaporatively-cooled equipment.
Therefore, the secondary method for
ECUACs is limited to use of the
refrigerant enthalpy method or
compressor calibration method for split
systems and only the compressor
calibration method for single-package
equipment. As part of the July 2017 RFI,
DOE requested comment and test data
on whether there is difficulty in
achieving a match between primary and
secondary capacity measurements when
testing ECUACs with rated capacities
less than 135,000 Btu/h and whether the
difficulty level is higher, lower, or the
same when testing the unit at full-load
conditions as compared to part-load
conditions. 82 FR 34427, 34444 (July 25,
2017). DOE also requested comment on
whether there would be a benefit in
allowing the outdoor air enthalpy
method as a secondary method of
capacity measurement for ECUACs or
whether there are other alternative
approaches that could be considered for
mitigating the potential test burden. Id.
In response to the July 2017 RFI,
AHRI commented that it does not have
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data on whether there is difficulty with
matching primary and secondary
capacity measurements for ECUACs.
AHRI added that it appreciates DOE’s
investigation of less burdensome
secondary capacity measurements, but
that its members are following ASHRAE
37 and, therefore, have not used the
outdoor enthalpy method for ECUACs.
(AHRI, EERE–2017–BT–TP–0018–0011
at pp. 28–29)
Appendix E of AHRI 340/360–2022
and the AHRI 1340–202X Draft include
requirements related to the method of
testing CUACs and CUHPs. These
appendices include requirements for
measuring capacity with the primary
method (i.e., the indoor air enthalpy
method) and with a secondary method
(e.g., outdoor air enthalpy method,
compressor calibration method,
refrigerant enthalpy method). More
specifically, AHRI 340/360–2022 and
the AHRI 1340–202X Draft reference the
primary and secondary methods for
capacity measurements listed in ANSI/
ASHRAE 37–2009 and specify that
testing shall comply with all of the
requirements in ANSI/ASHRAE 37–
2009.
Additionally, section E6 of AHRI 340/
360–2022 and the AHRI 1340–202X
Draft specify secondary capacity
measurement for all capacities of
CUACs and CUHPs, including
equipment with cooling capacity greater
than or equal to 135,000 Btu/h.
Correspondingly, section E6.2 of AHRI
340/360–2022 and the AHRI 1340–202X
Draft allow use of the cooling
condensate method (detailed in section
E6.6 of AHRI 340/360–2022 and the
AHRI 1340–202X Draft) as an acceptable
secondary capacity measurement for (1)
ECUACs with cooling capacity greater
than or equal to 135,000 Btu/h and (2)
single package ACUACs and ACUHPs
with outdoor airflow rates above 9,000
scfm.25
DOE has tentatively concluded that
requiring secondary capacity
measurement for CUACs and CUHPs
with cooling capacity greater than or
equal to 135,000 Btu/h would provide
more repeatable test results by ensuring
that there is confirmation of accurate
capacity measurements for testing all
units, without adding substantive
25 This provision of section E6.2 of AHRI 340/
360–2022 and the AHRI 1340–202X Draft regarding
the cooling condensate method only applies to
units that do not reject condensate to the condenser
coil. Section E6.2.1.1 of AHRI 340/360–2022 and
the AHRI 1340–202X Draft specify that no
secondary measurements are required for cooling or
heating tests for equipment that reject condensate
in the following groups: single package ACUACs
with outdoor airflow rates above 9,000 scfm and (2)
single package ECUACs with cooling capacity
greater than or equal to 135,000 Btu/h.
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burden to testing. Further, DOE
understands that many test laboratories
are limited in their ability to measure
outdoor airflow rates greater than 9,000
scfm (and thus limited in their ability to
conduct the outdoor air enthalpy
method for units with such outdoor
airflow rates; 26) therefore, DOE has
tentatively concluded that use of the
cooling condensate method for single
package CUACs with outdoor airflow
rates above 9,000 scfm would allow for
sufficient confirmation of capacity
measurement without making the test
procedure unduly burdensome.
DOE understands that the approach
provided in appendix E of AHRI 340/
360–2022 and the AHRI 1340–202X
Draft regarding primary and secondary
methods of capacity measurement
represents industry consensus regarding
the most appropriate method for testing
CUACs and CUHPs. Absent any data
indicating that an alternative secondary
method would reduce test burden while
still providing representative and
repeatable test results, DOE is proposing
to adopt the provisions in appendix E of
AHRI 340/360–2022 and the AHRI
1340–202X Draft regarding primary and
secondary methods of capacity
measurement.
5. Atmospheric Pressure
a. Adjustment for Different Atmospheric
Pressure Conditions
The current DOE test procedures for
CUACs and CUHPs do not include an
adjustment for different atmospheric
pressure conditions. Appendix D of
AHRI 340/360–2015 includes an
adjustment for indoor fan power and
corresponding fan heat to address
potential differences in measured
results conducted at different
atmospheric pressure conditions.
As part of the July 2017 TP RFI, DOE
requested test data validating the supply
fan power correction used in AHRI 340/
360–2015. 82 FR 34427, 34442 (July 25,
2017). DOE also sought test data
showing the impact that variations in
atmospheric pressure have on the
performance (i.e., capacity and
component power use) of ACUACs and
ACUHPs. Id.
AHRI stated that it was planning to
remove the atmospheric pressure
corrections from AHRI Standard 340/
360 until further industry research was
completed. (AHRI, EERE–2017–BT–TP–
26 DOE understands the most commonly used
secondary capacity measurement method for single
package ACUACs to be the outdoor air enthalpy
method. Measurement of outdoor airflow is
required for conducting the outdoor air enthalpy
method; therefore, the outdoor air enthalpy method
cannot be conducted if the outdoor airflow cannot
be measured.
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0018–0011 at p. 25) Carrier also stated
that AHRI was planning on removing
the atmospheric pressure correction and
supported keeping a lower limit of 13.7
psia for the barometric pressure,
because a lower value can result in
degradation of performance. (Carrier,
EERE–2017–BT–TP–0018–0006 at p. 12)
Lennox commented that the adjustment
method presented in AHRI 340/360–
2015 is theoretically sound but
recognized the need for additional
research to verify the impacts of testing
due to the nature of uncertainty and test
repeatability of calorimeter room
testing. (Lennox, EERE–2017–BT–TP–
0018–0008 at p. 4)
Since publication of the July 2017 TP
RFI, the atmospheric pressure correction
has been removed from the industry test
procedure and is not included AHRI
340/360–2022 or the AHRI 1340–202X
Draft. DOE is not proposing any
deviations from the provisions in AHRI
340/360–2022 or the AHRI 1340–202X
Draft regarding an atmospheric pressure
correction.
b. Minimum Atmospheric Pressure
Section 6.1.3.2 of AHRI 340/360–2015
specifies a minimum atmospheric
pressure of 13.7 psia for testing
equipment to address the potential
impact of atmospheric pressure on the
airflow rate and power of the outdoor
fan(s). This differs from the current DOE
test procedure in which there is no
minimum atmospheric pressure
requirement.
As part of the July 2017 TP RFI, DOE
requested comment on whether the
minimum atmospheric pressure of 13.7
psia specified in section 6.1.3.2 of AHRI
340/360–2015 would prevent any
existing laboratories from testing
equipment, and what burden, if any,
would be imposed by such a
requirement. 82 FR 34427, 34442.
AHRI commented it intends to keep
the lower limit of 13.7 psia in AHRI
Standard 340/360, and that the lower
limit represents approximately 1900 ft
above sea level, and that all known third
party testing laboratories meet this
requirement. (AHRI, EERE–2017–BT–
TP–0018–0011 at p. 25) Lennox and
Carrier recommended that DOE adopt
the lower limit of 13.7 psia. (Lennox,
EERE–2017–BT–TP–0018–0008 at p. 4;
Carrier, EERE–2017–BT–TP–0018–0006
at p. 12)
Section 6.1.3.2 of AHRI 340/360–2022
and section E2 of the AHRI 1340–202X
Draft include the 13.7 psia minimum
atmospheric pressure requirement. DOE
is not proposing any deviations from the
minimum atmospheric pressure
provisions specified in section 6.1.3.2 of
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c. Atmospheric Pressure Measurement
The accuracy of atmospheric pressure
measurements required by section 5.2.2
of ANSI/ASHRAE 37–2009 (which is
referenced in AHRI 340/360–2015) is
±2.5 percent. As part of the July 2017 TP
RFI, DOE estimated that under certain
circumstances, atmospheric pressure
measurements at the extremes of this
ANSI/ASHRAE 37–2009 tolerance can
result in variation in capacity
measurement of 1 to 2 percent. 82 FR
34427, 34443 (July 25, 2017). In the July
2017 TP RFI, DOE requested comment
on the typical accuracy of the
atmospheric pressure sensors used by
existing test laboratories. Id.
In response, AHRI commented that
the third-party laboratory used by AHRI
for certification testing uses sensors
with accuracy better than ±0.15 psia.27
(AHRI, EERE–2017–BT–TP–0018–0011
at p. 27) Carrier commented that the
brand of pressure sensors that are
currently used have an accuracy of
±0.001 inches of mercury (in. Hg).28
(Carrier, EERE–2017–BT–TP–0018–0006
at p. 15)
Section 5.12.1 of AHRI 340/360–2022
and section 5.16.2 of the AHRI 1340–
202X Draft specify a minimum accuracy
of atmospheric pressure measurement of
±0.50 percent, which is less stringent
than the accuracy suggested by Carrier
but more stringent than the accuracy
suggested by AHRI. Because the
committees to develop these standards
include manufacturers and third-party
test laboratory representatives, DOE has
tentatively determined that this
accuracy specification appropriately
represents the capability of atmospheric
pressure measuring instruments and
DOE is not proposing any deviations
from the minimum accuracy specified
in section 5.12.1 of AHRI 340/360–2022
and section 5.16.2 of the AHRI 1340–
202X Draft.
6. Condenser Head Pressure Controls
Condenser head pressure controls
regulate the flow of refrigerant through
the condenser and/or adjust operation of
condenser fans to prevent condenser
pressures from dropping too low during
low-ambient operation. When
employed, these controls ensure that the
refrigerant pressure is high enough to
maintain adequate flow through
refrigerant expansion devices such as
27 At standard atmospheric pressure (14.696 psia),
an accuracy of ±0.15 psia is equivalent to an
accuracy of ±1.0 percent.
28 At standard atmospheric pressure (29.92 in.
Hg), an accuracy of ±0.001 in. Hg is equivalent to
an accuracy of ±0.003 percent.
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thermostatic expansion valves. The use
of condenser head pressure controls
influences a unit’s performance when
operating in the field.
Section F7.1 of AHRI 340/360–2015
includes a time average test procedure
to be used in case head pressure
controls cause cycling of the condenser
fans and unsteady operation of the unit
under test. Specifically, the provisions
require two one-hour tests be run: one
at the upper bound of the tolerance on
outdoor ambient temperature, and one
at the lower bound. The test results for
both one-hour tests are averaged to
determine the capacity and efficiency
for the rating point that is used in the
IEER calculation. This issue was
reviewed by DOE in the context of
ACUACs in the December 2015 CUAC
TP final rule. In that final rule, DOE
clarified that head pressure controls
must be active during the test, but DOE
did not adopt the time-averaged head
pressure control test specified in AHRI
340/360–2015, indicating that AHRI
340/360–2015 was a draft document at
the time and that DOE would reconsider
adoption of the provisions for testing
units with head pressure control in a
future rulemaking. 80 FR 79655, 79660
(Dec. 23, 2015).
As part of the July 2017 TP RFI, DOE
requested information and data
regarding testing of CUACs and CUHPs
with head pressure controls that would
require the special test provisions
described in section F7.1 of AHRI 340/
360–2015, including: (1) whether such
units can be tested in compliance with
the relaxed stability requirements of
these test provisions; (2) whether the
test results accurately represent field
use; and (3) whether the test burden
associated with these tests is
appropriate. 82 FR 34427, 34441 (July
25, 2017).
AHRI, Lennox, and Carrier stated that
the time-average test method outlined in
appendix F of AHRI 340/360–2015 is
appropriate and that no problems have
been encountered thus far. (AHRI,
EERE–2017–BT–TP–0018–0011 at p. 24;
Lennox, EERE–2017–BT–TP–0018–0008
at p. 3; Carrier, EERE–2017–BT–TP–
0018–0006 at p. 11) AHRI also
commented that the burden of the time
average test method is appropriate.
(AHRI, EERE–2017–BT–TP–0018–0011
at p. 24)
Section E7.2 of AHRI 340/360–2022
and the AHRI 1340–202X Draft also
specify provisions for a time average test
procedure, consistent with AHRI 340/
360–2015. Further, sections E7.3 and
E7.4 of AHRI 340/360–2022 and the
AHRI 1340–202X Draft provide
additional direction for achieving
stability to be used if the tolerances for
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the head pressure control time average
test cannot be met. In light of the head
pressure control provisions in AHRI
340/360–2022 and the AHRI 1340–202X
Draft, DOE understands that the
approach provided in sections E7.2,
E7.3, and E7.4 of AHRI 340/360–2022
and the AHRI 1340–202X Draft
represent industry consensus regarding
the most appropriate and representative
approach for testing CUACs and CUHPs
with head pressure controls. DOE has
tentatively determined the approach in
AHRI 340/360–2022 and the AHRI
1340–202X Draft appropriately
represents the impact of head pressure
controls and DOE is not proposing any
deviations from the head pressure
control provisions specified in these
industry test standards.
7. Length of Refrigerant Line Exposed to
Outdoor Conditions
ANSI/AHRI 340/360–2007, AHRI 340/
360–2015, and AHRI 210/240–2008
require at least 25 feet of
interconnecting refrigerant line when
testing split systems. ANSI/AHRI 340/
360–2007 and AHRI 340/360–2015
require at least 5 feet of the
interconnecting refrigerant line to be
exposed to outdoor test chamber
conditions, whereas AHRI 210/240–
2008 requires at least 10 feet to be
exposed to outdoor test chamber
conditions. As part of the July 2017 TP
RFI, DOE requested comment and data
regarding the typical length of
refrigerant line that is exposed to
outdoor conditions on split-system
ACUAC, ECUAC, or WCUAC
installations and whether this length
varies depending on the capacity of the
unit. 82 FR 34427, 34443 (July 25,
2017). DOE also requested comment and
data on any measurements or
calculations that have been made of the
losses associated with refrigerant lines
exposed to outdoor conditions. Id. DOE
also estimated an upper bound of the
capacity loss to be approximately 1
percent of the capacity of the unit per
10 feet of refrigerant line exposed to
outdoor conditions and approximately
0.5 percent for 5 feet and requested
comment on this estimate. Id.
AHRI commented that the length of
refrigerant line that is exposed is
entirely dependent on the building in
which the unit is being installed, and
that AHRI chose 25 feet as a standard
value to ensure consistent testing.
(AHRI, EERE–2017–BT–TP–0018–0011
at p. 27) Lennox stated that DOE’s
calculation of capacity losses from
refrigerant lines exposed to outdoor
conditions is probably too high and that
losses can be minimized with
insulation. (Lennox, EERE–2017–BT–
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TP–0018–0008 at p. 6) Carrier
acknowledged the difference in
exposure to outdoor conditions across
test standards and initially suggested to
change the requirement for commercial
equipment (e.g., equipment with a rated
cooling capacity greater than or equal to
65,000 Btu/h) from 5 feet to 10 feet.
Carrier requested more time to
determine the length typically exposed
to outdoor conditions in actual
installations. Carrier also stated that
DOE’s loss estimate is probably
reasonable, but that they need more
time to develop a more accurate
estimate. (Carrier, EERE–2017–BT–TP–
0018–0006 at p. 15)
Since publication of the July 2017 TP
RFI, the industry specification has been
changed in AHRI 340/360. Section 5.7
of AHRI 340/360–2022 and section 5.11
of the AHRI 1340–202X Draft require
that at least 10 feet of interconnected
tubing be exposed to outdoor
conditions. Therefore, DOE is not
proposing any deviations from the
provisions regarding length of
refrigerant line exposed to outdoor
conditions in section 5.7 of AHRI 340/
360–2022 and section 5.11 of the AHRI
1340–202X Draft in appendix A and
appendix A1, respectively.
8. Indoor Airflow Condition Tolerance
DOE’s current test procedure for
ACUACs and ACUHPs with a rated
cooling capacity greater than or equal to
65,000 Btu/h specifies in section (6)(i) of
appendix A that the indoor airflow for
the full-load cooling test must be within
±3 percent of the rated airflow. DOE
adopted a 3 percent tolerance on indoor
airflow for testing ACUACs and
ACUHPs to limit variation in EER and
cooling capacity, based on test data and
feedback provided by industry
commenters. 80 FR 79655, 79659–79660
(Dec. 23, 2015). As part of the July 2017
RFI, DOE requested comment and data
showing whether variations in indoor
airflow impact the measured efficiency
or capacity of ECUACs and WCUACs
more or less than ACUACs and ACUHPs
and whether the ±3 percent tolerance is
appropriate for ECUACs and WCUACs.
82 FR 34427, 34442 (July 25, 2017).
In commenting on this issue, AHRI
stated that the indoor airflow rate
should not be influenced by the
condenser heat rejection medium (i.e.,
air-cooled, water-cooled, or
evaporatively-cooled) and that the ± 3
percent tolerance should be appropriate
for testing ECUACs and WCUACs.
(AHRI, EERE–2017–BT–TP–0018–0011
at p. 26) Similarly, Goodman stated that
ACUACs and WCUACs include similar
indoor fans, and therefore, the test
procedure provisions for setting indoor
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airflow for WCUACs should match the
existing provisions for ACUACs.
(Goodman, EERE–2017–BT–TP–0018–
0014 at p. 5)
Section 6.1.3.5.2.1 of AHRI 340/360–
2022 and section 5.19.13.1 of AHRI
1340–202X Draft specify that the indoor
airflow for the full-load cooling test
must be within ± 3 percent of the rated
airflow for all CUACs and CUHPs.
Accordingly, DOE is proposing to adopt
a 3-percent tolerance for ECUACs and
WCUACs consistent with the
requirement for ACUACs and ACUHPs,
through adoption of AHRI 340/360–
2022 into appendix A and AHRI 1340–
202X Draft into appendix A1.
9. ECUACs and WCUACs With Cooling
Capacity Less Than 65,000 Btu/h
As part of the July 2017 RFI, DOE
requested comment on whether there
are differences between ECUACs and
WCUACs with cooling capacities less
than 65,000 Btu/h and those with
cooling capacities greater than or equal
to 65,000 Btu/h that justify the
incorporation by reference of different
industry test standards for the different
cooling capacity ranges. DOE also asked
whether there are differences in field
installations and field use of this
equipment and the extent to which
these differences impact performance.
82 FR 34427, 34444 (July 25, 2017).
In response, DOE received comments
from Carrier and AHRI that supported
testing of ECUACs and WCUACs with
cooling capacities less than 65,000 Btu/
h according to AHRI Standard 340/360
and stated that this equipment is not
considered residential and is not subject
to the residential efficiency metric,
seasonal energy efficiency ratio (SEER).
(Carrier, EERE–2017–BT–TP–0018–0006
at pp. 15–16; AHRI, EERE–2017–BT–
TP–0018–0011 at p. 28) Carrier added
that field installations are similar for
these types of equipment regardless of
capacity. (Carrier, EERE–2017–BT–TP–
0018–0006 at p. 16)
As previously discussed, the current
industry standard referenced in DOE’s
test procedure for ECUACs and
WCUACs with cooling capacities less
than 65,000 Btu/h is ANSI/AHRI 210/
240–2008. However, AHRI published an
updated version of AHRI 210/240 (i.e.,
AHRI 210/240–2023), in which ECUACs
and WCUACs with cooling capacities
less than 65,000 Btu/h were removed
from the scope of AHRI 210/240–2023.
Instead, ECUACs and WCUACs with
cooling capacities less than 65,000 Btu/
h were included in the scope of AHRI
340/360–2022. Furthermore, DOE did
not identify any substantive differences
between AHRI 210/240–2017 and AHRI
340/360–2022 with respect to the test
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procedure for ECUACs and WCUACs
with cooling capacities less than 65,000
Btu/h. Therefore, based on its review,
DOE has tentatively determined that the
test procedure in AHRI 340/360–2022
for ECUACs and WCUACs with cooling
capacities less than 65,000 Btu/h is
comparable to the current Federal test
procedure for such equipment (which
references ANSI/AHRI 210/240–2008).
In January 2023, ASHRAE published
ASHRAE Standard 90.1–2022, which
included updates to the test procedure
references for ECUACs and WCUACs
with capacities less than 65,000 Btu/h to
reference AHRI 210/240–2023.
However, as discussed earlier in this
paragraph, ECUACs and WCUACs with
capacities less than 65,000 Btu/h are
outside of the scope of AHRI 210/240–
2023 and are instead included in AHRI
340/360–2022. Given these changes to
the relevant industry test standards,
DOE believes that such reference was an
oversight. Therefore, in appendix A
DOE is proposing to reference AHRI
340/360–2022 for ECUACs and
WCUACs with cooling capacities less
than 65,000 Btu/h. DOE has tentatively
concluded that this proposal would not
require retesting solely as a result of
DOE’s adoption of this proposed
amendment to the test procedure, if
made final.
As discussed in section III.F.6.d of
this NOPR, DOE is proposing to
reference the AHRI 1340–202X Draft in
appendix A1 for measuring IVEC for
ECUACs and WCUACs with cooling
capacity less than 65,000 Btu/h.
Measuring IVEC pursuant to appendix
A1 would not be required until such
time as compliance is required with any
amended energy conservation standards
for ECUACs and WCUACs in terms of
IVEC.
10. Additional Test Method Topics for
ECUACs
a. Outdoor Air Entering Wet-Bulb
Temperature
In the July 2017 RFI, DOE requested
comment on why the full-load outdoor
air entering wet-bulb temperature test
condition for the 100-percent capacity
test point used to calculate IEER was
changed from 75.0 °F in ANSI/AHRI
340/360–2007 (the industry standard
referenced in the current DOE test
procedure) to 74.5 °F in AHRI 340/360–
2015, which differs from the outdoor air
entering wet-bulb temperature test
condition (75.0 °F) for the standard
rating conditions. DOE requested
comment on whether the outdoor air
entering wet-bulb temperature should
be 75.0 °F for both the standard rating
conditions and the 100-percent capacity
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test point used to calculate IEER. DOE
also requested comment on whether the
outdoor air entering dry-bulb
temperatures for air-cooled units in
Table 6 of AHRI 340/360–2015 apply to
evaporatively-cooled units. 82 FR
34427, 34442 (July 25, 2017).
AHRI, Carrier, and Lennox all
commented that the different rating
conditions reflect an error in AHRI 340/
360–2015 which will be corrected, and
that the requirement should be 75.0 °F
for both purposes. (AHRI, EERE–2017–
BT–TP–0018–0011 at p. 26; Carrier,
EERE–2017–BT–TP–0018–0006 at p. 13;
Lennox, EERE–2017–BT–TP–0018–0008
at p. 5) Additionally, AHRI stated that
outdoor air entering dry-bulb
temperature is not a significant factor
for ECUAC performance because heat
transfer is driven by the outdoor air
entering wet-bulb temperature. (AHRI,
EERE–2017–BT–TP–0018–0011 at p. 26)
AHRI stated that it plans to add outdoor
air entering dry-bulb temperature
requirements for evaporatively-cooled
units in an addendum to AHRI 340/
360–2015, without specifying whether
these new dry-bulb temperature
requirements would be the same as the
dry-bulb temperatures currently
specified for air-cooled units. (Id.)
Since publication of the July 2017
RFI, this identified error has been
corrected in AHRI 340/360–2022. The
outdoor air entering wet-bulb
temperature for the 100-percent capacity
test point used to calculate IEER in
Table 9 of AHRI 340/360–2022 is now
set at 75.0 °F, which aligns with the
outdoor air entering wet-bulb
temperature requirement for the
standard rating conditions. DOE is
proposing to adopt the test conditions in
Table 9 of AHRI 340/360–2022 in
appendix A. The proposal would
maintain the full-load outdoor air
entering wet-bulb temperature test
condition for the 100-percent capacity
test point at 75.0 °F as required under
the current DOE test procedure, which
is consistent with the condition
specified in AHRI 340/360–2022.
comparison to the heat rejected from the
unit, and that, therefore, the impact on
unit performance is negligible. (AHRI,
EERE–2017–BT–TP–0018–0011 at p. 28)
Both AHRI 340/360–2019 and AHRI
340/360–2022 specify make-up water
temperatures of 85 °F for the full-load
cooling test, but the standards differ in
the make-up water temperatures
specified for part-load cooling tests.
Specifically, Table 8 of AHRI 340/360–
2019 specifies make-up water
temperatures of 81.5 °F, 68 °F, and 65 °F
for the 75-percent, 50-percent, and 25percent part-load cooling tests,
respectively. In contrast, Table 9 of
AHRI 340/360–2022 specifies a make-up
water temperature of 77 °F for all partload cooling tests, which aligns with the
make-up water temperature specified in
AHRI 210/240–2017 for ECUACs with
cooling capacity less than 65,000 Btu/h.
DOE does not have data or
information to indicate that the make-up
water temperature specifications in
AHRI 340/360–2022 are inappropriate.
DOE understands that the make-up
water temperatures specified in Table 9
of AHRI 340/360–2022 represent the
prevailing industry consensus regarding
the most appropriate method for testing
ECUACs of all cooling capacities.
Therefore, DOE has tentatively
concluded that, consistent with
comments from AHRI, the difference
between part-load make-up water
temperature conditions specified in
AHRI 340/360–2019 and AHRI 340/
360–2022 would have a negligible effect
on the measured IEER for ECUACs.
Additionally, DOE does not specify
standards for ECUACs in terms of IEER,
so the part-load make-up water
temperature does not affect the
efficiency (i.e., EER) certified to DOE.
For these reasons, DOE is not proposing
any deviations from the provisions
regarding make-up water temperature in
Table 9 of AHRI 340/360–2022 for
adoption in appendix A.
b. Make-Up Water Temperature
In the July 2017 RFI, DOE noted that
neither ANSI/AHRI 340/360–2007 nor
AHRI 340/360–2015 provide any
specifications on the make-up water
temperature for full-load or part-load
tests for ECUACs. 82 FR 34427, 34444
(July 25, 2017). Therefore, DOE
requested comment and data regarding
the impact that the make-up water
temperature has on the performance of
ECUACs. Id. AHRI responded that the
heat rejection caused by differences in
the condenser make-up water
temperature is insignificant in
As part of the July 2017 RFI, DOE
requested comment on whether
ECUACs that allow piping of evaporator
condensate to the condenser sump (a
variation not addressed in either the
DOE or industry test procedures)
present any complications (e.g.,
maintaining proper slope in the piping
from the evaporator to the outdoor unit
and test repeatability issues) when
testing in a laboratory. DOE also
requested comment and data indicating
what kind of impact piping the
evaporator condensate to the condenser
sump has on the efficiency and/or
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capacity of ECUACs. 82 FR 34427,
34444 (July 25, 2017).
In response, AHRI indicated that
reusing the evaporator condensate
would have a negligible impact on
performance. AHRI also stated it was
extremely important to follow the
manufacturer’s supplemental PDF
instructions when setting up a unit for
test to avoid complications. (AHRI,
EERE–2017–BT–TP–0018–0011 at p. 29)
Section E8.3 of AHRI 340/360–2022
and the AHRI 1340–202X Draft specify
that if such a feature is an option for an
ECUAC unit and the manufacturer’s
installation instructions do not require
the unit to be set up with this option,
then the unit should be tested without
it.
In light of the provisions in AHRI
340/360–2022 and the AHRI 1340–202X
Draft, DOE surmises that the provisions
regarding testing with such a feature
represent the prevailing industry
consensus regarding the most
appropriate and representative approach
for testing ECUACs. Further, DOE has
tentatively concluded that this
provision would improve the
repeatability of the test procedure by
ensuring that any given ECUAC model
is tested consistently with regards to
this feature. Therefore, DOE is not
proposing any deviations from the
provisions regarding testing with this
feature in section E8.3 of AHRI 340/
360–2022 and the AHRI 1340–202X
Draft.
d. Purge Water Settings
Some ECUACs require, as indicated in
product literature, that the sump water
be continuously or periodically purged
to reduce mineral and scale build-up on
the condenser heat exchanger. If an
ECUAC either continuously or
periodically purges during the test, the
purge rate may affect measured test
results. DOE’s current test procedure for
ECUACs does not address purge water
settings.
As part of the July 2017 RFI, DOE
requested comment on how the purge
water rate should be set for laboratory
testing if the manufacturer’s instructions
do not contain information on this
topic. 82 FR 34427, 34444 (July 25,
2017). AHRI responded that the length
of a typical laboratory test is not long
enough for there to be significant scale
or fouling build-up; therefore, purge
should not be necessary. (AHRI, EERE–
2017–BT–TP–0018–0011 at p. 29)
Section E8.4 of AHRI 340/360–2022
and the AHRI 1340–202X Draft specify
that purge water settings shall be set per
the manufacturer’s installation
instructions, and also detail what purge
rate to use in the case that the
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manufacturer’s instructions do not
provide sufficient guidance.
In light of the provisions in AHRI
340/360–2022 and the AHRI 1340–202X
Draft, DOE understands that the purge
water provisions in section E8.4 of
AHRI 340/360–2022 and the AHRI
1340–202X Draft represent the
prevailing industry consensus regarding
the most appropriate and representative
approach for testing these ECUACs.
Further, DOE has tentatively concluded
that this provision would improve the
repeatability of the test procedure by
ensuring ECUACs are tested
consistently with regards to purge water
settings, particularly when the
manufacturer’s instructions do not
provide sufficient guidance. Therefore,
DOE is not proposing any deviations
from the provisions in section E8.4 of
AHRI 340/360–2022 and the AHRI
1340–202X Draft regarding purge water
settings.
e. Condenser Spray Pumps
As discussed in the July 2017 RFI, the
rate that water is sprayed on the
condenser coil may have an impact on
the performance of an ECUAC. 82 FR
34427, 34445 (July 25, 2017). For units
with sumps, this rate may be affected by
the pump set-up, and, for units without
sumps, the incoming water pressure
may have an impact. DOE noted that
neither DOE’s current test procedures
nor the industry test standards for
ECUACs address these potential
variations. Id. As part of the July 2017
RFI, DOE requested comment on
whether the pump flow can be adjusted
on any ECUACs on the market that have
circulation pumps. DOE also requested
comment on whether ECUACs without
a sump exist and, if so, whether there
are requirements on the incoming water
pressure to ensure proper operation of
the spray nozzles. DOE also requested
comment and data regarding the
sensitivity of performance test results to
these adjustments. Id.
In response, AHRI indicated that it
was not aware of any ECUACs with
adjustable circulator pumps, but that if
there are such units, they should be
tested in accordance with the
manufacturer’s certified supplemental
test instructions. (AHRI, EERE–2017–
BT–TP–0018–0011 at p. 30)
Subsequent to the July 2017 RFI,
AHRI made relevant updates to AHRI
340/360. Section 5.2 of AHRI 340/360–
2022 and section XX of the AHRI 1340–
202X Draft both generally state that
units shall be installed per the
manufacturer’s installation instructions,
which would include condenser spray
pump settings in the manufacturer’s
supplemental test instructions. In the
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case of conflicting information, section
5.2 of AHRI 340/360–2022 and section
5.4 of the AHRI 1340–202X Draft specify
that priority shall be given to
installation instructions on the unit’s
label over installation instructions
shipped with the unit. DOE believes
that using manufacturer instructions
provides a repeatable test set-up that is
representative of the installation and
operation of equipment in the field.
Therefore, DOE is not proposing any
deviations from the provisions in
section 5.2 of AHRI 340/360–2022 and
section 5.4 of the AHRI 1340–202X Draft
regarding installation of units per the
manufacturer’s installation instructions.
f. Additional Steps To Verify Proper
Operation
As discussed in the July 2017 RFI,
some ECUACs may use spray nozzles
with very small diameter openings that
may become easily clogged, thereby
reducing the effectiveness of the heat
exchanger. DOE requested comment on
whether there are any additional steps
that should be taken to verify proper
operation of ECUACs during testing,
such as ensuring nozzles are not
blocked. 82 FR 34427, 34445 (July 25,
2017). AHRI responded that additional
steps, if any, should be outlined in the
manufacturer’s supplemental test
instructions. (AHRI, EERE–2017–BT–
TP–0018–0011 at p. 30)
Section 5.2 of AHRI 340/360–2022
and section 5.4 of the AHRI 1340–202X
Draft both generally state that units shall
be installed per the manufacturer’s
installation instructions, which would
include additional steps to verify proper
spray nozzle operation in the
manufacturer’s supplemental test
instructions. Therefore, DOE is not
proposing any deviations from the
provisions in section 5.2 of AHRI 340/
360–2022 and section 5.4 of the AHRI
1340–202X Draft regarding installation
of units per the manufacturer’s
installation instructions.
H. General Comments Received in
Response to the July 2017 TP RFI
In response to the July 2017 TP RFI,
DOE received several general comments
not specific to any one equipment
category or test procedure provision.
This section discusses those general
comments received.
NCI recommended that DOE follow
the development of ASHRAE 221P,
‘‘Test Method to Measure and Score the
Operating Performance of an Installed
Constant Volume Unitary HVAC
System,’’ and consider where it may be
appropriately applied within EPCA test
procedures. (NCI, EERE–2017–BT–TP–
0018–0004 at pp. 1–2) NCI stated that it
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has collected data indicating that typical
split systems and packaged units
serving residential and small
commercial buildings typically deliver
50 percent to 60 percent of the rated
capacity to the occupied zone, thereby
making laboratory tests unrepresentative
of field performance. Id.
As noted in section I.A, EPCA
prescribes that if an industry testing
procedure or rating procedure
developed or recognized by industry (as
referenced in ASHRAE Standard 90.1) is
amended, DOE must update its test
procedure to be consistent with the
amended industry test procedure,
unless DOE determines, by rule
published in the Federal Register and
supported by clear and convincing
evidence, that such amended test
procedure would not meet the
requirements in 42 U.S.C. 6314(a)(2)
and (3) related to representative use and
test burden. (42 U.S.C. 6314(a)(4)(A) and
(B)) DOE notes that ASHRAE Standard
90.1 does not reference ANSI/ASHRAE
Standard 221–2020, ‘‘Test Method to
Field-Measure and Score the Cooling
and Heating Performance of an Installed
Unitary HVAC System’’ 29 (ASHRAE
221–2020) as the applicable test
procedure for CUACs and CUHPs. NCI
also did not provide data on field
performance or any correlations
between field performance and
laboratory test performance for CUACs
and CUHPs for DOE to consider.
Furthermore, ASHRAE 221–2020 does
not provide a method to determine the
efficiency of CUACs and CUHPs. As
discussed, DOE is proposing to
incorporate by reference AHRI 340/360–
2022, the most recently published
version of the industry test procedure
recognized by ASHRAE Standard 90.1
for CUACs and CUHPs, consistent with
EPCA requirements. Additionally, DOE
is proposing to incorporate the testing
requirements and efficiency metric
calculation method outlined in the
ACUAC and ACUHP Working Group TP
Term Sheet in appendix A1.
The CA IOUs commented that while
the July 2017 TP RFI expressed interest
in reducing burden to manufacturers,
DOE already took steps to reduce this
burden by allowing alternative energy
efficiency or energy use determination
methods (AEDMs). (CA IOUs, EERE–
2017–BT–TP–0018–0007 at pp. 1–2)
The CA IOUs stated that there are no
further opportunities to streamline test
procedures to limit testing burden. Id.
Additionally, the CA IOUs stressed the
importance of accurate efficiency ratings
for its incentive programs and for
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customer knowledge, referencing the
statutory provision that test procedures
must produce results that are
representative of the product’s energy
efficiency. Id.
Lennox stated that it generally
supports DOE’s proposal to meet the
statutory requirements for designing test
procedures that measure energy
efficiency during an average use cycle,
but requested that DOE also consider
overall impacts to consumers and
manufacturers. (Lennox, EERE–2017–
BT–TP–0018–0008 at pp. 1–2) Lennox
stated that in commercial applications,
predicting actual energy use from a
single metric is difficult and that a
metric better serves as a point of
comparison rather than a measure of
energy use. Id. Lennox suggested that
DOE strike a balance between evaluating
equipment in a meaningful way without
introducing unwarranted regulatory
burden from overly complex test
procedures or calculations that provide
little value to consumers. Id.
In response to the CA IOUs and
Lennox, DOE notes that its approach to
test procedures is dictated by the
requirements of EPCA. As discussed,
EPCA prescribes that the test procedures
for commercial package air conditioning
and heating equipment must be those
generally accepted industry testing
procedures or rating procedures
developed or recognized by industry as
referenced in ASHRAE Standard 90.1.
(42 U.S.C. 6314(a)(4)(A)) If such an
industry test procedure is amended,
DOE must update its test procedure to
be consistent with the amended
industry test procedure, unless DOE
determines, by rule published in the
Federal Register and supported by clear
and convincing evidence, that the
amended test procedure would not meet
the requirements in 42 U.S.C. 6314(a)(2)
and (3) related to representative use and
test burden. (42 U.S.C. 6314(a)(4)(B) and
(C)) In establishing or amending its test
procedures, DOE must develop test
procedures that are reasonably designed
to produce test results reflecting energy
efficiency, energy use, and estimated
operating costs of a type of industrial
equipment during a representative
average use cycle and that are not
unduly burdensome to conduct. (42
U.S.C 6314(a)(2)) DOE’s considerations
of these requirements in relation to
individual test method issues are
discussed within the relevant sections
of this NOPR.
ASAP, ASE, et al. stated that there are
a number of ambiguities in industry test
procedures and that DOE should
address these ambiguities in order to
provide a level playing field for
manufacturers and to ensure that any
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verification or enforcement testing is
consistent with manufacturers’ own
testing. (ASAP, ASE, et al., EERE–2017–
BT–TP–0018–0009 at p. 2)
DOE notes that ASAP, ASE, et al. did
not identify any specific test provisions
that were the cause of their concern. In
the context of the test procedure for
CUACs and CUHPs, DOE has evaluated
the industry test standard in the context
of the statutory criteria regarding
representativeness of the measured
energy efficiency and test burden. To
the extent that existing provisions in the
relevant industry test procedure may
benefit from further detail, such
provisions are discussed in the
following sections of this document.
I. Configuration of Unit Under Test
1. Summary
CUACs and CUHPs 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. The following sections
address the required configuration of
units under test. In all cases, these
components are distributed in
commerce with the CUAC and CUHP
but can be packaged or shipped in
different ways from the point of
manufacture for ease of transportation.
Each optional component may or may
not affect a model’s measured efficiency
when tested to the DOE test procedure
proposed in this NOPR. For certain
components not directly addressed in
the DOE test procedure, this NOPR
proposes more specific instructions on
how each component should be handled
for the purposes of making
representations in 10 CFR part 429.
Specifically, these proposed
instructions would provide
manufacturers with clarity on how
components should be treated and how
to group individual models with and
without optional components for the
purposes of representations to reduce
burden. DOE is proposing these
provisions in 10 CFR part 429 to allow
for testing of certain individual models
that can be used as a proxy to represent
the performance of equipment with
multiple combinations of components.
In this NOPR, DOE is proposing to
handle CUAC and CUHP components in
two distinct ways to help manufacturers
better understand their options for
developing representations for their
differing product offerings. First, DOE
proposes that the treatment of certain
components be specified by the test
procedure, such that their impact on
measured efficiency is limited. For
example, a fresh air damper must be set
in the closed position and sealed during
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testing, resulting in a measured
efficiency that would be similar or
identical to the measured efficiency for
a unit without a fresh air damper.
Second, DOE is proposing provisions
expressly allowing certain models to be
grouped together for the purposes of
making representations and allowing
the performance of a model without
certain optional components to be used
as a proxy for models with any
combinations of the specified
components, even if such components
would impact the measured efficiency
of a model. A steam/hydronic coil is an
example of such a component. The
efficiency representation for a model
with a steam/hydronic coil is based on
the measured performance of the CUAC
and CUHP as tested without the
component installed because the steam/
hydronic coil is not easily removed from
the CUAC and CUHP for testing.30
2. Background
In 2013, ASRAC formed the
Commercial HVAC Working Group to
engage in a negotiated rulemaking effort
regarding the certification of certain
commercial heating, ventilating, and air
conditioning equipment, including
CUACs and CUHPs. (See 78 FR 15653
(March 12, 2013)) This Commercial
HVAC Working Group submitted a term
sheet (Commercial HVAC Term Sheet)
providing the Commercial HVAC
Working Group’s recommendations.
(See EERE–2013–BT–NOC–0023–
0052) 31 The Commercial HVAC
Working Group recommended that DOE
issue guidance under current
regulations on how to test certain
equipment features when included in a
basic model, until such time as the
testing of such features can be addressed
through a test procedure rulemaking.
The Commercial HVAC Term Sheet
listed the subject features under the
heading ‘‘Equipment Features Requiring
Test Procedure Action.’’ (Id at pp. 3–9)
The Commercial HVAC Working Group
also recommended that DOE issue an
enforcement policy stating that DOE
would exclude certain equipment with
specified features from DOE testing, but
only when the manufacturer offers for
sale at all times a model that is identical
in all other features; otherwise, the
model with that feature would be
eligible for DOE testing. These features
were listed under the heading
30 Note that in certain cases, as explained further
in section III.I.3.b of this document, the
representation may have to be based on an
individual model with a steam/hydronic coil.
31 Available at www.regulations.gov/document/
EERE-2013-BT-NOC-0023-0052.
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‘‘Equipment Features Subject to
Enforcement Policy.’’ (Id. at pp. 9–15)
On January 30, 2015, DOE issued a
Commercial HVAC Enforcement Policy
addressing the treatment of specific
features during DOE testing of
commercial HVAC equipment. (See
www.energy.gov/gc/downloads/
commercial-equipment-testingenforcement-policies) The Commercial
HVAC Enforcement Policy stated that—
for the purposes of assessment testing
pursuant to 10 CFR 429.104, verification
testing pursuant to 10 CFR 429.70(c)(5),
and enforcement testing pursuant to 10
CFR 429.110—DOE would not test a
unit with one of the optional features
listed for a specified equipment type if
a manufacturer distributes in commerce
an otherwise identical unit that does not
include that optional feature.
(Commercial HVAC Enforcement Policy
at p. 1) The objective of the Commercial
HVAC Enforcement Policy is to ensure
that each basic model has a
commercially-available version eligible
for DOE testing. That is, each basic
model includes a model either without
the optional feature(s) listed in the
policy or that is eligible for testing with
the feature(s). Id. The features in the
Commercial HVAC Enforcement Policy
for CUACs and CUHPs (Id. at pp. 1–3
and 5–6) align with the Commercial
HVAC Term Sheet’s list designated
‘‘Equipment Features Subject to
Enforcement Policy.’’ (EERE–2013–BT–
NOC–0023–0052, pp. 9–15)
By way of comparison, AHRI 340/
360–2022 and AHRI 1340–202X Draft
include appendix D, ‘‘Unit
Configuration for Standard Efficiency
Determination—Normative.’’ Section D3
to appendix D of AHRI 340/360–2022
and AHRI 1340–202X Draft includes a
list of features that are optional for
testing, and it further specifies the
following general provisions regarding
testing of units with optional features:
• If an otherwise identical model
(within the basic model) without the
feature is not distributed in commerce,
conduct tests with the feature according
to the individual provisions specified in
section D3 to appendix D of AHRI 340/
360–2022 and AHRI 1340–202X Draft.
• For each optional feature, section
D3 to appendix D of AHRI 340/360–
2022 and AHRI 1340–202X Draft
includes explicit instructions on how to
conduct testing for equipment with the
optional feature present.
The optional features provisions in
AHRI 340/360–2022 and AHRI 1340–
202X Draft are generally consistent with
DOE’s Commercial HVAC Enforcement
Policy, but the optional features in
section D3 to appendix D of AHRI 340/
360–2022 and AHRI 1340–202X Draft
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do not entirely align with the list of
features included for CUACs and
CUHPs in the Commercial HVAC
Enforcement Policy.
DOE notes that the list of features and
provisions in section D3 to appendix D
of AHRI 340/360–2022 and AHRI 1340–
202X Draft conflate components that
can be addressed by testing provisions
with components that, if present on a
unit under test, could have a substantive
impact on test results and that cannot be
disabled or otherwise mitigated. This
differentiation was central to the
Commercial HVAC Term Sheet, which
as noted previously, included separate
lists for ‘‘Equipment Features Requiring
Test Procedure Action’’ and
‘‘Equipment Features Subject to
Enforcement Policy,’’ and remains
central to providing clarity in DOE’s
regulations. Therefore, DOE has
tentatively determined that provisions
more explicit than those included in
section D3 of appendix D of AHRI 340/
360–2022 and AHRI 1340–202X Draft
are warranted to clarify treatment of
models that include more than one
optional component.
In order to provide clarity between
test procedure provisions (i.e., how to
test a specific unit) and certification and
enforcement provisions (e.g., which
model to test), DOE is not proposing to
adopt appendix D of AHRI 340/360–
2022 or AHRI 1340–202X Draft and
instead is proposing related provisions
in 10 CFR 429.43, 10 CFR 429.134, and
10 CFR part 431, subpart F, appendices
A and A1.
3. Proposed Approach for Exclusion of
Certain Components
DOE’s proposals for addressing
treatment of certain components are
discussed in the following sub-sections.
Were DOE to adopt the provisions in 10
CFR 429.43, 10 CFR 429.134, and 10
CFR part 431, subpart F, appendices A
and A1 as proposed, DOE would rescind
the Commercial HVAC Enforcement
Policy to the extent it is applicable to
CUACs and CUHPs.
Issue 5: DOE seeks comment on its
proposals regarding specific
components in 10 CFR 429.43, 10 CFR
429.134, and 10 CFR part 431, subpart
F, appendices A and A1.
a. Components Addressed Through Test
Provisions of 10 CFR Part 431, Subpart
F, Appendices A and A1
In 10 CFR part 431, subpart F,
appendices A and A1, DOE proposes
test provisions for specific components,
including all of the components listed
in section D3 to appendix D of AHRI
340/360–2022 and AHRI 1340–202X
Draft, for which there is a test procedure
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action that limits the impacts on
measured efficiency (i.e., test procedure
provisions specific to the component
that are not addressed by general
provisions in AHRI 340/360–2022 or
AHRI 1340–202X Draft that negate the
component’s impact on performance).
These provisions would specify how to
test a unit with such a component (e.g.,
for a unit with hail guards, remove hail
guards for testing). These proposed test
provisions are consistent with the
provision in section D3 to appendix D
of AHRI 340/360–2022 and AHRI 1340–
202X Draft but include revisions for
further clarity and specificity (e.g.,
adding clarifying provisions for how to
test units with modular economizers as
opposed to units shipped with
economizers installed). Specifically,
DOE is proposing to require in
appendices A and A1 that steps be taken
during unit set-up and testing to limit
the impacts on the measurement of
these components:
• Air Economizers
• Barometric Relief Dampers
• Desiccant Dehumidification
Components
• Evaporative Pre-cooling of Air-cooled
Condenser Intake Air
• Fire/Smoke/Isolation Dampers
• Fresh Air Dampers
• Hail Guards
• High-Effectiveness Indoor Air
Filtration
• Power Correction Capacitors
• Process Heat Recovery/Reclaim Coils/
Thermal Storage
• Refrigerant Reheat Coils
• Steam/Hydronic Heat Coils
• UV Lights
• Ventilation Energy Recovery Systems
(VERS)
The components are listed and
described in Table 1 in section 4 of the
amendments proposed for appendix A,
and Table 1 in section 4 of the
amendments proposed for appendix A1.
Test provisions for the components are
provided in the tables.
b. Components Addressed Through
Representation Provisions of 10 CFR
429.43
Consistent with the Commercial
HVAC Term Sheet and the Commercial
HVAC Enforcement Policy, DOE is
proposing provisions that explicitly
allow representations for individual
models with certain components to be
based on testing for individual models
without those components. DOE is
proposing a table (Table 6 to 10 CFR
429.43) at 10 CFR 429.43(a)(3)(v)(A)
listing the components for which these
provisions would apply. DOE is
proposing the following components be
listed in Table 6 to 10 CFR 429.43:
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• Air Economizers
• Desiccant Dehumidification
Components
• Evaporative Pre-cooling of Air-cooled
Condenser Intake Air
• Fire/Smoke/Isolation Dampers
• Indirect/Direct Evaporative Cooling of
Ventilation Air
• Non-Standard Ducted Condenser Fans
• Non-Standard Indoor Fan Motors
• Powered Exhaust/Powered Return Air
Fans
• Process Heat Recovery/Reclaim Coils/
Thermal Storage
• Refrigerant Reheat Coils
• Sound Traps/Sound Attenuators
• Steam/Hydronic Heat Coils
• Ventilation Energy Recovery Systems
(VERS)
In this NOPR, DOE is proposing to
specify that the basic model
representation must be based on the
least efficient individual model that
comprises a basic model, and clarifying
how this long-standing basic model
provision interacts with the proposed
component treatment in 10 CFR 429.43.
DOE believes that regulated entities may
benefit from clarity in the regulatory
text as to how the least efficient
individual model within a basic model
provision works in concert with the
component treatment for CUACs and
CUHPs. The amendments in this NOPR
explicitly state that excluding the
specified components from
consideration in determining basic
model efficiency in certain scenarios is
an exception to basing representations
on the least-efficient individual model
within a basic model. In other words,
the components listed in 10 CFR 429.43
are not being considered as part of the
representation under DOE’s regulatory
framework if certain conditions are met
as discussed in the following
paragraphs, and, thus, their impact on
efficiency is not reflected in the
representation. In this case, the basic
model’s representation is generally
determined by applying the testing and
sampling provisions to the least efficient
individual model in the basic model
that does not have a component listed
in 10 CFR 429.43.
DOE is proposing clarifying
instructions for instances when
individual models within a basic model
may have more than one of the specified
components and there may be no
individual model without any of the
specified components. DOE is proposing
the concept of an ‘‘otherwise
comparable model group’’ (OCMG). An
OCMG is a group of individual models
within the basic model that do not differ
in components that affect energy
consumption as measured according to
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the applicable test procedure other than
the specific components listed in Table
6 to 10 CFR 429.43 but may include
individual models with any
combination of such specified
components. Therefore, a basic model
can be composed of multiple OCMGs,
each representing a unique combination
of components that affect energy
consumption as measured according to
the applicable test procedure, other than
the specified excluded components
listed in Table 6 to 10 CFR 429.43. For
example, a manufacturer might include
two tiers of control systems within the
same basic model, in which one of the
control systems has sophisticated
diagnostics capabilities that require a
more powerful control board with a
higher wattage input. CUAC and CUHP
individual models with the ‘‘standard’’
control system would be part of OCMG
A, while individual models with the
‘‘premium’’ control system would be
part of a different OCMG B, because the
control system is not one of the
specified exempt components listed in
Table 6 to 10 CFR 429.43. However,
both OCMGs may include different
combinations of specified exempt
components. Also, both OCMGs may
include any combination of
characteristics that do not affect the
efficiency measurement, such as paint
color.
An OCMG identifies which individual
models are to be used to determine a
represented value. Specifically, when
identifying the individual model within
an OCMG for the purpose of
determining a representation for the
basic model, only the individual
model(s) with the least number (which
could be zero) of the specific
components listed in Table 6 to 10 CFR
429.43 is considered. This clarifies
which individual models are exempted
from consideration for determination of
represented values in the case of an
OCMG with multiple specified
components and no individual models
with zero specific components listed in
Table 6 to 10 CFR 429.43 (i.e., models
with a number of specific components
listed in Table 6 to 10 CFR 429.43
greater than the least number in the
OCMG are exempted). In the case that
the OCMG includes an individual
model with no specific components
listed in Table 1 to 10 CFR 429.43, then
all individual models in the OCMG with
specified components would be
exempted from consideration. The least
efficient individual model across the
OCMGs within a basic model would be
used to determine the representation of
the basic model. In the case where there
are multiple individual models within a
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single OCMG with the same non-zero
least number of specified components,
the least efficient of these would be
considered.
DOE relies on the term ‘‘comparable’’
as opposed to ‘‘identical’’ to indicate
that, for the purpose of representations,
the components that impact energy
consumption as measured by the
applicable test procedure are the
relevant components to consider. In
other words, differences that do not
impact energy consumption, such as
unit color and presence of utility
outlets, would not warrant separate
OCMGs.
The use of the OCMG concept results
in the represented values of
performance that are representative of
the individual model(s) with the lowest
efficiency found within the basic model,
excluding certain individual models
with the specific components listed in
Table 6 to 10 CFR 429.43. Specifically
with regard to basic models of CUACs
and CUHPs distributed in commerce
with multiple different heating
capacities of furnaces, the individual
model with the lowest efficiency found
within the basic model (with the
aforementioned exception) would likely
include the furnace with the highest
offered heating capacity. Additionally,
selection of the individual model with
the lowest efficiency within the basic
model would be required to consider all
options for factory-installed components
and manufacturer-supplied fieldinstalled components (e.g., electric
resistance supplementary heat),
excluding the specific components
listed in Table 6 to 10 CFR 429.43. If
manufacturers were to want to represent
more efficient models within the same
group, they would be able to establish
those units as new basic models and test
and report the results accordingly.
Further, the approach, as proposed, is
structured to more explicitly address
individual models with more than one
of the specific components listed in
Table 6 to 10 CFR 429.43, as well as
instances in which there is no
comparable model without any of the
specified components. DOE developed a
document of examples to illustrate the
approach proposed in this NOPR for
determining represented values for
CUACs and CUHPs with specific
components, and in particular the
OCMG concept (see EERE–2023–BT–
TP–0014).
DOE’s proposed provisions in 10 CFR
429.43(a)(3)(v)(A) include each of the
components specified in section D3 to
appendix D of AHRI 340/360–2022 for
which the test provisions for a unit with
these components may result in
differences in ratings compared to
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testing a unit without these
components. Non-standard indoor fan
motors and coated coils are discussed in
the following sub-sections.
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(1) High-Static Non-Standard Indoor
Fan Motors
The Commercial HVAC Enforcement
Policy includes high-static indoor
blowers or oversized motors as an
optional feature for CUACs and CUHPs,
among other equipment. The
Commercial HVAC Enforcement Policy
states that when selecting a unit of a
basic model for DOE-initiated testing, if
the basic model includes a variety of
high-static indoor blowers or oversized
motor options,32 DOE will test a unit
that has a standard indoor fan assembly
(as described in the STI that is part of
the manufacturer’s certification,
including information about the
standard motor and associated drive
that was used in determining the
certified rating). This policy only
applies where: (a) the manufacturer
distributes in commerce a model within
the basic model with the standard
indoor fan assembly (i.e., standard
motor and drive), and (b) all models in
the basic model have a motor with the
same or better relative efficiency
performance as the standard motor
included in the test unit, as described in
a separate guidance document discussed
subsequently. If the manufacturer does
not offer models with the standard
motor identified in the STI or offers
models with high-static motors that do
not comply with the comparable
efficiency guidance, DOE will test any
indoor fan assembly offered for sale by
the manufacturer.
DOE subsequently issued a draft
guidance document (Draft Commercial
HVAC Guidance Document) on June 29,
2015 to request comment on a method
for comparing the efficiencies of a
standard motor and a high-static indoor
blower/oversized motor.33 As presented
in the Draft Commercial HVAC
Guidance Document, the relative
efficiency of an indoor fan motor would
be determined by comparing the percent
losses of the standard indoor fan motor
to the percent losses of the non-standard
(oversized) indoor fan motor. The
percent losses would be determined by
comparing each motor’s wattage losses
32 The Commercial HVAC Enforcement Policy
defines ‘‘high static indoors blower or oversized
motor’’ as an indoor fan assembly, including a
motor, that drives the fan and can deliver higher
external static pressure than the standard indoor fan
assembly sold with the equipment. (See
www.energy.gov/sites/default/files/2019/04/f62/
Enforcement_Policy-Commercial_HVAC.pdf at p.6)
33 Available at www1.eere.energy.gov/buildings/
appliance_standards/pdfs/draft-commercial-hvacmotor-faq-2015-06-29.pdf.
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to the wattage losses of a corresponding
reference motor. Additionally, the draft
method contains a table that includes a
number of situations with different
combinations of characteristics of the
standard motor and oversized motor
(e.g., whether each motor is subject to
Federal standards for motors; whether
each motor can be tested to the Federal
test procedure for motors; whether each
motor horsepower is less than 1 and
specifies for each combination whether
the non-standard fan enforcement
policy would apply (i.e., whether DOE
would not test a model with an
oversized motor, as long as the relative
efficiency of the oversized motor is at
least as good as performance of the
standard motor)). DOE has not issued a
final guidance document and is instead
addressing the issue for CUACs and
CUHPs in this test procedure
rulemaking.
The current Federal test procedure
does not address this issue. Section D4.1
of appendix D of AHRI 340/360–2022
and AHRI 1340–202X Draft provide an
approach for including an individual
model with a non-standard indoor fan
motor as part of the same basic model
as an individual model with a standard
indoor fan motor. Under the approach
in section D4.1 of appendix D of AHRI
340/360–2022 and AHRI 1340–202X
Draft, the non-standard indoor fan
motor efficiency must exceed the
minimum value calculated using
equation D1 in appendix D of AHRI
340/360–2022 and AHRI 1340–202X
Draft. This minimum non-standard
motor efficiency calculation is
dependent on the efficiency of the
standard fan motor and the reference
efficiencies (determined per Table D1 of
appendix D of AHRI 340/360–2022 and
AHRI 1340–202X Draft) of the standard
and non-standard fan motors.
Section D4.2 of appendix D of AHRI
340/360–2022 and AHRI 1340–202X
Draft contain a method for how to
compare performance for integrated fans
and motors (IFMs). Because the fan
motor in an IFM is not separately rated
from the fan, this method compares the
performance of the entire fan-motor
assemblies for the standard and nonstandard IFMs, rather than just the fan
motors. This approach enables
comparing relative performance of
standard and non-standard IFMs, for
which motor efficiencies could
otherwise not be compared using the
method specified in section D4.1 of
appendix D of AHRI 340/360–2022 or
AHRI 1340–202X Draft. Specifically,
this method determines the ratio of the
input power of the non-standard IFM to
the input power of the standard IFM at
the same duty point as defined in
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section D4.2 of appendix D of AHRI
340/360–2022 and AHRI 1340–202X
Draft (i.e., operating at the maximum
ESP for the standard IFM at the rated
airflow). If the input power ratio does
not exceed the maximum ratio specified
in Table D3 of appendix D of AHRI 340/
360–2022 and AHRI 1340–202X Draft,
the individual model with the nonstandard IFM may be included within
the same basic model as the individual
model with the standard IFM. Section
D4.2 of appendix D of AHRI 340/360–
2022 and AHRI 1340–202X Draft allow
these calculations to be conducted using
either test data or simulated
performance data.
The approaches in section D4 of
appendix D of AHRI 340/360–2022 and
AHRI 1340–202X Draft for high-static
non-standard indoor fan motors and
non-standard indoor IFMs generally
align with the approaches of the
Commercial HVAC Term Sheet, the
Commercial HVAC Enforcement Policy,
and the Draft Commercial HVAC
Guidance Document, while providing
greater detail and accommodating a
wider range of fan motor options. For
the reasons presented in the preceding
paragraphs, DOE proposes to adopt in
Table 6 to 10 CFR 429.43 the provisions
for comparing performance of standard
and high-static non-standard indoor fan
motors/IFMs in section D4 of appendix
D of AHRI 340/360–2022 and AHRI
1340–202X Draft 34 for the
determination of the represented
efficiency value for CUACs and CUHPs
at 10 CFR 429.43(a)(3). Were DOE to
adopt the provisions of section D4 of
appendix D of AHRI 340/360–2022 and
AHRI 1340–202X Draft as proposed, the
Commercial HVAC Enforcement Policy
and draft guidance document, to the
extent applicable to indoor fan motors
for CUACs and CUHPs, would no longer
apply.
(2) Coated Coils
DOE is proposing to exclude coated
coils from the specific components list
specified in 10 CFR 429.43 because DOE
has tentatively concluded that the
presence of coated coils does not result
in a significant impact to performance of
CUACs and CUHPs, and, therefore,
models with coated coils should be
rated based on performance of models
with coated coils present (rather than
34 Per DOE’s existing certification regulations, if
a manufacturer were to use the proposed approach
to certify a basic model, the manufacturer would be
required to maintain documentation of how the
relative efficiencies of the standard and nonstandard fan motors or the input powers of the
standard and non-standard IFMs were determined,
as well as the supporting calculations. See 10 CFR
429.71.
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based on performance of an individual
model within an OCMG without coated
coils).
c. Enforcement Provisions of 10 CFR
429.134
Consistent with the Commercial
HVAC Term Sheet and the Commercial
HVAC Enforcement Policy, DOE is
proposing provisions in 10 CFR
429.134(g)(2) regarding how DOE would
assess compliance for basic models of
CUACs and CUHPs that include
individual models distributed in
commerce if DOE cannot obtain for
testing individual models without
certain components consistent with the
model that served as the basis of
representation. Specifically, DOE
proposes that if a basic model includes
individual models with components
listed at Table 6 to 10 CFR 429.43 and
DOE is not able to obtain an individual
model with the least number of those
components within an OCMG (as
defined in 10 CFR 429.43(a)(3)(v)(A)(1)
and discussed in section III.I.3.b of this
NOPR), DOE may test any individual
model within the OCMG.
d. Testing Specially Built Units That
Are Not Distributed in Commerce
Unlike section D3 to appendix D of
AHRI 340/360–2022 and AHRI 1340–
202X Draft, DOE’s Commercial HVAC
Enforcement Policy does not allow a
manufacturer to test a model that is
specially built for testing without a
feature if models without that feature
are not actually distributed in
commerce. Because testing such
specially built models would not
provide ratings representative of
equipment distributed in commerce,
DOE has tentatively concluded that this
approach is not appropriate. Therefore,
consistent with the Commercial HVAC
Enforcement Policy, DOE is not
proposing to allow testing of specially
built units in its representation and
enforcement provisions.
ddrumheller on DSK120RN23PROD with PROPOSALS3
J. Represented Values
In the following sections, DOE
discusses requirements regarding
represented values. To the extent DOE
is proposing changes to the
requirements specified in 10 CFR 429
regarding representations of CUACs and
CUHPs, such amendments to 10 CFR
part 429, if made final, would be
required starting 360 days after
publication in the Federal Register of
the test procedure final rule. Prior to
360 days after publication in the
Federal Register of the test procedure
final rule, the current requirements
would apply.
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1. Cooling Capacity
For CUACs and CUHPs, cooling
capacity determines equipment class,
which in turn determines the applicable
energy conservation standard. 10 CFR
431.97. Cooling capacity also dictates
the minimum ESP test condition
applicable under Table 7 of AHRI 340/
360–2022 (i.e., larger capacity units are
required to be tested at higher ESPs),
which in turn affects the performance of
the unit. Cooling capacity is a required
represented value for all CUACs and
CUHPs, but the requirements currently
specified in 10 CFR 429.43(a)(1)(iv)
regarding how the represented value of
cooling capacity is determined only
apply to ACUACs and ACUHPs.
DOE proposes to the make certain
modifications to these provisions and
expand the applicability of these
provisions as amended to all of the
CUACs and CUHPs that are the subject
of this NOPR. DOE proposes that the
represented value of cooling capacity
must be between 95 and 100 percent of
the mean of the total cooling capacities
measured for the units in the sample.
DOE also proposes to require for units
where the represented value is
determined through an AEDM that the
represented value of cooling capacity
must be between 95 and 100 percent of
the total cooling capacity output
simulated by the AEDM. Additionally,
DOE proposes to remove the existing
requirement in 10 CFR 429.43(a)(1)(iv)
that the represented value of cooling
capacity correspond to the nearest
appropriate Btu/h multiple according to
Table 4 of ANSI/AHRI 340/360–2007 in
order to allow manufacturers flexibility
in certifying a rated value that provides
a representation of cooling capacity that
may be more meaningful for commercial
consumers.
DOE currently outlines productspecific enforcement provisions at 10
CFR 429.134(g) for ACUACs and
ACUHPs, specifically that the mean of
cooling capacity measurements will be
used to determine the applicable
standards (which depend on cooling
capacity) for purposes of compliance.
First, DOE proposes to expand the scope
of this requirement to include ECUACs
and WCUACs. Second, DOE proposes
for all CUACs and CUHPs that are the
subject of this NOPR that if the mean of
the cooling capacity measurements
exceeds by more than 5 percent the
cooling capacity certified by the
manufacturer, the mean of the
measurement(s) will be used to select
the applicable minimum ESP test
condition from Table 7 of AHRI 340/
360–2022 in appendix A or from Table
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5 of the AHRI 1340–202X Draft in
appendix A1.
These proposals would ensure the
rated capacity is representative of the
unit’s performance, that the unit is
being tested to the appropriate ESP, and
that the unit is being evaluated against
the appropriate standard. The proposals
would allow manufacturers to
conservatively rate capacity if the
manufacturer deemed such conservative
rating necessary to ensure that
equipment is capable of performing at
the cooling capacity for which it is
represented to consumers. This
flexibility was requested by
manufacturers of CUACs and CUHPs as
summarized in a test procedure final
rule published on December 23, 2015.
80 FR 79655, 79662–79663. In addition
to the flexibility these proposals would
provide to manufacturers, DOE has also
tentatively determined that they would
ensure enforcement testing is based on
representative cooling capacities.
Issue 6: DOE requests comment on its
proposals related to represented values
and verification testing of cooling
capacity.
In response to the May 2022 TP/ECS
RFI, the CA IOUs expressed concern
that manufacturers are marketing
equipment using the ‘‘nominal
capacity’’ while rating it to a potentially
substantially different ‘‘rated capacity’’
for compliance with DOE energy
conservation standards. (CA IOUs,
EERE–2022–BT–STD–0015–0012 at p.
5) The CA IOUs included an example of
a 40-ton CUAC with a nominal capacity
of 40 tons and 480,000 Btu/h, but was
only rated at 35.4 tons and 425,000 Btu/
h. Id. The CA IOUs recommended that
DOE address this potential issue, and
suggested that DOE should require
nominal and rated capacity to align
within a certain percentage. Id. The CA
IOUs included an example of AHRI
Standard 1230–2014, an older edition of
the VRF test procedure which had a
requirement that the nominal capacity
not be greater than 105 percent of the
rated capacity. Id.
DOE surmises that there is benefit in
allowing manufacturers to group
capacities nominally, such that some
rounding of capacity values may be
involved. DOE has not found sufficient
evidence that any differences between
nominal and rated capacity are
problematic for consumers of this
equipment, and notes that product
literature provides specific ratings for
each unit and is publicly accessible.
Additionally, DOE notes that the CA
IOUs were involved in the Working
Group meetings, and that no mention of
the issue between nominal and rated
capacity was included in the ACUAC
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and ACUHP Working Group TP Term
Sheet. DOE does not have sufficient
evidence to warrant any changes
regarding this issue; therefore, DOE is
not proposing any provisions regarding
nominal capacity of CUACs and CUHPs.
2. Single-Zone Variable-Air-Volume and
Multi-Zone Variable-Air-Volume
AHRI 340/360–2015 added
definitions and test provisions for
SZVAV and MZVAV equipment.
Specifically, AHRI 340/360–2015 (and
the subsequent editions of AHRI 340/
360) defines MZVAV units as those
designed to vary the indoor air volume
and refrigeration capacity/staging at a
controlled discharge air temperature
and static pressure as a means of
providing space temperature control to
independent multiple spaces with
independent thermostats. AHRI 340/
360–2015 (and the subsequent editions
of AHRI 340/360) defines SZVAV units
as those with a control system designed
to vary the indoor air volume and
refrigeration capacity/staging as a means
to provide zone control to a single or
common zones. The SZVAV definition
further provides that the capacity, as
well as the supply air shall be
controlled either through modulation,
discrete steps or combinations of
modulation and step control based on
the defined control logic.
As part of the July 2017 TP RFI, DOE
requested comment on whether a CUAC
model that could operate as both a
SZVAV unit and a MZVAV unit should
be tested both ways, representing two
separate basic models. If tested as one
basic model, DOE requested information
regarding how to determine which of
the two test methods would apply. DOE
also requested comment on whether
status as a proportionally controlled
unit would be the appropriate
indication of whether a CUAC can be
used as a MZVAV unit, or whether some
other characteristics regarding variable
capacity control would have to be
satisfied. 82 FR 34427, 34443.
Carrier, Goodman, and Lennox
indicated that SZVAV and MZVAV
models should be certified as different
basic models. (Carrier, EERE–2017–BT–
TP–0018–0006 at p. 14; Goodman,
EERE–2017–BT–TP–0018–0014 at p. 5;
Lennox, EERE–2017–BT–TP–0018–0008
at p. 5) Lennox also stated that it has
different model numbers for the two
product types characterizing SZVAV
and MZVAV models. (Lennox, EERE–
2017–BT–TP–0018–0008 at p. 5) Carrier
stated that typically a MZVAV model
has fully variable speed fans and more
stages of capacity than a SZVAV model.
(Carrier, EERE–2017–BT–TP–0018–0006
at p. 14) Goodman commented that
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SZVAV and MZVAV models are capable
of having different ratings based on
control strategy. (Goodman, EERE–
2017–BT–TP–0018–0014 at p. 5) Lennox
also stated that SZVAV and MZVAV
models have different control
algorithms and performance ratings.
(Lennox, EERE–2017–BT–TP–0018–
0008 at p. 5) AHRI stated that while
some models are built to be specifically
SZVAV or MZVAV units, other models
can operate as both. AHRI further
commented that if a unit can operate as
both, it is possible for the IEER to be
slightly different in each configuration.
AHRI also stated that it is important to
follow the STI when performing the test.
(AHRI, EERE–2017–BT–TP–0018–0011
at p. 27)
AHRI 340/360–2022 includes
definitions for SZVAV and MZVAV that
align with AHRI 340/360–2015, and
includes revised provisions for setting
airflow for SZVAV and MZVAV
equipment. However, Recommendation
#12 of the ACUAC and ACUHP Working
Group TP Term Sheet specifies that for
determining the IVEC and IVHE metrics
there would be no separate test
provisions for MZVAV units. Consistent
with the ACUAC and ACUHP Working
Group TP Term Sheet, AHRI 1340–202X
Draft does not specify separate test
provisions for testing MZVAV units—
instead the provisions for setting airflow
apply for all units, including those
classified as MZVAV units in AHRI 340/
360–2015 and AHRI 340/360–2022.
As discussed, DOE is proposing to
incorporate by reference AHRI 340/360–
2022 for determining the current metrics
for CUACs and CUHPs in appendix A,
and to adopt the AHRI 1340–202X Draft
for determining IVEC and IVHE in
appendix A1. DOE has tentatively
concluded that the proposed test
procedure in appendix A (referencing
AHRI 340/360–2022) is sufficient for
determining ratings for SZVAV and
MZVAV equipment, and because
provisions for MZVAV equipment are
not included in the AHRI 1340–202X
Draft, DOE has tentatively determined
that additional provisions for
determining represented values for
SZVAV and MZVAV equipment are not
warranted for appendix A1.
3. Confidence Limit
In response to the July 2017 TP RFI,
Lennox recommended that DOE
harmonize the certification criteria in 10
CFR 429.43 applicable to commercial
heating, ventilating, and air
conditioning (HVAC) equipment, with
that for central air conditioners, a
consumer product, in 10 CFR 429.16. In
particular, Lennox stated that
commercial equipment currently has a
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more stringent confidence limit of 95
percent (as compared to 90 percent for
residential CACs) and stated that
current testing technology does not
support this level of precision. (Lennox,
EERE–2017–BT–TP–0018–0008 at p. 6)
Other manufacturers did not raise
concerns regarding the confidence limit
required for sampling commercial
package air conditioners and heat
pumps (including CUACs and CUHPs).
DOE also notes that Lennox did not
provide any data to support its view
regarding the alleged variability of units
in production and testing to support a
difference confidence limit. Absent such
data, DOE is unable to determine
whether the more stringent confidence
level for commercial heating,
ventilating, and air conditioning
equipment presents an actual problem.
Consequently, DOE is not proposing a
change to its confidence level at this
time.35
4. AEDM Tolerance for IVEC and IVHE
As discussed previously, DOE’s
existing testing regulations allow the
use of an AEDM, in lieu of testing, to
simulate the efficiency of CUACs and
CUHPs. 10 CFR 429.43(a). For models
certified with an AEDM, results from
DOE verification tests are subject to
certain tolerances when compared to
certified ratings. In Table 2 to paragraph
(c)(5)(vi)(B) at 10 CFR 429.70, DOE is
proposing to specify a tolerance of 10
percent for CUAC and CUHP
verification tests for IVEC and IVHE.
This is identical to the current tolerance
specified for IEER (for ACUACs and
ACUHPs) and for integrated metrics for
other categories of commercial air
conditioners and heat pumps (e.g.,
integrated seasonal coefficient of
performance 2 and integrated seasonal
moisture removal efficiency 2 for DX–
DOASes). DOE is also proposing to
specify a tolerance of 5 percent for
CUAC and CUHP verification testing for
the optional EER2 and COP2 metrics.
This is identical to the current
tolerances specified for EER and COP
for CUACs and CUHPs.
5. Minimum Part-Load Airflow
As previously discussed in sections
III.F.1.d, III.F.4, and III.F.5, the IVEC
and IVHE metrics account for energy
consumed (specifically that of the
indoor fan) in mechanical cooling and
heating as well as modes other than
mechanical cooling and heating (e.g.,
35 DOE notes that it has previously requested data
regarding the variability of units in production and
testing to enable DOE to review and make any
necessary adjustments to the specified confidence
levels. 80 FR 79655, 79659. DOE did not receive
any relevant data in response to that request.
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economizer-only cooling, cooling season
ventilation, heating season ventilation).
IVEC and IVHE do not include separate
tests or airflow rates for ventilation
hours or economizer-only cooling (only
applicable to IVEC). For example, for
the economizer-only cooling hours in
the D bin, the indoor fan power
measured when operating at the lowest
manufacturer-specified part-load airflow
for a given load bin is applied for
economizer-only cooling hours in that
bin. Section 6.2.7 of the AHRI 1340–
202X Draft requires that the lowest
indoor fan power measured for all
cooling or heating tests is applied for
cooling-season ventilation hours in
IVEC and heating-season ventilation
hours in IVHE. Therefore, considering
mechanical cooling and heating as well
as other operating modes (economizeronly cooling, ventilation), the indoor fan
power measured at the lowest
manufacturer-specified part-load
cooling and heating airflow rates
represents a significant fraction of the
power included in the IVEC and IVHE
metrics (i.e., indoor fan power measured
at these airflow rates is weighted by a
significant number of hours), and
differences in the lowest manufacturerspecified part-load airflow can
significantly impact IVEC and IVHE
ratings.
Based on examination of publiclyavailable product literature, DOE
understands that many basic models of
a CUAC or CUHP have controls that
allow for modulation of the minimum
airflow used across a wide range of
airflow turndown. DOE’s research
suggests that many models are
distributed in commerce with an ‘‘asshipped’’ minimum airflow and/or a
default minimum airflow setting
recommended in manufacturer
installation instructions. However, in
many cases DOE observed that the unit
controls allow the installer to change
this minimum airflow setting during
installation to reflect any constraints
specific to a particular installation. DOE
understands that such constraints may
include the duct distribution system,
the thermostat the CUAC or CUHP is
paired with, and the minimum
ventilation rate for the conditioned
space served by the CUAC or CUHP. To
ensure that IVEC and IVHE ratings
reflect indoor fan power that is
generally representative of airflow rates
that would be used in the field for a
given basic model, DOE considered two
options for requirements related to
minimum part-load airflow used for
representations of IVEC and IVHE:
1. Representations of IVEC and IVHE
(including IVHEc, as applicable) must
be based on setting the lowest stage of
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airflow to the highest part-load airflow
allowable by the basic model’s system
controls. For example, if fan control
settings for a basic model allow its
lowest stage of airflow to range from 40
to 60 percent, the basic model would
need to be represented based on the
lowest stage of airflow set to 60 percent
of the full-load airflow.
2. Representations of IVEC and IVHE
(including IVHEc, as applicable) must
be determined using minimum part-load
airflow that is no lower than the highest
of the following: (1) the minimum partload airflow obtained using the asshipped system control settings; (2) the
minimum part-load airflow obtained
using the default system control settings
specified in the manufacturer
installation instructions (as applicable);
and (3) the minimum airflow rate
specified in Section 5.18.2 of AHRI
1340–202X Draft.
DOE has tentatively concluded that
option 1, which requires representations
based on the highest minimum part-load
airflow allowable by system controls,
may result in unrepresentatively high
airflow rates in cases in which a basic
model allows configuration of minimum
airflow to a very high percentage to
accommodate a small fraction of
installations in which minimum partload airflow must be high (e.g., in
applications with very high minimum
ventilation rates). In this NOPR, DOE is
proposing option 2 as the default
settings or as-shipped settings would
provide IVEC and IVHE ratings
representative of how the basic model is
most typically installed in field
applications. However, DOE welcomes
comment on the approach laid out in
option 1 or other alternative approaches
not listed here.
As discussed, DOE is not proposing
amendments to certification
requirements for CUACs and CUHPs in
this rulemaking, but DOE may consider
such amendments in a separate
rulemaking for certification,
compliance, and enforcement. As part of
that rulemaking, DOE may consider
certification requirements pertaining to
this minimum airflow issue, such as
requiring certification of the range of
minimum part-load airflow allowed by
system controls for each basic model.
Issue 7: DOE requests comment on its
proposal to require that a basic model’s
representation(s) of IVEC and IVHE
(including IVHEc, as applicable) must
be determined using a minimum partload airflow that is no lower than the
highest of the following: (1) the
minimum part-load airflow obtained
using the as-shipped system control
settings; (2) the minimum part-load
airflow obtained using the default
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system control settings specified in the
manufacturer installation instructions
(as applicable); and (3) the minimum
airflow rate specified in section 5.18.2
of AHRI 1340–202X Draft. DOE also
seeks feedback on the alternate option
listed or any alternate options not listed
that would ensure representations of
IVEC and IVHE are based on minimum
part-load airflow that is representative
of field installations.
K. Enforcement Procedure for Verifying
Cut-In and Cut-Out Temperatures
Recommendation #10 of the ACUAC
and ACUHP Working Group TP Term
Sheet states that DOE will adopt
product-specific enforcement provisions
for ACUHPs that include a method to
verify certified cut-out and cut-in
temperatures based on the test method
outlined in the Residential Cold-Climate
Heat Pump Technology Challenge
(‘‘CCHP Challenge’’).36 Therefore, in
this NOPR, DOE proposes to adopt a
method for verifying certified cut-out
and cut-in temperatures at 10 CFR
429.134(g) consistent with
Recommendation #10 of the ACUAC
and ACUHP Working Group TP Term
Sheet. Specifically, consistent with the
CCHP Challenge method and the
ACUAC and ACUHP Working Group TP
Term Sheet, the proposed method
involves gradually ramping down
outdoor air temperature until the unit
cuts out and gradually ramping back up
outdoor air temperature until the cuts
back on, with the temperature ramp-up
and ramp-down conducted at 1.0 °F
every 5 minutes. DOE will address
certification requirements for CUACs
and CUHPs, including the potential
requirement for certification of cut-out
and cut-in temperatures, in a separate
rulemaking for certification,
compliance, and enforcement.
L. Proposed Organization of the
Regulatory Text for CUACs and CUHPs
In addition to the substantive changes
discussed previously in this document,
DOE proposes to make organizational
changes to Table 1 to 10 CFR 431.96(b)
and Tables 1 through 6 to 10 CFR
431.97. These proposed changes are not
substantive and are intended to reflect
terminology changes proposed in this
document and to improve the overall
readability of the tables. Specifically, in
Table 1 to 10 CFR 431.96 (regarding test
procedures for commercial air
conditioners and heat pumps), DOE
proposes to revise terminology to reflect
the proposed definition for commercial
unitary air conditioners with a rated
36 See www.energy.gov/sites/default/files/202110/bto-cchp-tech-challenge-spec-102521.pdf.
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cooling capacity greater than or equal to
65,000 Btu/h (CUACs) and commercial
unitary heat pumps with a rated cooling
capacity greater than or equal to 65,000
Btu/h (CUHPs), discussed further in
section III.B.1 of this NOPR. Tables 1
through 6 to 10 CFR 431.97 currently
specify cooling and heating standards
for CUACs, CUHPs and water-source
heat pumps (WSHPs). DOE proposes to
revise terminology to reflect the
proposed definition for CUACs and
CUHPs, remove outdated standards no
longer in effect, combine cooling and
heating standards into the same tables,
and create separate tables for standards
for ACUACs and ACUHPs (in Table 1),
WCUACs (in Table 2), ECUACs (in
Table 3), double-duct systems (in Table
4), and WSHPs (in Table 5). In the
proposed regulatory text, Tables 1 and
2 to 10 CFR 431.97 would specify
cooling and heating standards,
respectively, for ACUACs and ACUHPs
with cooling capacity greater than
65,000 Btu/h (other than double-duct
systems), ECUACs, and WCUACs;
Tables 3 and 4 to 10 CFR 431.97 would
specify cooling and heating standards,
respectively, for WSHPs; and Tables 5
and 6 to 10 CFR 431.97 would specify
cooling and heating standards,
respectively, for double-duct systems.
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M. Compliance Date
EPCA prescribes that, if DOE amends
a test procedure, all representations of
energy efficiency and energy use,
including those made on marketing
materials and product labels, must be
made in accordance with that amended
test procedure, beginning 360 days after
publication of such a test procedure
final rule in the Federal Register. (42
U.S.C. 6314(d)(1)) To the extent the
modified test procedure proposed in
this document is required only for the
evaluation and issuance of updated
efficiency standards, use of the modified
test procedure, if finalized, would not
be required until the compliance date of
updated energy conversation standards.
10 CFR part 430, subpart C, appendix A,
section 8(e); 10 CFR 431.4.
N. Test Procedure Costs and Impact
EPCA requires that the test
procedures for commercial package air
conditioning and heating equipment,
which includes CUACs and CUHPs, be
those generally accepted industry
testing procedures or rating procedures
developed or recognized by AHRI or by
ASHRAE, as referenced in ASHRAE
Standard 90.1. (42 U.S.C. 6314(a)(4)(A))
Further, if such an industry test
procedure is amended, DOE must
amend its test procedure to be
consistent with the amended industry
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test procedure, unless DOE determines,
by rule published in the Federal
Register and supported by clear and
convincing evidence, that such
amended test procedure would not meet
the requirements in 42 U.S.C. 6314(a)(2)
and (3) related to representative use and
test burden. (42 U.S.C. 6314(a)(4)(B))
As discussed, DOE is proposing to
revise the existing test procedure for
CUACs and CUHPs (consolidating for
ACUACs and ACUHPs, ECUACs, and
WCUACs) at appendix A and to adopt
an amended test procedure at appendix
A1. These proposals are discussed in
the following sub-sections. DOE also
proposes to amend its representation
and enforcement provisions for CUACs
and CUHPs.
1. Appendix A
In this NOPR, DOE proposes to amend
the existing Federal test procedure for
CUACs and CUHPs (including doubleduct systems), which is currently
located at appendix A for ACUACs and
ACUHPs and 10 CFR 431.96 for
ECUACs and WCUACs. Specifically,
DOE proposes to consolidate the test
procedures for ACUACs and ACUHPs,
ECUACs, and WCUACs at appendix A
and to update the test procedure to
incorporate by reference an updated
version of the applicable industry test
method, AHRI 340/360–2022. The
proposed revisions to appendix A
would retain the current efficiency
metrics—EER, IEER, and COP. The
proposed testing requirements in
appendix A are generally consistent
with those in AHRI 340/360–2022,
which in turn references ANSI/ASHRAE
37–2009.
DOE has tentatively determined that
the proposed amendments to appendix
A would improve the
representativeness, accuracy, and
reproducibility of the test results and
would not be unduly burdensome for
manufacturers to conduct or result in
increased testing cost as compared to
the current test procedure. The
proposed revisions to the test procedure
in appendix A for measuring EER, IEER,
and COP per AHRI 340/360–2022 would
not increase third-party laboratory
testing costs per unit relative to the
current DOE test procedure. DOE
estimates the current costs of physical
testing to the current required metrics to
be $10,500 for ACUACs, $12,000 for
ACUHPs, $6,800 for double-duct air
conditioners, $8,500 for double-duct
heat pumps, and $6,800 for ECUACs
and WCUACs. Further, DOE has
tentatively concluded that the proposed
revisions to the test procedure in
appendix A would not change efficiency
ratings for CUACs and CUHPs, and
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therefore would not require retesting
solely as a result of DOE’s adoption of
this proposed amendment to the DOE
test procedure, if made final.37
2. Appendix A1
DOE is proposing to amend the
existing test procedure for CUACs and
CUHPs (including double-duct
equipment) by adopting a new appendix
A1 that utilizes the most recent draft
version of the applicable industry
consensus test procedure, AHRI 1340–
202X Draft, including the IVEC and
IVHE energy efficiency metrics. To the
extent that AHRI 1340 is finalized
consistent with the draft standard, DOE
intends to incorporate the industry test
standard by reference. If there are
substantive changes between the draft
and published versions of AHRI 1340,
DOE may adopt the substance of the
AHRI 1340–202X Draft or provide
additional opportunity for comment.
Should DOE adopt standards in a
future energy conservation standards
rulemaking in terms of the new metrics,
the proposed test procedure in appendix
A1 (which DOE proposes to be
substantively the same as AHRI 1340–
202X Draft) would be required. DOE has
tentatively determined that these
proposed amendments would be
representative of an average use cycle
and would not be unduly burdensome
for manufacturers to conduct. The
proposed test procedure in appendix A1
would lead to an increase in test cost
from the current Federal test procedure,
as discussed in the following
paragraphs. The following paragraphs
include estimates for increases in cost of
testing at a third-party laboratory.
The change in ESP requirements
discussed in section III.F.4 that apply to
measuring the IVEC and IVHE metrics
would require additional test setup that
DOE expects would increase test costs.
DOE has tentatively concluded that
metal ductwork would need to be
fabricated for testing to withstand the
higher ESP requirements (as compared
to foamboard ductwork typically used
for testing to the current test procedure).
DOE estimates a test cost increase
ranging from $500 to $1500 per unit,
depending on the unit size/cooling
capacity, associated with this transition
37 Manufacturers are not required to perform
laboratory testing on all basic models. In
accordance with 10 CFR 429.70, CUAC and CUHP
manufacturers may elect to use AEDMs. An AEDM
is a computer modeling or mathematical tool that
predicts the performance of non-tested basic
models. These computer modeling and
mathematical tools, when properly developed, can
provide a means to predict the energy usage or
efficiency characteristics of a basic model of a given
covered product or equipment and to reduce the
burden and cost associated with testing.
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to metal ductwork. To meet the return/
supply duct ESP requirement, DOE
estimates an increase of $200 per unit
for the time required to apply return
duct restrictions. In combination, DOE
estimates a total test cost increase of
between $700 and $1700 per unit to
meet the proposed ESP requirements.
For determining IVEC, DOE has
tentatively concluded that there would
not be an increase in testing cost as
compared to measuring IEER per the
current Federal test procedure, beyond
the costs associated with the proposed
ESP requirements discussed previously.
For determining IVHE, there are two
required heating tests and several
additional optional heating tests. The
required heating tests are full-load tests
at 47 °F and 17 °F. The full-load test at
47 °F is already required for the current
Federal test procedure for determining
COP. The full-load test at 17 °F which is
currently required for the AHRI
certification program. Because most
CUHP manufacturers are AHRI members
and participate in the AHRI certification
program, DOE expects that that the
required heating tests for IVHE would
not increase test cost as compared to
testing that is typically already
conducted, beyond the costs associated
with the proposed ESP requirements
discussed previously.
Optional heating tests for CUHPs
would increase the cost of heating
testing if conducted. The optional tests
for IVHE are outlined in section III.F.5
of this NOPR, which include: (1) an
additional full-load test at 5 °F; (2) partload tests at 17 °F and 47 °F (including
up to 2 part-load tests at each
temperature); and (3) for variable-speed
units, boost tests at 17 °F and 5 °F. DOE
estimates that each optional test
conducted would increase the cost of
heating testing by $2,000 to $4,000
depending on the test condition.
For ECUACs, WCUACs, and doubleduct systems, the current Federal test
procedure requires testing to EER for
cooling tests—testing to IEER is not
currently required for ECUACs,
WCUACs, or double-duct systems.
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Because measuring EER requires only a
single test, DOE expects that measuring
IVEC for ECUACs, WCUACs, and
double-duct systems would increase the
cost of cooling testing. Specifically, DOE
estimates the cost of additional cooling
tests to be $3,700 per unit. Further, the
previously discussed costs associated
with the proposed indoor air ESP
requirements ($700 to $1,700 depending
on unit size) would also apply to
ECUACs, WCUACs, and double-duct
systems. In addition, for double-duct
systems DOE expects that testing to
appendix A1 would require an
additional $2000 per unit for setup to
meet the proposed non-zero outdoor air
ESP requirement. Otherwise, DOE
expects similar test burden for
determining IVHE for double-duct
systems as for determining IVHE for
conventional ACUHPs as discussed in
the preceding paragraphs.
Table III.6 shows DOE’s estimates for
testing to the current Federal test
procedure and the proposed test
procedure in appendix A1.
TABLE III.5—TEST COST ESTIMATES FOR THE PROPOSED TEST PROCEDURE IN APPENDIX A1
Test cost for
current federal
test procedure
Equipment type
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ACUACs ..................................................
ACUHPs ..................................................
Double-duct air conditioners ...................
Double-duct heat pumps .........................
ECUACs and WCUACs ..........................
$10,500
12,000
6,800
8,300
6,800
DOE has tentatively concluded that
that the potential adoption of standards
denominated in terms of IVEC and IVHE
(and corresponding requirement to use
the proposed test procedure in appendix
A1) would alter the measured energy
efficiency of CUACs and CUHPs.
Consequently, manufacturers would not
be able to rely on data generated under
the current test procedure and would
therefore be required to re-rate CUAC
and CUHP models. In accordance with
10 CFR 429.70, CUAC and CUHP
manufacturers may elect to use AEDMs
to rate models, which significantly
reduces costs to industry. DOE estimates
the cost to develop and validate an
AEDM for determining IVEC (and IVHE
as applicable) for CUACs and CUHPs
(including double-duct systems) to be
$19,000 per AEDM. Once the AEDM is
developed, DOE estimates that it would
take 1 hour of an engineer’s time
(calculated based upon an engineering
technician wage of $41 per hour) to
determine efficiency for each basic
model using the AEDM.
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Test cost for proposed test procedure in
appendix A1
$11,200–$12,200.
$12,700–$13,700 (plus $2,000–$4,000 per optional heating test).
$13,200–$14,200.
$14,700–$15,700 (plus $2,000–$4,000 per optional heating test).
$11,200–$12,200.
Issue 8: DOE requests comment on its
tentative understanding of the impact of
the test procedure proposals in this
NOPR, particularly regarding DOE’s
initial estimates of the cost impacts
associated with the proposed appendix
A1.
IV. Procedural Issues and Regulatory
Review
A. Review Under Executive Orders
12866, 13563 and 14094
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) and amended by E.O. 14094,
‘‘Modernizing Regulatory Review,’’ 88
FR 21879 (April 11, 2023), 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,
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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
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Information and Regulatory Affairs
(OIRA) in the Office of Management and
Budget (OMB) has emphasized that such
techniques may include identifying
changing future compliance costs that
might result from technological
innovation or anticipated behavioral
changes. For the reasons stated in the
preamble, this proposed regulatory
action is consistent with these
principles.
Section 6(a) of E.O. 12866 also
requires agencies to submit ‘‘significant
regulatory actions’’ to OIRA for review.
OIRA has determined that this proposed
regulatory action does not constitute a
‘‘significant regulatory action’’ under
section 3(f) of E.O. 12866. Accordingly,
this action was not submitted to OIRA
for review under E.O. 12866.
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B. Review Under the Regulatory
Flexibility Act
The Regulatory Flexibility Act (5
U.S.C. 601 et seq.) requires preparation
of an initial regulatory flexibility
analysis (IRFA) for any rule that by law
must be proposed for public comment,
unless the agency certifies that the rule,
if promulgated, will not have a
significant economic impact on a
substantial number of small entities. As
required by Executive Order 13272,
‘‘Proper Consideration of Small Entities
in Agency Rulemaking,’’ 67 FR 53461
(August 16, 2002), DOE published
procedures and policies on February 19,
2003, to ensure that the potential
impacts of its rules on small entities are
properly considered during the DOE
rulemaking process. 68 FR 7990. DOE
has made its procedures and policies
available on the Office of the General
Counsel’s website: www.energy.gov/gc/
office-general-counsel. DOE reviewed
this proposed rule under the provisions
of the Regulatory Flexibility Act and the
procedures and policies published on
February 19, 2003.
The following sections detail DOE’s
IRFA for this test procedure proposed
rulemaking.
1. Description of Reasons Why Action Is
Being Considered
DOE is proposing to amend the
existing DOE test procedures for aircooled unitary air conditioners
(ACUACs) and air-cooled unitary heat
pumps (ACUHPs) with cooling capacity
greater than or equal to 65,000 Btu/h, as
well as evaporatively-cooled
commercial package air conditioners
(ECUACs) and water-cooled commercial
package air conditioners (WCUACs) of
all capacities (referred to collectively as
CUACs and CUHPs) to reflect updates to
the relevant industry test standard. DOE
is proposing amendments to the test
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procedures for CUACs and CUHPs 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))
2. Objectives of, and Legal Basis for,
Rule
EPCA, as amended, requires that the
test procedures for commercial package
air conditioning and heating equipment,
which includes CUACs and CUHPs, be
those generally accepted industry
testing procedures or rating procedures
developed or recognized by AHRI or by
ASHRAE, as referenced in ASHRAE
Standard 90.1. (42 U.S.C. 6314(a)(4)(A))
Further, if such an industry test
procedure is amended, DOE must
amend its test procedure to be
consistent with the amended industry
test procedure, unless DOE determines,
by rule published in the Federal
Register and supported by clear and
convincing evidence, that such
amended test procedure would not meet
the requirements in 42 U.S.C. 6314(a)(2)
and (3) related to representative use and
test burden. (42 U.S.C. 6314(a)(4)(B))
EPCA also requires that, at least once
every seven years, DOE evaluate test
procedures for each type of covered
equipment, including CUACs and
CUHPs, 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. 614(a)(1)(A))
DOE is publishing this NOPR
proposing amendments to the test
procedure for CUACs and CUHPs in
satisfaction of the aforementioned
obligations under EPCA.
3. Description and Estimated Number of
Small Entities Regulated
For manufacturers of CUACs and
CUHPs, the Small Business
Administration (SBA) has set a size
threshold, which defines those entities
classified as ‘‘small businesses’’ for the
purposes of the statute. DOE used the
SBA’s small business size standards to
determine whether any small entities
would be subject to the requirements of
the rule. See 13 CFR part 121. The
equipment covered by this rule is
classified under North American
Industry Classification System (NAICS)
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code 333415,38 ‘‘Air-Conditioning and
Warm Air Heating Equipment and
Commercial and Industrial Refrigeration
Equipment Manufacturing.’’ In 13 CFR
121.201, the SBA sets a threshold of
1,250 employees or fewer for an entity
to be considered as a small business for
this category.
DOE reviewed the test procedures
proposed in this NOPR under the
provisions of the Regulatory Flexibility
Act and the procedures and policies
published on February 19, 2003. DOE
utilized DOE’s Compliance Certification
Database (CCD) 39 and manufacturer
websites to identify potential small
businesses that manufacture CUACs and
CUHPs covered by this rulemaking.
DOE identified 18 companies that are
original equipment manufacturers
(OEMs) of CUACs and CUHPs covered
by this rulemaking. Next, DOE screened
out companies that do not meet the
definition of a ‘‘small business’’ or are
foreign-owned and operated. Ultimately,
DOE identified three small, domestic
OEMs for consideration. All three
companies are AHRI members. DOE
used subscription-based business
information tools (e.g., reports from Dun
& Bradstreet 40) to determine headcount
and revenue of the small business.
Issue 9: DOE requests comment on the
number of small business OEMs of
CUACs and CUHPs.
4. Description and Estimate of
Compliance Requirements
In this NOPR, DOE is proposing to
revise the existing test procedure for
CUACs and CUHPs (consolidating for
ACUACs and ACUHPs, ECUACs, and
WCUACs) at appendix A of subpart F of
part 431 (appendix A) by adopting
sections of AHRI 340/360–2022. DOE is
also proposing an amended test
procedure for CUACs and CUHPs at
appendix A1 to subpart F of part 431
(appendix A1) that adopts the draft
industry test standard AHRI 1340–202X
Draft. Additionally, this NOPR seeks to
amend representation and enforcement
provisions for CUACs and CUHPs in 10
CFR part 429 and certain definitions for
CUACs and CUHPs in 10 CFR part 431.
Specific cost and compliance associated
with each proposed appendix are
discussed in the subsections that follow.
38 The size standards are listed by NAICS code
and industry description and are available at:
www.sba.gov/document/support--table-sizestandards (Last accessed Apr. 4, 2023).
39 Certified equipment in the CCD is listed by
equipment class and can be accessed at
www.regulations.doe.gov/certification-data/
#q=Product_Group_s%3A* (Last accessed Apr. 4,
2023).
40 Market research is available through the Dun &
Bradstreet Hoovers login page at:
app.dnbhoovers.com (Last accessed April 3, 2023).
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a. Cost and Compliance Associated With
Appendix A
In appendix A, DOE proposes to
amend the existing test procedure for
CUACs and CUHPs (relocated to
appendix A for ECUACs and WCUACs,
for which the current test procedure is
located at 10 CFR 431.96) by
incorporating by reference an updated
version of the applicable industry test
method, AHRI 340/360–2022, which
includes the energy efficiency metrics
IEER (required metric for ACUACs and
ACUHPs), EER (required metric for
ECUACs, WCUACs, and double-duct
systems), and COP (required metric for
ACUHPs and double-duct heat pumps)
and maintaining an existing reference to
industry test method ANSI/ASHRAE
37–2009. The proposed test procedure
at appendix A would not change
efficiency ratings as compared to the
current Federal test procedure, and
therefore would not require retesting
nor increase third-party laboratory
testing costs per unit solely as a result
of DOE’s adoption of this proposed
amendment to the test procedure, if
made final. DOE estimates the current
costs of physical testing to the current
required metrics to be: $10,500 for
ACUACs; $12,000 for ACUHPs; $6,800
for ECUACs, WCUACs, and double-duct
air conditioners; and $8,300 for doubleduct heat pumps. In accordance with 10
CFR 429.70, CUAC and CUHP
manufacturers may elect to use AEDMs
to rate models which significantly
reduces costs to industry.
b. Cost and Compliance Associated
With Appendix A1
In appendix A1, DOE is proposing to
adopt the test conditions and
procedures in AHRI 1340–202X Draft
and ANSI/ASHRAE 37–2009. The
proposed test procedure in appendix A1
includes provisions for measuring
CUAC and CUHP energy efficiency
using the IVEC and IVHE metrics to be
consistent with the updated draft
industry test procedure. Should DOE
adopt amended energy conservation
standards in the future denominated in
terms of IVEC and IVHE, the
Department expects there would be an
increase in third-partly lab testing cost
relative to the current Federal test
procedure, outlined in the following
paragraphs:
The proposed change in external
static pressure (ESP) requirements
discussed that apply to measuring the
IVEC and IVHE metrics would require
additional test setup that DOE expects
would increase test costs. DOE has
tentatively concluded that metal
ductwork would need to be fabricated
for testing to withstand the higher ESP
requirements (as compared to
foamboard ductwork typically used for
testing to the current test procedure).
DOE estimates a test cost increase
ranging from $500 to $1500 per unit,
depending on the unit size/cooling
capacity, associated with this transition
to metal ductwork. To meet the
proposed requirement regarding split of
ESP between return and supply
ductwork, DOE estimates an increase of
$200 per unit for the time required to
apply return duct restrictions. In
combination, DOE estimates a total test
cost increase of between $700 and
$1700 per unit to meet the proposed
ESP requirements.
For determining IVEC, DOE has
tentatively concluded that there would
not be an increase in testing cost as
compared to measuring IEER per the
current Federal test procedure, beyond
the costs associated with the proposed
ESP requirements discussed previously.
For determining IVHE, there are two
required heating tests and several
additional optional heating tests. The
required heating tests are full-load tests
at 47 °F and 17 °F. The full-load test at
47 °F is already required for the current
Federal test procedure for determining
COP. The full-load test at 17 °F which is
currently required for the AHRI
certification program. Because most
CUHP manufacturers are AHRI members
and participate in the AHRI certification
program, DOE expects that that the
required heating tests for IVHE would
not increase test cost as compared to
testing that is typically already
conducted, beyond the costs associated
with the proposed ESP requirements
discussed previously.
Optional heating tests for CUHPs
would increase the cost of heating
testing if conducted. The optional tests
for IVHE are outlined in section III.F.5,
which include: (1) an additional fullload test at 5 °F; (2) part-load tests at
17 °F and 47 °F (including up to 2 partload tests at each temperature); and (3)
for variable-speed units, boost tests at
17 °F and 5 °F. DOE estimates that each
optional test conducted would increase
the cost of heating testing by $2,000 to
$4,000 depending on the test condition.
For ECUACs, WCUACs, and doubleduct systems, the current Federal test
procedure requires testing to EER for
cooling tests—testing to IEER is not
currently required for ECUACs,
WCUACs, and double-duct systems.
Because measuring EER requires only a
single test while IVEC requires testing at
four different test conditions, DOE
expects that measuring IVEC for
WCUACs, ECUACs, and double-duct
systems would increase the cost of
cooling testing. Specifically, DOE
estimates the cost of additional cooling
tests to be $3,700 per unit. Further, the
previously discussed costs associated
with the proposed indoor air ESP
requirements ($700 to $1,700 depending
on unit size) would also apply to
ECUACs, WCUACs, and double-duct
systems. In addition, for double-duct
systems DOE expects that testing to
appendix A1 would require an
additional $2,000 per unit for setup to
meet the proposed non-zero outdoor air
ESP requirement associated with the
IVEC and IVHE metrics. Otherwise, DOE
expects similar test burden for
determining IVHE for double-duct
systems as for determining IVHE for
conventional ACUHPs as discussed in
the preceding paragraphs.
Table IV.1 shows DOE’s estimates for
testing to the current Federal test
procedure and the proposed test
procedure in appendix A1.
TABLE IV.1—TEST COST ESTIMATES FOR THE PROPOSED TEST PROCEDURE IN APPENDIX A1
Test cost for
current federal
test procedure
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Equipment type
ACUACs ..................................................
ACUHPs ..................................................
Double-duct air conditioners ...................
Double-duct heat pumps .........................
ECUACs and WCUACs ..........................
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Test cost for proposed test procedure in appendix A1
$10,500
12,000
6,800
8,300
6,800
$11,200–$12,200.
$12,700–$13,700 (plus $2,000–$4,000 per optional heating test).
$13,200-$14,200.
$14,700–$15,700 (plus $2,000–$4,000 per optional heating test).
$11,200–$12,200.
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Testing in accordance with appendix
A1 would not be required until such
time as compliance is required with
amended energy conservation standards
for CUACs and CUHPs based on the
proposed new IVEC and IVHE metrics,
should DOE adopt such standards.
If CUAC and CUHP manufacturers
conduct physical testing to certify a
basic model, two units are required to
be tested per basic model. However,
manufacturers are not required to
perform laboratory testing on all basic
models, as manufacturers may elect to
use AEDMs.41 An AEDM is a computer
modeling or mathematical tool that
predicts the performance of non-tested
basic models. These computer modeling
and mathematical tools, when properly
developed, can provide a means to
predict the energy usage or efficiency
characteristics of a basic model of a
given covered product or equipment
and reduce the burden and cost
associated with testing.
Small businesses would be expected
to have different potential regulatory
costs depending on whether they are a
member of AHRI. DOE understands that
all AHRI members and all
manufacturers currently certifying to the
AHRI Directory will be testing their
CUAC and CUHP models in accordance
with the final version of the AHRI 1340–
202X Draft, the industry test procedure
DOE is proposing to adopt (if finalized
and consistent with the AHRI 1340–
202X Draft), and using AHRI’s
certification program.
The proposed test procedure
amendments would not add any
additional testing burden to
manufacturers which are members of
AHRI. As discussed, DOE did not
identify any small, domestic OEMs that
are not AHRI members. Therefore, DOE
has tentatively concluded that the
proposed test procedure amendments
would not add additional testing
burden, as those members soon will be
using the finalized version of the AHRI
1340–202X draft test procedure.
Issue 10: DOE seeks comment on its
estimate of the potential impacts of its
proposed amendments to the test
procedure for CUACs and CUHPs on
small business manufacturers.
5. Duplication, Overlap, and Conflict
With Other Rules and Regulations
DOE is not aware of any rules or
regulations that duplicate, overlap, or
conflict with the rule being considered
today.
41 In
accordance with 10 CFR 429.70.
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6. Significant Alternatives to the Rule
DOE proposes to reduce burden on
manufacturers, including small
businesses, by allowing AEDMs in lieu
of physically testing all basic models.
The use of an AEDM is less costly than
physical testing of CUAC and CUHP
models, including double-duct systems.
DOE estimates the cost to develop an
AEDM to be $19,000 per AEDM. The
development of the AEDM would
reduce the need for physical testing if
the manufacturer expands its model
offerings. Once the AEDM is developed,
DOE estimates that it would take 1 hour
of an engineer’s time (calculated based
upon an engineering technician’s fullyburdened wage of $41 per hour) to
determine efficiency for each basic
model using the AEDM.
Additionally, DOE considered
alternative test methods and
modifications to the proposed test
procedures in appendices A and A1 for
CUACs and CUHPs, referencing AHRI
340/360–2022 and the AHRI 1340–202X
Draft, respectively. However, DOE has
tentatively determined that there are no
better alternatives than the proposed
test procedures, in terms of both
meeting the agency’s objectives and
reducing burden on manufacturers.
Therefore, DOE is proposing to amend
the existing DOE test procedure for
CUACs and CUHPs through
incorporation by reference of AHRI 340/
360–2022 in appendix A, and adoption
of AHRI 1340–202X Draft in appendix
A1.
In addition, individual manufacturers
may petition for a waiver of the
applicable test procedure. (See 10 CFR
431.401) Also, section 504 of the
Department of Energy Organization Act,
42 U.S.C. 7194, provides authority for
the Secretary to adjust a rule issued
under EPCA in order to prevent ‘‘special
hardship, inequity, or unfair
distribution of burdens’’ that may be
imposed on that manufacturer as a
result of such rule. Manufacturers
should refer to 10 CFR part 1003 for
additional details.
C. Review Under the Paperwork
Reduction Act of 1995
Manufacturers of CUACs and CUHPs
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
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products and commercial equipment,
including CUACs and CUHPs. (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.
DOE is not proposing to amend the
certification or reporting requirements
for CUACs and CUHPs in this NOPR.
Instead, DOE may consider proposals to
amend the certification requirements
and reporting for CUACs and CUHPs
under a separate rulemaking regarding
appliance and equipment certification.
DOE will address changes to OMB
Control Number 1910–1400 at that time,
as necessary.
Notwithstanding any other provision
of the law, no person is required to
respond to, nor shall any person be
subject to a penalty for failure to comply
with, a collection of information subject
to the requirements of the PRA, unless
that collection of information displays a
currently valid OMB Control Number.
D. Review Under the National
Environmental Policy Act of 1969
In this NOPR, DOE proposes test
procedure amendments that it expects
will be used to develop and implement
future energy conservation standards for
CUACs and CUHPs. DOE has
determined that this proposed rule falls
into a class of actions that are
categorically excluded from review
under the National Environmental
Policy Act of 1969 (42 U.S.C. 4321 et
seq.) and DOE’s implementing
regulations at 10 CFR part 1021.
Specifically, DOE has determined that
adopting test procedures for measuring
energy efficiency of consumer products
and industrial equipment is consistent
with activities identified in 10 CFR part
1021, subpart D, appendix A, sections
A5, and A6. Accordingly, neither an
environmental assessment nor an
environmental impact statement is
required.
E. Review Under Executive Order 13132
Executive Order 13132, ‘‘Federalism,’’
64 FR 43255 (August 4, 1999) imposes
certain requirements for agencies
formulating and implementing policies
or regulations that preempt State law or
that have federalism implications. The
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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 has examined this proposed
rule and has determined that it would
not have a substantial direct effect on
the States, on the relationship between
the national government and the States,
or on the distribution of power and
responsibilities among the various
levels of government. EPCA governs and
prescribes Federal preemption of State
regulations as to energy conservation for
the products that are the subject of this
proposed rule. States can petition DOE
for exemption from such preemption to
the extent, and based on criteria, set
forth in EPCA. (42 U.S.C. 6297(d)) No
further action is required by Executive
Order 13132.
F. Review Under Executive Order 12988
Regarding the review of existing
regulations and the promulgation of
new regulations, section 3(a) of
Executive Order 12988, ‘‘Civil Justice
Reform,’’ 61 FR 4729 (Feb. 7, 1996),
imposes on Federal agencies the general
duty to adhere to the following
requirements: (1) eliminate drafting
errors and ambiguity, (2) write
regulations to minimize litigation, (3)
provide a clear legal standard for
affected conduct rather than a general
standard, and (4) promote simplification
and burden reduction. Section 3(b) of
Executive Order 12988 specifically
requires that Executive agencies make
every reasonable effort to ensure that the
regulation (1) clearly specifies the
preemptive effect, if any, (2) clearly
specifies any effect on existing Federal
law or regulation, (3) provides a clear
legal standard for affected conduct
while promoting simplification and
burden reduction, (4) specifies the
retroactive effect, if any, (5) adequately
defines key terms, and (6) addresses
other important issues affecting clarity
and general draftsmanship under any
guidelines issued by the Attorney
General. Section 3(c) of Executive Order
12988 requires Executive agencies to
review regulations in light of applicable
standards in sections 3(a) and 3(b) to
determine whether they are met or it is
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unreasonable to meet one or more of
them. DOE has completed the required
review and determined that, to the
extent permitted by law, the proposed
rule meets the relevant standards of
Executive Order 12988.
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
proposed regulatory action likely to
result in a rule that may cause the
expenditure by State, local, and Tribal
governments, in the aggregate, or by the
private sector of $100 million or more
in any one year (adjusted annually for
inflation), section 202 of UMRA requires
a Federal agency to publish a written
statement that estimates the resulting
costs, benefits, and other effects on the
national economy. (2 U.S.C. 1532(a), (b))
The UMRA also requires a Federal
agency to develop an effective process
to permit timely input by elected
officers of State, local, and Tribal
governments on a proposed ‘‘significant
intergovernmental mandate,’’ and
requires an agency plan for giving notice
and opportunity for timely input to
potentially affected small governments
before establishing any requirements
that might significantly or uniquely
affect small governments. On March 18,
1997, DOE published a statement of
policy on its process for
intergovernmental consultation under
UMRA. 62 FR 12820; also available at
www.energy.gov/gc/office-generalcounsel. DOE examined this proposed
rule according to UMRA and its
statement of policy and determined that
the rule contains neither an
intergovernmental mandate, nor a
mandate that may result in the
expenditure of $100 million or more in
any year, so these requirements do not
apply.
H. Review Under the Treasury and
General Government Appropriations
Act, 1999
Section 654 of the Treasury and
General Government Appropriations
Act, 1999 (Pub. L. 105–277) requires
Federal agencies to issue a Family
Policymaking Assessment for any rule
that may affect family well-being. This
proposed rule would not have any
impact on the autonomy or integrity of
the family as an institution.
Accordingly, DOE has concluded that it
is not necessary to prepare a Family
Policymaking Assessment.
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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 proposed
regulation would not result in any
takings that might require compensation
under the Fifth Amendment to the U.S.
Constitution.
J. Review Under Treasury and General
Government Appropriations Act, 2001
Section 515 of the Treasury and
General Government Appropriations
Act, 2001 (44 U.S.C. 3516 note) provides
for agencies to review most
disseminations of information to the
public under guidelines established by
each agency pursuant to general
guidelines issued by OMB. OMB’s
guidelines were published at 67 FR
8452 (Feb. 22, 2002), and DOE’s
guidelines were published at 67 FR
62446 (Oct. 7, 2002). Pursuant to OMB
Memorandum M–19–15, Improving
Implementation of the Information
Quality Act (April 24, 2019), DOE
published updated guidelines which are
available at www.energy.gov/sites/prod/
files/2019/12/f70/DOE%20
Final%20Updated%20IQA
%20Guidelines%20Dec%202019.pdf.
DOE has reviewed this proposed rule
under the OMB and DOE guidelines and
has concluded that it is consistent with
applicable policies in those guidelines.
K. Review Under Executive Order 13211
Executive Order 13211, ‘‘Actions
Concerning Regulations That
Significantly Affect Energy Supply,
Distribution, or Use,’’ 66 FR 28355 (May
22, 2001), requires Federal agencies to
prepare and submit to OMB a Statement
of Energy Effects for any proposed
significant energy action. A ‘‘significant
energy action’’ is defined as any action
by an agency that promulgated or is
expected to lead to promulgation of a
final rule, and that (1) is a significant
regulatory action under Executive Order
12866, or any successor order; and (2)
is likely to have a significant adverse
effect on the supply, distribution, or use
of energy; or (3) is designated by the
Administrator of OIRA as a significant
energy action. For any proposed
significant energy action, the agency
must give a detailed statement of any
adverse effects on energy supply,
distribution, or use should the proposal
be implemented, and of reasonable
alternatives to the action and their
expected benefits on energy supply,
distribution, and use.
The proposed regulatory action to
amend the test procedure for measuring
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the energy efficiency of CUACs and
CUHPs 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.
ddrumheller on DSK120RN23PROD with PROPOSALS3
L. Review Under Section 32 of the
Federal Energy Administration Act of
1974
Under section 301 of the Department
of Energy Organization Act (Pub. L. 95–
91; 42 U.S.C. 7101), DOE must comply
with section 32 of the Federal Energy
Administration Act of 1974, as amended
by the Federal Energy Administration
Authorization Act of 1977. (15 U.S.C.
788; FEAA) Section 32 essentially
provides in relevant part that, where a
proposed rule authorizes or requires use
of commercial standards, the notice of
proposed rulemaking must inform the
public of the use and background of
such standards. In addition, section
32(c) requires DOE to consult with the
Attorney General and the Chairman of
the Federal Trade Commission (FTC)
concerning the impact of the
commercial or industry standards on
competition.
The proposed modifications to the
test procedure for CUACs and CUHPs
would incorporate testing methods
contained in certain sections of the
following commercial standards: AHRI
340/360–2022 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 will
consult with both the Attorney General
and the Chairman of the FTC
concerning the impact of these test
procedures on competition prior to
prescribing a final rule.
M. Description of Materials
Incorporated by Reference
In this NOPR, DOE proposes to
incorporate by reference the following
test standards:
AHRI Standard 340/360–2022. This
test standard is an industry-accepted
test procedure for measuring the
performance of air-cooled,
evaporatively-cooled, and water-cooled
unitary air-conditioning and heat pump
equipment.
Copies of AHRI Standard 340/360–
2022 can be obtained from AHRI, 2311
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Wilson Blvd., Suite 400, Arlington, VA
22201, (703) 524–8800, or found online
at: www.ahrinet.org.
AHRI Standard 1340–202X Draft. This
test standard is in draft form and its text
was provided to DOE for the purposes
of review only during the drafting of
this NOPR. DOE intends to update the
reference to the final published version
of AHRI 1340 in the subsequent final
rule. If there are substantive changes
between the draft and published
versions for which DOE receives
stakeholder comments in response to
this NOPR recommending that DOE
adopt provisions consistent with the
published version of AHRI 1340–202X,
then DOE may consider adopting those
provisions. If there are substantive
changes between the draft and
published versions for which
stakeholder comments do not express
support, DOE may adopt the substance
of the AHRI 1340–202X Draft or provide
additional opportunity for comment on
the changes to the industry consensus
test procedure.
ANSI/ASHRAE 37–2009. This test
standard is an industry-accepted test
procedure that provides a method of test
for many categories of air conditioning
and heating equipment.
Copies of ANSI/ASHRAE 37–2009 is
available on ASHRAE’s website at
www.ashrae.org.
The following standards included in
the proposed regulatory text were
previously approved for incorporation
by reference for the locations where
they appear in this proposed rule: AHRI
210/240–2008 and AHRI 340/360–2007.
V. Public Participation
A. Participation in the Webinar
The time and date of the webinar
meeting are listed in the DATES section
at the beginning of this document.
Webinar registration information,
participant instructions, and
information about the capabilities
available to webinar participants will be
published on DOE’s website:
www.energy.gov/eere/buildings/publicmeetings-and-comment-deadlines.
Participants are responsible for ensuring
their systems are compatible with the
webinar software.
B. Procedure for Submitting Prepared
General Statements for Distribution
Any person who has an interest in the
topics addressed in this NOPR, or who
is representative of a group or class of
persons that has an interest in these
issues, may request an opportunity to
make an oral presentation at the
webinar. Such persons may submit to
ApplianceStandardsQuestions@
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ee.doe.gov. Persons who wish to speak
should include with their request a
computer file in WordPerfect, Microsoft
Word, PDF, or text (ASCII) file format
that briefly describes the nature of their
interest in this rulemaking and the
topics they wish to discuss. Such
persons should also provide a daytime
telephone number where they can be
reached.
DOE requests persons selected to
make an oral presentation to submit an
advance copy of their statements at least
two weeks before the webinar. At its
discretion, DOE may permit persons
who cannot supply an advance copy of
their statement to participate, if those
persons have made advance alternative
arrangements with the Building
Technologies Office. As necessary,
requests to give an oral presentation
should ask for such alternative
arrangements.
C. Conduct of the Webinar
DOE will designate a DOE official to
preside at the webinar and may also use
a professional facilitator to aid
discussion. The meeting will not be a
judicial or evidentiary-type public
hearing, but DOE will conduct it in
accordance with section 336 of EPCA
(42 U.S.C. 6306). A court reporter will
be present to record the proceedings and
prepare a transcript. DOE reserves the
right to schedule the order of
presentations and to establish the
procedures governing the conduct of the
webinar. There shall not be discussion
of proprietary information, costs or
prices, market share, or other
commercial matters regulated by U.S.
anti-trust laws. After the webinar and
until the end of the comment period,
interested parties may submit further
comments on the proceedings and any
aspect of the proposed rulemaking.
The webinar will be conducted in an
informal conference style. DOE will a
general overview of the topics addressed
in this proposed rulemaking, allow time
for prepared general statements by
participants, and encourage all
interested parties to share their views on
issues affecting this proposed
rulemaking. Each participant will be
allowed to make a general statement
(within time limits determined by DOE)
before the discussion of specific topics.
DOE will permit, as time permits, other
participants to comment briefly on any
general statements.
At the end of all prepared statements
on a topic, DOE will permit participants
to clarify their statements briefly.
Participants should be prepared to
answer questions by DOE and by other
participants concerning these issues.
DOE representatives may also ask
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ddrumheller on DSK120RN23PROD with PROPOSALS3
questions of participants concerning
other matters relevant to this proposed
rulemaking. The official conducting the
webinar will accept additional
comments or questions from those
attending, as time permits. The
presiding official will announce any
further procedural rules or modification
of the above procedures that may be
needed for the proper conduct of the
webinar.
A transcript of the webinar will be
included in the docket, which can be
viewed as described in the Docket
section at the beginning of this NOPR.
In addition, any person may buy a copy
of the transcript from the transcribing
reporter.
D. Submission of Comments
DOE will accept comments, data, and
information regarding this proposed
rule before or after the public meeting,
but no later than the date provided in
the DATES section at the beginning of
this proposed rule. Interested parties
may submit comments using any of the
methods described in the ADDRESSES
section at the beginning of this
document.
Submitting comments via
www.regulations.gov. The
www.regulations.gov web page will
require you to provide your name and
contact information. Your contact
information will be viewable to DOE
Building Technologies staff only. Your
contact information will not be publicly
viewable except for your first and last
names, organization name (if any), and
submitter representative name (if any).
If your comment is not processed
properly because of technical
difficulties, DOE will use this
information to contact you. If DOE
cannot read your comment due to
technical difficulties and cannot contact
you for clarification, DOE may not be
able to consider your comment.
However, your contact information
will be publicly viewable if you include
it in the comment or in any documents
attached to your comment. Any
information that you do not want to be
publicly viewable should not be
included in your comment, nor in any
document attached to your comment.
Otherwise, persons viewing comments
will see only first and last names,
organization names, correspondence
containing comments, and any
documents submitted with the
comments.
Do not submit to www.regulations.gov
information for which disclosure is
restricted by statute, such as trade
secrets and commercial or financial
information (hereinafter referred to as
Confidential Business Information
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(CBI)). Comments submitted through
www.regulations.gov cannot be claimed
as CBI. Comments received through the
website will waive any CBI claims for
the information submitted. For
information on submitting CBI, see the
Confidential Business Information
section.
DOE processes submissions made
through www.regulations.gov before
posting. Normally, comments will be
posted within a few days of being
submitted. However, if large volumes of
comments are being processed
simultaneously, your comment may not
be viewable for up to several weeks.
Please keep the comment tracking
number that www.regulations.gov
provides after you have successfully
uploaded your comment.
Submitting comments via email, hand
delivery/courier, or postal mail.
Comments and documents submitted
via email, hand delivery/courier, or
postal mail also will be posted to
www.regulations.gov. If you do not want
your personal contact information to be
publicly viewable, do not include it in
your comment or any accompanying
documents. Instead, provide your
contact information on a cover letter.
Include your first and last names, email
address, telephone number, and
optional mailing address. The cover
letter will not be publicly viewable as
long as it does not include any
comments.
Include contact information each time
you submit comments, data, documents,
and other information to DOE. If you
submit via postal mail or hand delivery/
courier, please provide all items on a
CD, if feasible, in which case it is not
necessary to submit printed copies. No
telefacsimiles (faxes) will be accepted.
Comments, data, and other
information submitted to DOE
electronically should be provided in
PDF (preferred), Microsoft Word or
Excel, WordPerfect, or text (ASCII) file
format. Provide documents that are not
secured, that are written in English, and
that are free of any defects or viruses.
Documents should not contain special
characters or any form of encryption
and, if possible, they should carry the
electronic signature of the author.
Campaign form letters. Please submit
campaign form letters by the originating
organization in batches of between 50 to
500 form letters per PDF or as one form
letter with a list of supporters’ names
compiled into one or more PDFs. This
reduces comment processing and
posting time.
Confidential Business Information.
Pursuant to 10 CFR 1004.11, any person
submitting information that he or she
believes to be confidential and exempt
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56443
by law from public disclosure should
submit via email two well-marked
copies: one copy of the document
marked ‘‘confidential’’ including all the
information believed to be confidential,
and one copy of the document marked
‘‘non-confidential’’ with the information
believed to be confidential deleted. DOE
will make its own determination about
the confidential status of the
information and treat it according to its
determination.
It is DOE’s policy that all comments
may be included in the public docket,
without change and as received,
including any personal information
provided in the comments (except
information deemed to be exempt from
public disclosure).
E. Issues on Which DOE Seeks Comment
Although DOE welcomes comments
on any aspect of this proposal, DOE is
particularly interested in receiving
comments and views of interested
parties concerning the following issues:
Issue 1: DOE seeks comment on its
proposed definition for CUACs and
CUHPs.
Issue 2: DOE requests feedback on its
proposal to adopt the IVEC and IVHE
metrics as determined under AHRI
1340–202X Draft in appendix A1 of the
Federal test procedure for ACUACs and
ACUHPs (including double-duct
systems), ECUACs, and WCUACs.
Issue 3: DOE requests comment in its
proposal to adopt the IVEC metric for
ECUACs and WCUACs in appendix A1
as specified in the AHRI 1340–202X
Draft, including the test temperature
requirements.
Issue 4: DOE requests comment on its
proposal to adopt the IVEC and IVHE
metrics for double-duct systems in
appendix A1 as specified in the AHRI
1340–202X Draft.
Issue 5: DOE seeks comment on its
proposals regarding specific
components in 10 CFR 429.43, 10 CFR
429.134, and 10 CFR part 431, subpart
F, appendices A and A1.
Issue 6: DOE requests comment on its
proposals related to represented values
and verification testing of cooling
capacity.
Issue 7: DOE requests comment on its
proposal to require that a basic model’s
representation(s) of IVEC and IVHE
(including IVHEc, as applicable) must
be determined using a minimum partload airflow that is no lower than the
highest of the following: (1) the
minimum part-load airflow obtained
using the as-shipped system control
settings; (2) the minimum part-load
airflow obtained using the default
system control settings specified in the
manufacturer installation instructions
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(as applicable); and (3) the minimum
airflow rate specified in section 5.18.2
of AHRI 1340–202X Draft. DOE also
seeks feedback on the alternate option
listed or any alternate options not listed
that would ensure representations of
IVEC and IVHE are based on minimum
part-load airflow that is representative
of field installations.
Issue 8: DOE requests comment on its
tentative understanding of the impact of
the test procedure proposals in this
NOPR, particularly regarding DOE’s
initial estimates of the cost impacts
associated with the proposed appendix
A1.
Issue 9: DOE requests comment on the
number of small business OEMs of
CUACs and CUHPs.
Issue 10: DOE seeks comment on its
estimate of the potential impacts of its
proposed amendments to the test
procedure for CUACs and CUHPs on
small business manufacturers.
Additionally, DOE welcomes
comments on other issues relevant to
the conduct of this proposed rulemaking
that may not be specifically identified in
this document.
VI. Approval of the Office of the
Secretary
The Secretary of Energy has approved
publication of this notice of proposed
rulemaking and request for comment.
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.
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10 CFR Part 431
Administrative practice and
procedure, Confidential business
information, Energy conservation test
procedures, Incorporation by reference,
Reporting and recordkeeping
requirements.
Signing Authority
This document of the Department of
Energy was signed on July 20, 2023, 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
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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 July 21,
2023.
Treena V. Garrett,
Federal Register Liaison Officer, U.S.
Department of Energy.
For the reasons stated in the
preamble, DOE proposes to amend parts
429 and 431 of Chapter II of Title 10,
Code of Federal Regulations as set forth:
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 (c)(2);
b. Redesignating paragraphs (c)(6)
through (7) as (c)(7) through (8); and
■ c. Adding new paragraph (c)(6).
The revision and addition read as
follows.
■
■
■
§ 429.4 Materials incorporated by
reference.
*
*
*
*
*
(c) * * *
(2) AHRI Standard 340/360–2022 (I–
P) (‘‘AHRI 340/360–2022’’), 2022
Standard for Performance Rating of
Commercial and Industrial Unitary AirConditioning and Heat Pump
Equipment, AHRI-approved January 26,
2022; IBR approved for §§ 429.43 and
429.134.
*
*
*
*
*
(6) AHRI Standard 1340–202X Draft
(I–P) (‘‘AHRI 1340–202XDraft’’), 202X
Standard for Performance Rating of
Commercial and Industrial Unitary AirConditioning and Heat Pump
Equipment [publication expected 2023];
IBR approved for §§ 429.43 and 429.134.
*
*
*
*
*
§ 429.12
[Amended]
3. Amend § 429.12 paragraph (b)(8)(ii)
by removing the words ‘‘small
commercial package air conditioning
and heating equipment’’, and adding in
their place, the words ‘‘commercial
unitary air conditioners and heat
pumps’’.
■ 4. Amend § 429.43 by:
■ a. Revising the section heading;
■ b. Removing paragraph (a)(1)(iv);
■
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c. Remove and reserve paragraph
(a)(2)(ii);
■ d. Adding paragraph (a)(3)(v);
■ e. Revising introductory paragraphs of
(b)(2)(i) and (ii);
■ f. In paragraph (b)(4)(i), in the first
sentence removing the words
‘‘Commercial package air-conditioning
equipment (except commercial package
air conditioning equipment that is aircooled with a cooling capacity less than
65,000 Btu/h):’’ and adding in their
place, the words ‘‘Commercial unitary
air conditioners (except air-cooled,
three-phase, commercial unitary air
conditioners with a cooling capacity of
less than 65,000 Btu/h):’’; and
■ g. In paragraph (b)(4)(ii), in the first
sentence removing the words
‘‘Commercial package heating
equipment (except commercial package
heating equipment that is air-cooled
with a cooling capacity less than 65,000
Btu/h):’’ and adding in their place, the
words ‘‘Commercial unitary heat pumps
(except air-cooled, three-phase,
commercial unitary heat pumps with a
cooling capacity of less than 65,000 Btu/
h):’’.
The revisions and addition read as
follows.
■
§ 429.43 Commercial heating, ventilating,
air conditioning (HVAC) equipment
(excluding air-cooled, three-phase,
commercial unitary air conditioners and
heat pumps with a cooling capacity of less
than 65,000 British thermal units per hour
and air-cooled, three-phase, variable
refrigerant flow multi-split air conditioners
and heat pumps with less than 65,000
British thermal units per hour cooling
capacity).
(a) * * *
(3) * * *
(v) Commercial unitary air
conditioners and heat pumps (excluding
air-cooled equipment with a cooling
capacity less than 65,000 Btu/h). Before
[Date 360 days after date of publication
of the final rule in the Federal Register],
the provisions in § 429.43 of this title as
it appeared in the 10 CFR parts 200–499
edition revised as of January 1, 2023 are
applicable. When certifying on or after
[Date 360 days after date of publication
of the final rule in the Federal Register],
the following provisions apply.
(A) Individual model selection:
(1) Representations for a basic model
must be based on the least-efficient
individual model(s) distributed in
commerce among all otherwise
comparable model groups comprising
the basic model, with selection of the
least-efficient individual model
considering all options for factoryinstalled components and manufacturersupplied components for field
installation, except as provided in
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paragraph (a)(3)(v)(A)(2) of this section
for individual models that include
components listed in table 6 to
paragraph (a)(3)(v)(A) of this section.
For the purpose of this paragraph
(a)(3)(v)(A)(1), ‘‘otherwise comparable
model group’’ means a group of
individual models distributed in
commerce within the basic model that
do not differ in components that affect
energy consumption as measured
according to the applicable test
procedure specified at 10 CFR 431.96
other than those listed in table 6 to
paragraph (a)(3)(v)(A) of this section. An
otherwise comparable model group may
include individual models distributed
in commerce with any combination of
the components listed in table 6 (or
none of the components listed in table
6). An otherwise comparable model
group may consist of only one
individual model.
(2) For a basic model that includes
individual models distributed in
commerce with components listed in
table 6 to paragraph (a)(3)(v)(A) of this
56445
section, the requirements for
determining representations apply only
to the individual model(s) of a specific
otherwise comparable model group
distributed in commerce with the least
number (which could be zero) of
components listed in table 6 included in
individual models of the group. Testing
under this paragraph shall be consistent
with any component-specific test
provisions specified in section 4 of
appendix A and section 4 of appendix
A1 to subpart F of part 431.
TABLE 6 TO PARAGRAPH (a)(3)(v)(A)—SPECIFIC COMPONENTS FOR COMMERCIAL UNITARY AIR CONDITIONERS AND HEAT
PUMPS
[Excluding Air-Cooled Equipment With a Cooling Capacity of Less Than 65,000 Btu/h]
Component
Description
Air Economizers ...................
An automatic system that enables a cooling system to supply outdoor air to reduce or eliminate the need for mechanical cooling during mid or cold weather.
An assembly that reduces the moisture content of the supply air through moisture transfer with solid or liquid
desiccants.
Water is evaporated into the air entering the air-cooled condenser to lower the dry-bulb temperature and thereby
increase efficiency of the refrigeration cycle.
Desiccant Dehumidification
Components.
Evaporative Pre-cooling of
Air-cooled Condenser Intake Air.
Fire/Smoke/Isolation
Dampers.
Indirect/Direct Evaporative
Cooling of Ventilation Air.
Non-Standard Ducted Condenser Fans (not applicable to Double-duct Systems).
Non-Standard High-Static Indoor Fan Motors.
Powered Exhaust/Powered
Return Air Fans.
ddrumheller on DSK120RN23PROD with PROPOSALS3
Process Heat recovery/Reclaim Coils/Thermal Storage.
Refrigerant Reheat Coils ......
Sound Traps/Sound Attenuators.
Steam/Hydronic Heat Coils ..
Ventilation Energy Recovery
System (VERS).
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A damper assembly including means to open and close the damper mounted at the supply or return duct opening
of the equipment.
Water is used indirectly or directly to cool ventilation air. In a direct system the water is introduced directly into
the ventilation air and in an indirect system the water is evaporated in secondary air stream and the heat is removed through a heat exchanger.
A higher-static condenser fan/motor assembly designed for external ducting of condenser air that provides greater pressure rise and has a higher rated motor horsepower than the condenser fan provided as a standard component with the equipment.
The standard indoor fan motor is the motor specified in the manufacturer’s installation instructions for testing and
shall be distributed in commerce as part of a particular model. A non-standard motor is an indoor fan motor
that is not the standard indoor fan motor and that is distributed in commerce as part of an individual model
within the same basic model.
For a non-standard high-static indoor fan motor(s) to be considered a specific component for a basic model (and
thus subject to the provisions of (a)(3)(v)(A)(2) of this section), the following provisions must be met:
(i) If testing per appendix A to subpart F of part 431, non-standard high-static indoor fan motor(s) must meet the
minimum allowable efficiency determined per section D4.1 of AHRI 340/360–2022 (incorporated by reference,
see § 429.4) for non-standard high-static indoor fan motors or per section D4.2 of AHRI 340/360–2022 for nonstandard high-static indoor integrated fan and motor combinations.
(ii) If testing per appendix A1 to subpart F of part 431, non-standard high-static indoor fan motor(s) must meet the
minimum allowable efficiency determined per section D4.1 of AHRI 1340–202X Draft (incorporated by reference, see § 429.4) for non-standard high-static indoor fan motors or per section D4.2 of AHRI 1340–202X
Draft for non-standard high-static indoor integrated fan and motor combinations.
(iii) If the standard indoor fan motor can vary fan speed through control system adjustment of motor speed, all
non-standard high-static indoor fan motors must also allow speed control (including with the use of variable-frequency drive).
A powered exhaust fan is a fan that transfers directly to the outside a portion of the building air that is returning
to the unit, rather than allowing it to recirculate to the indoor coil and back to the building. A powered return fan
is a fan that draws building air into the equipment.
A heat exchanger located inside the unit that conditions the equipment’s supply air using energy transferred from
an external source using a vapor, gas, or liquid.
A heat exchanger located downstream of the indoor coil that heats the supply air during cooling operation using
high pressure refrigerant in order to increase the ratio of moisture removal to cooling capacity provided by the
equipment.
An assembly of structures through which the supply air passes before leaving the equipment or through which
the return air from the building passes immediately after entering the equipment for which the sound insertion
loss is at least 6 dB for the 125 Hz octave band frequency range.
Coils used to provide supplemental heating.
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.
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56446
Federal Register / Vol. 88, No. 158 / Thursday, August 17, 2023 / Proposed Rules
(B) The represented value of total
cooling capacity must be between 95
percent and 100 percent of the mean of
the total cooling capacities measured for
the units in the sample selected as
described in paragraph (a)(1)(ii) of this
section, or between 95 percent and 100
percent of the total cooling capacity
output simulated by the AEDM as
described in paragraph (a)(2) of this
section.
(C) Representations of IVEC and IVHE
(including IVHEc, as applicable) must be
determined using a minimum part-load
airflow that is no lower than the highest
of the following:
(1) The minimum part-load airflow
obtained using the as-shipped system
control settings;
(2) The minimum part-load airflow
obtained using the default system
control settings specified in the
manufacturer installation instructions
(as applicable); and
(3) The minimum airflow rate
specified in section 5.18.2 of AHRI
1340–202XDraft.
(b) * * *
(2) * * *
(i) Commercial unitary air
conditioners (except air-cooled, threephase, commercial unitary air
conditioners with a cooling capacity of
less than 65,000 Btu/h): * * *
(ii) Commercial unitary heat pumps
(except air-cooled, three-phase,
commercial unitary heat pumps with a
cooling capacity of less than 65,000 Btu/
h): * * *
*
*
*
*
*
§ 429.67
[Amended]
5. Amend § 429.67 by:
a. In the section heading and
paragraphs (a)(1), (2), and (c)(1),
removing the words ‘‘small commercial
package air conditioning and heating
equipment’’, and adding in their place,
the words ‘‘commercial unitary air
conditioners and heat pumps’’;
■ b. In paragraph (f)(2)(i), removing the
words ‘‘Commercial package air
conditioning equipment that is aircooled with a cooling capacity of less
than 65,000 Btu/h (3-Phase)’’, and
adding in their place, the words ‘‘Aircooled, three-phase, commercial unitary
air conditioners with a cooling capacity
of less than 65,000 Btu/h’’;
■ c. In paragraph (f)(2)(ii), removing the
words ‘‘Commercial package heating
equipment that is air-cooled with a
cooling capacity of less than 65,000 Btu/
h (3-Phase)’’, and adding in their place,
the words ‘‘Air-cooled, three-phase,
commercial unitary heat pumps with a
cooling capacity of less than 65,000 Btu/
h’’; and
■ d. In paragraph (f)(3)(i), removing the
words ‘‘Air cooled commercial package
air conditioning equipment with a
cooling capacity of less than 65,000 Btu/
h (3-phase)’’, and adding in their place,
the words ‘‘Air-cooled, three-phase,
commercial unitary air conditioners
■
■
with a cooling capacity of less than
65,000 Btu/h’’.
■ e. In paragraph (f)(3)(ii), removing the
words ‘‘Commercial package heating
equipment that is air-cooled with a
cooling capacity of less than 65,000 Btu/
h (3-Phase)’’, and adding in their place,
the words ‘‘Air-cooled, three-phase,
commercial unitary heat pumps with a
cooling capacity of less than 65,000 Btu/
h’’; and
■ 6. Amend § 429.70 by:
■ a. Removing the words ‘‘commercial
package air conditioning and heating
equipment’’ and adding in their place,
the words ‘‘commercial unitary air
conditioners and heat pumps’’ in
paragraph heading (c);
■ b. Revising table 1 to paragraph
(c)(2)(iv);
■ c. Revising table 2 to paragraph
(c)(5)(vi)(B); and
■ d. Removing the words ‘‘commercial
package air conditioning and heating
equipment’’ and adding in their place,
the words ‘‘commercial unitary air
conditioners and heat pumps’’ in the
headings for paragraph (l), and in
paragraphs (l)(1)(i), (l)(1)(ii), and (l)(3).
The revisions read as follows:
§ 429.70 Alternative methods for
determining energy efficiency and energy
use.
*
*
*
(c) * * *
(2) * * *
(iv) * * *
*
*
TABLE 1 TO PARAGRAPH (C)(2)(iv)
Minimum number of
distinct models that
must be tested per
AEDM
Validation class
ddrumheller on DSK120RN23PROD with PROPOSALS3
(A) Commercial HVAC Validation Classes
Air-Cooled Commercial Unitary Air Conditioners and Heat Pumps greater than or equal to 65,000 Btu/h Cooling Capacity.
Water-Cooled Commercial Unitary Air Conditioners, All Capacities ..................................................................................
Evaporatively-Cooled, Commercial Unitary Air Conditioners, All Capacities .....................................................................
Water-Source HPs, All Capacities ......................................................................................................................................
Single Package Vertical ACs and HPs ...............................................................................................................................
Packaged Terminal ACs and HPs ......................................................................................................................................
Air-Cooled, Variable Refrigerant Flow ACs and HPs .........................................................................................................
Water-Cooled, Variable Refrigerant Flow ACs and HPs ....................................................................................................
Computer Room Air Conditioners, Air Cooled ....................................................................................................................
Computer Room Air Conditioners, Water-Cooled and Glycol-Cooled ................................................................................
Direct Expansion-Dedicated Outdoor Air Systems, Air-cooled or Air-source Heat Pump, Without Ventilation Energy
Recovery Systems.
Direct Expansion-Dedicated Outdoor Air Systems, Air-cooled or Air-source Heat Pump, With Ventilation Energy Recovery Systems.
Direct Expansion-Dedicated Outdoor Air Systems, Water-cooled, Water-source Heat Pump, or Ground Source
Closed-loop Heat Pump, Without Ventilation Energy Recovery Systems.
Direct Expansion-Dedicated Outdoor Air Systems, Water-cooled, Water-source Heat Pump, or Ground Source
Closed-loop Heat Pump, With Ventilation Energy Recovery Systems.
2 Basic Models.
2
2
2
2
2
2
2
2
2
2
Basic
Basic
Basic
Basic
Basic
Basic
Basic
Basic
Basic
Basic
Models.
Models.
Models.
Models.
Models.
Models.
Models.
Models.
Models.
Models.
2 Basic Models.
2 Basic Models.
2 Basic Models.
(B) Commercial Water Heater Validation Classes
Gas-fired Water Heaters and Hot Water Supply Boilers Less than 10 Gallons ................................................................
Gas-fired Water Heaters and Hot Water Supply Boilers Greater than or Equal to 10 Gallons .........................................
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2 Basic Models.
2 Basic Models.
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Federal Register / Vol. 88, No. 158 / Thursday, August 17, 2023 / Proposed Rules
TABLE 1 TO PARAGRAPH (C)(2)(iv)—Continued
Minimum number of
distinct models that
must be tested per
AEDM
Validation class
Oil-fired Water Heaters and Hot Water Supply Boilers Less than 10 Gallons ...................................................................
Oil-fired Water Heaters and Hot Water Supply Boilers Greater than or Equal to 10 Gallons ...........................................
Electric Water Heaters ........................................................................................................................................................
Heat Pump Water Heaters ..................................................................................................................................................
Unfired Hot Water Storage Tanks ......................................................................................................................................
2
2
2
2
2
Basic
Basic
Basic
Basic
Basic
Models.
Models.
Models.
Models.
Models.
2
2
2
2
2
2
Basic
Basic
Basic
Basic
Basic
Basic
Models.
Models.
Models.
Models.
Models.
Models.
(C) Commercial Packaged Boilers Validation Classes
Gas-fired, Hot Water Only Commercial Packaged Boilers .................................................................................................
Gas-fired, Steam Only Commercial Packaged Boilers .......................................................................................................
Gas-fired Hot Water/Steam Commercial Packaged Boilers ...............................................................................................
Oil-fired, Hot Water Only Commercial Packaged Boilers ...................................................................................................
Oil-fired, Steam Only Commercial Packaged Boilers .........................................................................................................
Oil-fired Hot Water/Steam Commercial Packaged Boilers .................................................................................................
(D) Commercial Furnace Validation Classes
Gas-fired Furnaces .............................................................................................................................................................
Oil-fired Furnaces ................................................................................................................................................................
2 Basic Models.
2 Basic Models.
(E) Commercial Refrigeration Equipment Validation Classes 1
Self-Contained Open Refrigerators .....................................................................................................................................
Self-Contained Open Freezers ...........................................................................................................................................
Remote Condensing Open Refrigerators ...........................................................................................................................
Remote Condensing Open Freezers ..................................................................................................................................
Self-Contained Closed Refrigerators ..................................................................................................................................
Self-Contained Closed Freezers .........................................................................................................................................
Remote Condensing Closed Refrigerators .........................................................................................................................
Remote Condensing Closed Freezers ................................................................................................................................
2
2
2
2
2
2
2
2
Basic
Basic
Basic
Basic
Basic
Basic
Basic
Basic
Models.
Models.
Models.
Models.
Models.
Models.
Models.
Models.
1 The minimum number of tests indicated above must be comprised of a transparent model, a solid model, a vertical model, a semi-vertical
model, a horizontal model, and a service-over-the counter model, as applicable based on the equipment offering. However, manufacturers do not
need to include all types of these models if it will increase the minimum number of tests that need to be conducted.
*
*
*
(5) * * *
(vi) * * *
*
*
(B) * * *
TABLE 2 TO PARAGRAPH (C)(5)(vi)(B)
Metric
Commercial Packaged Boilers ....................................................
Combustion Efficiency ...............................................................
Thermal Efficiency .....................................................................
Thermal Efficiency .....................................................................
Standby Loss .............................................................................
R-Value ......................................................................................
Energy Efficiency Ratio ..............................................................
Energy Efficiency Ratio 2 ..........................................................
Coefficient of Performance ........................................................
Coefficient of Performance 2 .....................................................
Integrated Energy Efficiency Ratio ............................................
Integrated Ventilation, Economizing, and Cooling .....................
Integrated Ventilation and Heating Efficiency ............................
Energy Efficiency Ratio ..............................................................
Energy Efficiency Ratio 2 ..........................................................
Integrated Energy Efficiency Ratio ............................................
Integrated Ventilation, Economizing, and Cooling .....................
Energy Efficiency Ratio ..............................................................
Energy Efficiency Ratio 2 ..........................................................
Integrated Energy Efficiency Ratio ............................................
Integrated Ventilation, Economizing, and Cooling .....................
Energy Efficiency Ratio ..............................................................
Coefficient of Performance ........................................................
Integrated Energy Efficiency Ratio ............................................
Energy Efficiency Ratio ..............................................................
Commercial Water Heaters or Hot Water Supply Boilers ..........
Unfired Storage Tanks ................................................................
Air-Cooled Commercial Unitary Air Conditioners and Heat
Pumps greater than or equal to 65,000 Btu/h Cooling Capacity.
Water-Cooled Commercial Unitary Air Conditioners, All Cooling
Capacities.
ddrumheller on DSK120RN23PROD with PROPOSALS3
Applicable
tolerance
Equipment
Evaporatively-Cooled Commercial Unitary Air Conditioners, All
Capacities.
Water-Source HPs, All Capacities ..............................................
Single Package Vertical ACs and HPs .......................................
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5% (0.05)
5% (0.05)
5% (0.05)
10% (0.1)
10% (0.1)
5% (0.05)
5% (0.05)
5% (0.05)
5% (0.05)
10% (0.1)
10% (0.1)
10% (0.1)
5% (0.05)
5% (0.05)
10% (0.1)
10% (0.1)
5% (0.05)
5% (0.05)
10% (0.1)
10% (0.1)
5% (0.05)
5% (0.05)
10% (0.1)
5% (0.05)
56448
Federal Register / Vol. 88, No. 158 / Thursday, August 17, 2023 / Proposed Rules
TABLE 2 TO PARAGRAPH (C)(5)(vi)(B)—Continued
Equipment
Packaged Terminal ACs and HPs ..............................................
Variable Refrigerant Flow ACs and HPs ....................................
Computer Room Air Conditioners ...............................................
Direct Expansion- Dedicated Outdoor Air Systems ...................
Commercial Warm-Air Furnaces Commercial Refrigeration
Equipment.
*
*
*
*
*
7. Amend § 429.134 by:
a. Revising paragraph (g); and
b. In paragraph heading (y), removing
the words ‘‘small commercial package
air conditioning and heating
equipment’’, and adding in their place,
the words ‘‘commercial unitary air
conditioners and heat pumps’’.
The revision reads as follows:
■
■
■
§ 429.134 Product-specific enforcement
provisions.
ddrumheller on DSK120RN23PROD with PROPOSALS3
*
*
*
*
*
(g) Commercial unitary air
conditioners and heat pumps (excluding
air-cooled equipment with a cooling
capacity less than 65,000 Btu/h). Before
[Date 360 days after date of publication
of the final rule in the Federal Register],
the provisions in this section of this title
as it appeared in the 10 CFR parts 200–
499 edition revised as of January 1, 2023
are applicable. On and after [Date 360
days after date of publication of the
final rule in the Federal Register], the
following provisions apply.
(1) Verification of cooling capacity.
The cooling capacity of each tested unit
of the basic model will be measured
pursuant to the test requirements of
appendix A or appendix A1 to subpart
F of 10 CFR part 431. The mean of the
cooling capacity measurement(s) will be
used to determine the applicable
standards for purposes of compliance. If
the mean of the cooling capacity
measurements exceeds the certified
cooling capacity by more than 5 percent
of the certified value, the mean of the
cooling capacity measurement(s) will be
used to determine the applicable
minimum external static pressure test
condition specified in Table 7 of AHRI
340/360–2022 (incorporated by
reference, see § 429.4) when testing in
accordance with appendix A or in Table
5 of AHRI 1340–202X Draft when
testing in accordance with appendix A1.
(2) Specific Components. If a basic
model includes individual models with
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Applicable
tolerance
Metric
Coefficient of Performance ........................................................
Energy Efficiency Ratio ..............................................................
Coefficient of Performance ........................................................
Energy Efficiency Ratio ..............................................................
Coefficient of Performance ........................................................
Integrated Energy Efficiency Ratio ............................................
Sensible Coefficient of Performance .........................................
Net Sensible Coefficient of Performance ..................................
Integrated Seasonal Coefficient of Performance 2 ...................
Integrated Seasonal Moisture Removal Efficiency 2 .................
Thermal Efficiency .....................................................................
Daily Energy Consumption ........................................................
components listed at Table 6 to
§ 429.43(a)(3)(v)(A) and DOE is not able
to obtain an individual model with the
least number (which could be zero) of
those components within an otherwise
comparable model group (as defined in
§ 429.43(a)(3)(v)(A)(1)), DOE may test
any individual model within the
otherwise comparable model group.
(3) Verification of cut-out and cut-in
temperatures.
(i) For assessment and enforcement
testing of models of commercial unitary
heat pumps subject to energy
conservation standards denominated in
terms of IVHE, the cut-out and cut-in
temperatures may be verified using the
method in paragraph (g)(3)(ii) of this
section. If this method is conducted, the
cut-in and cut-out temperatures
determined using this method will be
used to calculate IVHE for purposes of
compliance.
(ii) Test method for verification of cutout and cut-in temperatures.
(A) Capacity does not need to be
measured. Measure a parameter that
provides positive indication that the
heat pump is operating in heat pump
mode (e.g., power or discharge
pressure). Also monitor the temperature
of air entering the outdoor coil using
one or more air samplers or parallel
thermocouple grid(s) on each side of the
heat pump that has air inlets. Record
measurements at a time interval of one
minute or shorter.
(B) Ensure that the heat pump is
operating. Compensation load on the
indoor room may be reduced during the
test to avoid compressor temporary
boost mode or excessive room
temperature reduction. Set outdoor
chamber temperature to the lower of (1)
17.0 °F or (2) 3.0 °F warmer than the
certified cut-out temperature. Maintain
the outdoor chamber at this temperature
for 3 minutes to allow conditions to
stabilize.
(C) Reduce outdoor chamber
temperature in steps or continuously at
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5% (0.05)
5% (0.05)
10% (0.1)
10% (0.1)
5% (0.05)
5% (0.05)
an average rate of 1.0 °F every 5
minutes. When the heat pump stops
operating, continue recording data for 5
minutes. At this point, reverse the
temperature ramp and increase outdoor
chamber temperature 1.0 °F every 5
minutes. Continue the test until 5
minutes after the heat pump operation
restarts. Note the average outdoor coil
air inlet temperature when the heat
pump stops operation as the cut-out
temperature and the temperature 30
seconds after it restarts as the cut-in
temperature.
*
*
*
*
*
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. Amend § 431.92 by:
a. Revising the definition for ‘‘Basic
model’’ and ‘‘Coefficient of
performance, or COP’’;
■ b. Adding in alphabetical order
definitions for ‘‘Coefficient of
performance 2, or ‘‘COP2’’ and
‘‘Commercial unitary air conditioner
and commercial unitary heat pump’’;
■ c. Revising the definitions for
‘‘Double-duct air conditioner or heat
pump’’ and ‘‘Energy efficiency ratio, or
EER’’;
■ d. Adding in alphabetical order a
definition for ‘‘Energy efficiency ratio 2,
or EER2’’;
■ e. Revising the definition for
‘‘Integrated energy efficiency ratio, or
IEER’’; and
■ f. Adding in alphabetical order
definitions for ‘‘Integrated ventilation
and heating efficiency, or IVHE’’ and
‘‘Integrated ventilation, economizing,
and cooling, or IVEC’’.
The revisions and additions read as
follows:
■
■
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Federal Register / Vol. 88, No. 158 / Thursday, August 17, 2023 / Proposed Rules
§ 431.92 Definitions concerning
commercial air conditioners and heat
pumps.
ddrumheller on DSK120RN23PROD with PROPOSALS3
*
*
*
*
*
Basic model means:
(1) For air-cooled, three-phase,
commercial unitary air conditioners and
heat pumps with a cooling capacity of
less than 65,000 Btu/h and air-cooled,
three-phase, variable refrigerant flow
multi-split air conditioners and heat
pumps with a cooling capacity of less
than 65,000 Btu/h: All units
manufactured by one manufacturer,
having the same primary energy source,
and, which have essentially identical
electrical, physical, and functional (or
hydraulic) characteristics that affect
energy consumption, energy efficiency,
water consumption, or water efficiency;
where essentially identical electrical,
physical, and functional (or hydraulic)
characteristics means:
(i) For split systems manufactured by
outdoor unit manufacturers (OUMs): all
individual combinations having the
same model of outdoor unit, which
means comparably performing
compressor(s) [a variation of no more
than five percent in displacement rate
(volume per time) as rated by the
compressor manufacturer, and no more
than five percent in capacity and power
input for the same operating conditions
as rated by the compressor
manufacturer], outdoor coil(s) [no more
than five percent variation in face area
and total fin surface area; same fin
material; same tube material], and
outdoor fan(s) [no more than ten percent
variation in airflow and no more than
twenty percent variation in power
input];
(ii) For split systems having indoor
units manufactured by independent coil
manufacturers (ICMs): all individual
combinations having comparably
performing indoor coil(s) [plus or minus
one square foot face area, plus or minus
one fin per inch fin density, and the
same fin material, tube material, number
of tube rows, tube pattern, and tube
size]; and
(iii) For single-package systems: all
individual models having comparably
performing compressor(s) [no more than
five percent variation in displacement
rate (volume per time) rated by the
compressor manufacturer, and no more
than five percent variations in capacity
and power input rated by the
compressor manufacturer corresponding
to the same compressor rating
conditions], outdoor coil(s) and indoor
coil(s) [no more than five percent
variation in face area and total fin
surface area; same fin material; same
tube material], outdoor fan(s) [no more
than ten percent variation in outdoor
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airflow], and indoor blower(s) [no more
than ten percent variation in indoor
airflow, with no more than twenty
percent variation in fan motor power
input];
(iv) Except that,
(A) For single-package systems and
single-split systems, manufacturers may
instead choose to make each individual
model/combination its own basic model
provided the testing and represented
value requirements in 10 CFR 429.67 of
this chapter are met; and
(B) For multi-split, multi-circuit, and
multi-head mini-split combinations, a
basic model may not include both
individual small-duct, high velocity
(SDHV) combinations and non-SDHV
combinations even when they include
the same model of outdoor unit. The
manufacturer may choose to identify
specific individual combinations as
additional basic models.
(2) For commercial unitary air
conditioners and heat pumps (excluding
air-cooled, three-phase, commercial
unitary air conditioners and heat pumps
with a cooling capacity of less than
65,000 Btu/h): All units manufactured
by one manufacturer within a single
equipment class, having the same or
comparably performing compressor(s),
heat exchangers, and air moving
system(s) that have a common
‘‘nominal’’ cooling capacity.
(3) For computer room air
conditioners: All units manufactured by
one manufacturer within a single
equipment class, having the same
primary energy source (e.g., electric or
gas), and which have the same or
comparably performing compressor(s),
heat exchangers, and air moving
system(s) that have a common
‘‘nominal’’ cooling capacity.
(4) For direct expansion-dedicated
outdoor air system: All units
manufactured by one manufacturer,
having the same primary energy source
(e.g., electric or gas), within a single
equipment class; with the same or
comparably performing compressor(s),
heat exchangers, ventilation energy
recovery system(s) (if present), and air
moving system(s) that have a common
‘‘nominal’’ moisture removal capacity.
(5) For packaged terminal air
conditioner (PTAC) or packaged
terminal heat pump (PTHP): All units
manufactured by one manufacturer
within a single equipment class, having
the same primary energy source (e.g.,
electric or gas), and which have the
same or comparable compressors, same
or comparable heat exchangers, and
same or comparable air moving systems
that have a cooling capacity within 300
Btu/h of one another.
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56449
(6) For single package vertical units:
All units manufactured by one
manufacturer within a single equipment
class, having the same primary energy
source (e.g., electric or gas), and which
have the same or comparably
performing compressor(s), heat
exchangers, and air moving system(s)
that have a rated cooling capacity
within 1500 Btu/h of one another.
(7) For variable refrigerant flow
systems (excluding air-cooled, threephase, variable refrigerant flow air
conditioners and heat pumps with a
cooling capacity of less than 65,000 Btu/
h): All units manufactured by one
manufacturer within a single equipment
class, having the same primary energy
source (e.g., electric or gas), and which
have the same or comparably
performing compressor(s) that have a
common ‘‘nominal’’ cooling capacity
and the same heat rejection medium
(e.g., air or water) (includes VRF water
source heat pumps).
(8) For water-source heat pumps: All
units manufactured by one
manufacturer within a single equipment
class, having the same primary energy
source (e.g., electric or gas), and which
have the same or comparable
compressors, same or comparable heat
exchangers, and same or comparable
‘‘nominal’’ capacity.
*
*
*
*
*
Coefficient of performance, or COP
means the ratio of the produced cooling
effect of an air conditioner or heat pump
(or its produced heating effect,
depending on the mode of operation) to
its net work input, when both the
cooling (or heating) effect and the net
work input are expressed in identical
units of measurement. For air-cooled
commercial unitary air conditioners and
heat pumps (excluding equipment with
a cooling capacity less than 65,000 Btu/
h), COP is measured per appendix A to
this subpart.
Coefficient of performance 2, or COP2
means the ratio of the produced cooling
effect of an air conditioner or heat pump
(or its produced heating effect,
depending on the mode of operation) to
its net work input, when both the
cooling (or heating) effect and the net
work input are expressed in identical
units of measurement. COP2 must be
used with a subscript to indicate the
outdoor temperature in degrees
Fahrenheit at which the COP2 was
measured (e.g., COP217 for COP2
measured at 17 °F). For air-cooled
commercial unitary air conditioners and
heat pumps (excluding equipment with
a cooling capacity less than 65,000 Btu/
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h), COP2 is measured per appendix A1
to this subpart.
*
*
*
*
*
Commercial unitary air conditioner
and commercial unitary heat pump
means any small, large, or very large aircooled, water-cooled, or evaporativelycooled commercial package airconditioning and heating equipment
that consists of one or more factorymade assemblies that provide space
conditioning; and does not include:
(1) Single package vertical air
conditioners and heat pumps,
(2) Variable refrigerant flow multisplit air conditioners and heat pumps,
(3) Water-source heat pumps,
(4) Equipment marketed only for use
in computer rooms, data processing
rooms, or other information technology
cooling applications, and
(5) Equipment only capable of
providing ventilation and conditioning
of 100-percent outdoor air, or marketed
only for ventilation and conditioning of
100-percent outdoor air.
*
*
*
*
*
Double-duct air conditioner or heat
pump means an air-cooled commercial
unitary air conditioner or heat pump
that meets the following criteria—
(1) Is either a horizontal single
package or split-system unit; or a
vertical unit that consists of two
components that may be shipped or
installed either connected or split; or a
vertical single packaged unit that is not
intended for exterior mounting on,
adjacent interior to, or through an
outside wall;
(2) Is intended for indoor installation
with ducting of outdoor air from the
building exterior to and from the unit
(e.g., the unit and/or all of its
components are non-weatherized);
(3) If it is a horizontal unit, the
complete unit shall have a maximum
height of 35 inches or the unit shall
have components that do not exceed a
maximum height of 35 inches. If it is a
vertical unit, the complete (split,
connected, or assembled) unit shall
have components that do not exceed a
maximum depth of 35 inches; and
(4) Has a rated cooling capacity
greater than or equal to 65,000 Btu/h
and less than 300,000 Btu/h.
*
*
*
*
*
Energy efficiency ratio, or EER means
the ratio of the produced cooling effect
of an air conditioner or heat pump to its
net work input, expressed in Btu/watthour. For commercial unitary air
conditioners and heat pumps (excluding
air-cooled equipment with a cooling
capacity less than 65,000 Btu/h), EER is
measured per appendix A to this
subpart.
Energy efficiency ratio 2, or EER2
means the ratio of the produced cooling
effect of an air conditioner or heat pump
to its net work input, expressed in Btu/
watt-hour. For commercial unitary air
conditioners and heat pumps (excluding
air-cooled equipment with a cooling
capacity less than 65,000 Btu/h), EER2
is measured per appendix A1 to this
subpart.
*
*
*
*
*
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:
(1) Per appendix A to this subpart for
commercial unitary air conditioners and
heat pumps (excluding air-cooled
equipment with a cooling capacity less
than 65,000 Btu/h);
(2) 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); and
(3) Per appendix G1 to this subpart for
single package vertical air conditioners
and single package vertical heat pumps.
*
*
*
*
*
Integrated ventilation and heating
efficiency or IVHE, means a sum of the
space heating provided (Btu) divided by
the sum of the energy consumed (Wh),
including mechanical heating,
supplementary electric resistance
heating, and heating season ventilation
operating modes. IVHE with subscript C
(IVHEC) refers to the IVHE of heat
pumps using a cold-climate heating load
line. For air-cooled commercial unitary
air conditioners and heat pumps
(excluding equipment with a cooling
capacity less than 65,000 Btu/h), IVHE
and IVHEC are measured per appendix
A1 to this subpart.
Integrated ventilation, economizing,
and cooling or IVEC, means a sum of the
space cooling provided (Btu) divided by
the sum of the energy consumed (Wh),
including mechanical cooling,
economizing, and cooling season
ventilation operating modes. For
commercial unitary air conditioners and
heat pumps (excluding air-cooled
equipment with a cooling capacity less
than 65,000 Btu/h), IVEC is measured
per appendix A1 to this subpart.
*
*
*
*
*
■ 10. Amend § 431.95 by:
■ a. Revising paragraph (b)(4);
■ b. Redesignating paragraph (b)(10) as
paragraph (b)(11);
■ c. Adding new paragraph (b)(10); and
■ d. In paragraph (c)(2), removing the
words ‘‘appendices A’’ and adding in its
place, the words ‘‘appendices A, A1’’.
The revision and addition reads as
follows:
§ 431.95 Materials incorporated by
reference.
*
*
*
*
*
(b) * * *
(4) AHRI Standard 340/360–2022 (I–
P), (‘‘AHRI 340/360–2022’’), ‘‘2022
Standard for Performance Rating of
Commercial and Industrial Unitary Airconditioning and Heat Pump
Equipment,’’ published in January 2022;
IBR approved for appendix A to this
subpart.
*
*
*
*
*
(10) AHRI Standard 1340(I–P)–202X
Draft, (‘‘AHRI 1340–202X Draft’’), ‘‘202X
Performance Rating of Commercial and
Industrial Unitary Air-conditioning and
Heat Pump Equipment,’’ [publication
expected 2023]; IBR approved for
appendix A1 to this subpart.
*
*
*
*
*
■ 11. Amend § 431.96 by revising 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) * * *
*
*
TABLE 1 TO PARAGRAPH (b)—TEST PROCEDURES FOR COMMERCIAL AIR CONDITIONERS AND HEAT PUMPS
Equipment
Commercial Unitary Air
Conditioners and Heat
Pumps.
Commercial Unitary Air
Conditioners and Heat
Pumps.
VerDate Sep<11>2014
Use tests, conditions,
and
procedures 1 in
≥65,000 Btu/h and
<760,000 Btu/h.
EER, IEER, and COP ....
Appendix A 3 to this subpart.
None.
≥65,000 Btu/h and
<760,000 Btu/h.
EER2, COP2, IVEC, and
IVHE.
Appendix A1 3 to this
subpart.
None.
Cooling capacity
Air-Cooled AC and HP
(excluding double-duct
AC and HP).
Air-Cooled AC and HP
(excluding double-duct
AC and HP).
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Additional test procedure
provisions as indicated in
the listed paragraphs of
this section
Energy efficiency
descriptor
Category
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TABLE 1 TO PARAGRAPH (b)—TEST PROCEDURES FOR COMMERCIAL AIR CONDITIONERS AND HEAT PUMPS—Continued
Equipment
Commercial Unitary Air
Conditioners and Heat
Pumps.
Commercial Unitary Air
Conditioners and Heat
Pumps.
Commercial Unitary Air
Conditioners.
Commercial Unitary Air
Conditioners.
Water-Source Heat
Pumps.
Packaged Terminal Air
Conditioners and Heat
Pumps.
Computer Room Air Conditioners.
Computer Room Air Conditioners.
Variable Refrigerant Flow
Multi-split Systems.
Variable Refrigerant Flow
Multi-split Systems.
Variable Refrigerant Flow
Multi-split Systems, Aircooled.
Variable Refrigerant Flow
Multi-split Systems, Aircooled.
Variable Refrigerant Flow
Multi-split Systems,
Water-source.
Variable Refrigerant Flow
Multi-split Systems,
Water-source.
Single Package Vertical
Air Conditioners and
Single Package Vertical
Heat Pumps.
Single Package Vertical
Air Conditioners and
Single Package Vertical
Heat Pumps.
Direct Expansion-Dedicated Outdoor Air Systems.
Category
Cooling capacity
Energy efficiency
descriptor
Use tests, conditions,
and
procedures 1 in
Additional test procedure
provisions as indicated in
the listed paragraphs of
this section
Double-duct AC and HP
≥65,000 Btu/h and
<300,000 Btu/h.
EER, IEER, and COP ....
Appendix A 3 to this subpart.
None.
Double-duct AC and HP
≥65,000 Btu/h and
<300,000 Btu/h.
EER2, COP2, IVEC, and
IVHE.
Appendix A1 3 to this
subpart.
None.
Water-Cooled and Evaporatively-Cooled AC.
Water-Cooled and Evaporatively-Cooled AC.
HP ...................................
<760,000 Btu/h ...............
EER and IEER ...............
None.
<760,000 Btu/h ...............
EER2 and IVEC .............
<135,000 Btu/h ...............
EER and COP ................
AC and HP .....................
<760,000 Btu/h ...............
EER and COP ................
Appendix A 3 to this subpart.
Appendix A1 3 to this
subpart.
ISO Standard 13256–1
(1998).
Paragraph (g) of this section.
AC ...................................
<760,000 Btu/h ...............
SCOP .............................
E to this sub-
None.
AC ...................................
<760,000 Btu/h or
<930,000 Btu/h 4.
<65,000 Btu/h (3-phase)
NSenCOP .......................
Appendix
part 3.
Appendix
part 3.
Appendix
part 3.
Appendix
part 3.
Appendix
part 3.
E1 to this sub-
None.
F to this sub-
None.
F1 to this sub-
None.
F to this sub-
None.
AC ...................................
AC ...................................
HP ...................................
≥65,000 Btu/h and
<760,000 Btu/h.
<65,000 Btu/h (3-phase)
SEER ..............................
SEER2 ............................
EER and COP ................
None.
Paragraph (e).
Paragraphs (c), (e), and
(g).
HP ...................................
≥65,000 Btu/h and
<760,000 Btu/h.
IEER and COP ...............
Appendix F1 to this subpart 3.
None.
HP ...................................
<760,000 Btu/h ...............
EER and COP ................
Appendix D to this subpart 3.
None.
HP ...................................
<760,000 Btu/h ...............
IEER and COP ...............
Appendix D1 to this subpart 3.
None.
AC and HP .....................
<760,000 Btu/h ...............
EER and COP ................
Appendix G to this subpart 3.
None.
AC and HP .....................
<760,000 Btu/h ...............
EER, IEER, and COP ....
Appendix G1 to this subpart 3.
None.
All ....................................
<324 lbs. of moisture removal/hr.
ISMRE2 and ISCOP2 .....
Appendix B to this subpart.
None.
1 Incorporated
by reference; see § 431.95.
removal capacity applies only to direct expansion-dedicated outdoor air systems.
equipment with multiple appendices listed in this table, consult the notes at the beginning of those appendices to determine the applicable appendix to use for
2 Moisture
3 For
testing.
4 For upflow ducted and downflow floor-mounted computer room air conditioners, the test procedure in appendix E1 of this subpart applies to equipment with net
sensible cooling capacity less than 930,000 Btu/h. For all other configurations of computer room air conditioners, the test procedure in appendix E1 applies to equipment with net sensible cooling capacity less than 760,000 Btu/h.
*
*
*
*
*
12. Amend § 431.97 by:
■ a. Revising paragraphs (a) and (b);
■ b. Redesignating paragraphs (c)
through (h) as paragraphs (d) through
(i);
■ c. Adding new paragraph (c);
■ d. In newly redesignated paragraph
(d), removing the words ‘‘tables 7 to this
paragraph (c)’’ and adding in their place
‘‘table 6 to this paragraph’’, removing
the words ‘‘Table 7 of this section’’ and
adding in their place ‘‘table 6 to this
paragraph’’, removing the words ‘‘table
8 to this paragraph (c)’’ and adding in
their place ‘‘table 7 to this paragraph’’,
redesignating Table 7 to § 431.97(c) as
Table 6 to § 431.97(d), and redesignating
ddrumheller on DSK120RN23PROD with PROPOSALS3
■
VerDate Sep<11>2014
22:41 Aug 16, 2023
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Table 8 to § 431.97(c) as Table 7 to
§ 431.97(d);
■ e. In newly redesignated paragraph
(e), redesignating Table 9 to
§ 431.97(d)(1) as Table 8 to
§ 431.97(e)(1), redesignating Table 10 to
§ 431.97(d)(2) as Table 9 to
§ 431.97(e)(2), and redesignating Table
11 to § 431.97(d)(3) as Table 10 to
§ 431.97(e)(3);
■ f. In newly redesignated paragraph (f),
removing the words ‘‘table 12 to this
paragraph (e)(1)’’ and adding in their
place ‘‘table 11 to this paragraph’’,
redesignating Table 12 to § 431.97(e)(1)
as Table 11 to § 431.97(f)(1), removing
the words ‘‘tables 13 and 14 to this
paragraph (e)(2)’’ and adding in their
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place ‘‘tables 12 and 13 to this
paragraph’’, redesignating Table 13 to
§ 431.97(e)(2) as Table 12 to
§ 431.97(f)(2), and redesignating Table
14 to § 431.97(e)(2) as Table 13 to
§ 431.97(f)(2);
■ g. In newly redesignated paragraph
(g), removing the words ‘‘table 15 to this
paragraph (f)(1)’’ and adding in their
place ‘‘table 14 to this paragraph’’,
redesignating Table 15 to § 431.97(f)(1)
as Table 14 to § 431.97(g)(1), removing
the words ‘‘table 16 to this paragraph
(f)(2.)’’ and adding in their place ‘‘table
15 to this paragraph.’’, and
redesignating Table 16 to § 431.97(f)(2)
as Table 15 to § 431.97(g)(2);
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h. In newly redesignated paragraph
(h), removing the words ‘‘table 17 to this
paragraph (g)’’ and adding in their place
‘‘table 16 to this paragraph’’, and
redesignating Table 17 to § 431.97(g) as
Table 16 to § 431.97(h); and
■ i. Revising newly redesignated
paragraph (i).
The revisions and addition read as
follows:
■
§ 431.97 Energy efficiency standards and
their compliance dates.
(a) All basic models of commercial
package air-conditioning and heating
equipment must be tested for
performance using the applicable DOE
test procedure in § 431.96, be compliant
with the applicable standards set forth
in paragraphs (b) through (i) of this
section, and be certified to the
Department under 10 CFR part 429.
(b) Each commercial unitary air
conditioner or heat pump (excluding
air-cooled equipment with cooling
capacity less than 65,000 Btu/h)
manufactured starting on the
compliance date listed in the
corresponding table must meet the
applicable minimum energy efficiency
standard level(s) set forth in Tables 1
through 4 of this section.
TABLE 1 TO § 431.97(b)—MINIMUM EFFICIENCY STANDARDS FOR AIR-COOLED COMMERCIAL UNITARY AIR CONDITIONERS
AND HEAT PUMPS WITH A COOLING CAPACITY GREATER THAN OR EQUAL TO 65,000 Btu/h (EXCLUDING DOUBLEDUCT AIR-CONDITIONERS AND HEAT PUMPS)
Cooling capacity
Subcategory
Compliance date:
equipment
manufactured
starting on . . .
Minimum
efficiency 1
Supplementary heating type
Air-Cooled Commercial Unitary Air Conditioners and Heat Pumps with a Cooling Capacity Greater Than or Equal to 65,000 Btu/h (Excluding Double-Duct
Air-Conditioners and Heat Pumps)
≥65,000 Btu/h and <135,000 Btu/h ...........................
≥65,000 Btu/h and <135,000 Btu/h ...........................
≥65,000 Btu/h and <135,000 Btu/h ...........................
AC .................
AC .................
HP .................
Electric Resistance Heating or No Heating ..............
All Other Types of Heating .......................................
Electric Resistance Heating or No Heating ..............
≥65,000 Btu/h and <135,000 Btu/h ...........................
HP .................
All Other Types of Heating .......................................
≥135,000 Btu/h and <240,000 Btu/h .........................
≥135,000 Btu/h and <240,000 Btu/h .........................
≥135,000 Btu/h and <240,000 Btu/h .........................
AC .................
AC .................
HP .................
Electric Resistance Heating or No Heating ..............
All Other Types of Heating .......................................
Electric Resistance Heating or No Heating ..............
≥135,000 Btu/h and <240,000 Btu/h .........................
HP .................
All Other Types of Heating .......................................
≥240,000 Btu/h and <760,000 Btu/h .........................
≥240,000 Btu/h and <760,000 Btu/h .........................
≥240,000 Btu/h and <760,000 Btu/h .........................
AC .................
AC .................
HP .................
Electric Resistance Heating or No Heating ..............
All Other Types of Heating .......................................
Electric Resistance Heating or No Heating ..............
≥240,000 Btu/h and <760,000 Btu/h .........................
HP .................
All Other Types of Heating .......................................
IEER = 14.8
IEER = 14.6
IEER = 14.1
COP = 3.4.
IEER = 13.9
COP = 3.4.
IEER = 14.2
IEER = 14.0
IEER = 13.5
COP = 3.3.
IEER = 13.3
COP = 3.3.
IEER = 13.2
IEER = 13.0
IEER = 12.5
COP = 3.2.
IEER = 12.3
COP = 3.2.
.........
.........
.........
January 1, 2023.
January 1, 2023.
January 1, 2023.
.........
January 1, 2023.
.........
.........
.........
January 1, 2023.
January 1, 2023.
January 1, 2023.
.........
January 1, 2023.
.........
.........
.........
January 1, 2023.
January 1, 2023.
January 1, 2023.
.........
January 1, 2023.
January 1, 2018.
1 Per section 3 of Appendix A to this Subpart, COP standards for commercial unitary heat pumps are based on performance at the ‘‘Standard Rating Conditions
(High Temperature Steady-State Heating)’’ condition specified in Table 6 of AHRI 340/360–2022.
TABLE 2 TO § 431.97(b)—MINIMUM COOLING EFFICIENCY STANDARDS FOR WATER-COOLED COMMERCIAL UNITARY AIR
CONDITIONERS
Cooling capacity
Supplementary heating type
Minimum efficiency
Compliance date:
equipment
manufactured
starting on . . .
Water-Cooled Commercial Unitary Air Conditioners
<65,000 Btu/h ........................................................
≥65,000 Btu/h and <135,000 Btu/h .......................
≥65,000 Btu/h and <135,000 Btu/h .......................
≥135,000 Btu/h and <240,000 Btu/h .....................
≥135,000 Btu/h and <240,000 Btu/h .....................
≥240,000 Btu/h and <760,000 Btu/h .....................
≥240,000 Btu/h and <760,000 Btu/h .....................
All .........................................................................
No Heating or Electric Resistance Heating .........
All Other Types of Heating ..................................
No Heating or Electric Resistance Heating .........
All Other Types of Heating ..................................
No Heating or Electric Resistance Heating .........
All Other Types of Heating ..................................
EER
EER
EER
EER
EER
EER
EER
=
=
=
=
=
=
=
12.1
12.1
11.9
12.5
12.3
12.4
12.2
...........
...........
...........
...........
...........
...........
...........
October 29, 2003.
June 1, 2013.
June 1, 2013.
June 1, 2014.
June 1, 2014.
June 1, 2014.
June 1, 2014.
ddrumheller on DSK120RN23PROD with PROPOSALS3
TABLE 3 TO § 431.97(b)—MINIMUM COOLING EFFICIENCY STANDARDS FOR EVAPORATIVELY-COOLED COMMERCIAL
UNITARY AIR CONDITIONERS
Cooling capacity
Supplementary heating type
Minimum efficiency
Compliance date:
equipment
manufactured
starting on . . .
Evaporatively-Cooled Commercial Unitary Air Conditioners
<65,000 Btu/h ........................................................
≥65,000 Btu/h and <135,000 Btu/h .......................
≥65,000 Btu/h and <135,000 Btu/h .......................
≥135,000 Btu/h and <240,000 Btu/h .....................
VerDate Sep<11>2014
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All .........................................................................
No Heating or Electric Resistance Heating .........
All Other Types of Heating ..................................
No Heating or Electric Resistance Heating .........
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EER
EER
EER
EER
E:\FR\FM\17AUP3.SGM
=
=
=
=
12.1
12.1
11.9
12.0
17AUP3
...........
...........
...........
...........
October 29, 2003.
June 1, 2013.
June 1, 2013.
June 1, 2014.
56453
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TABLE 3 TO § 431.97(b)—MINIMUM COOLING EFFICIENCY STANDARDS FOR EVAPORATIVELY-COOLED COMMERCIAL
UNITARY AIR CONDITIONERS—Continued
Cooling capacity
Supplementary heating type
Minimum efficiency
≥135,000 Btu/h and <240,000 Btu/h .....................
≥240,000 Btu/h and <760,000 Btu/h .....................
≥240,000 Btu/h and <760,000 Btu/h .....................
All Other Types of Heating ..................................
No Heating or Electric Resistance Heating .........
All Other Types of Heating ..................................
EER = 11.8 ...........
EER = 11.9 ...........
EER = 11.7 ...........
Compliance date:
equipment
manufactured
starting on . . .
June 1, 2014.
June 1, 2014.
June 1, 2014.
TABLE 4 TO § 431.97(b)—MINIMUM EFFICIENCY STANDARDS FOR DOUBLE-DUCT AIR-CONDITIONERS AND HEAT PUMPS
Minimum
efficiency 1
Cooling capacity
Subcategory
Supplementary heating type
≥65,000 Btu/h and <135,000 Btu/h ...........................
≥65,000 Btu/h and <135,000 Btu/h ...........................
≥65,000 Btu/h and <135,000 Btu/h ...........................
AC .................
AC .................
HP .................
Electric Resistance Heating or No Heating ..............
All Other Types of Heating .......................................
Electric Resistance Heating or No Heating ..............
≥65,000 Btu/h and <135,000 Btu/h ...........................
HP .................
All Other Types of Heating .......................................
≥135,000 Btu/h and <240,000 Btu/h .........................
≥135,000 Btu/h and <240,000 Btu/h .........................
≥135,000 Btu/h and <240,000 Btu/h .........................
AC .................
AC .................
HP .................
Electric Resistance Heating or No Heating ..............
All Other Types of Heating .......................................
Electric Resistance Heating or No Heating ..............
≥135,000 Btu/h and <240,000 Btu/h .........................
HP .................
All Other Types of Heating .......................................
≥240,000 Btu/h and <300,000 Btu/h .........................
≥240,000 Btu/h and <300,000 Btu/h .........................
≥240,000 Btu/h and <300,000 Btu/h .........................
AC .................
AC .................
HP .................
Electric Resistance Heating or No Heating ..............
All Other Types of Heating .......................................
Electric Resistance Heating or No Heating ..............
≥240,000 Btu/h and <300,000 Btu/h .........................
HP .................
All Other Types of Heating .......................................
Compliance date:
equipment
manufactured
starting on . . .
Double-Duct Air-Conditioners and Heat Pumps
EER = 11.2 ..........
EER = 11.0 ..........
EER = 11.0 ..........
COP = 3.3.
EER = 10.8 ..........
COP = 3.3.
EER = 11.0 ..........
EER = 10.8 ..........
EER = 10.6 ..........
COP = 3.2.
EER = 10.4 ..........
COP = 3.2.
EER = 10.0 ..........
EER = 9.8 ............
EER = 9.5 ............
COP = 3.2.
EER = 9.3 ............
COP = 3.2.
January 1, 2010.
January 1, 2010.
January 1, 2010.
January 1, 2010.
January 1, 2010.
January 1, 2010.
January 1, 2010.
January 1, 2010.
January 1, 2010.
January 1, 2010.
January 1, 2010.
January 1, 2010.
1 Per section 3 of Appendix A to this Subpart, COP standards for commercial unitary heat pumps are based on performance at the ‘‘Standard Rating Conditions
(High Temperature Steady-State Heating)’’ condition specified in Table 6 of AHRI 340/360–2022.
(c) Each water-source heat pump
manufactured starting on the
compliance date listed in the
corresponding table must meet the
applicable minimum energy efficiency
standard level(s) set forth in Table 5 of
this section.
TABLE 5 TO § 431.97(c)—MINIMUM EFFICIENCY STANDARDS FOR WATER-SOURCE HEAT PUMPS (WATER-TO-AIR, WATERLOOP)
Cooling capacity
Compliance date: equipment
manufactured starting on . . .
Minimum efficiency
Water-Source Heat Pumps (Water-to-Air, Water-Loop)
<17,000 Btu/h ..............................................................
≥17,000 Btu/h and <65,000 Btu/h ...............................
≥65,000 Btu/h and <135,000 Btu/h .............................
ddrumheller on DSK120RN23PROD with PROPOSALS3
*
*
*
*
*
(i) Each air-cooled, three-phase,
commercial unitary air conditioner and
heat pump with a cooling capacity of
less than 65,000 Btu/h and air-cooled,
VerDate Sep<11>2014
22:41 Aug 16, 2023
Jkt 259001
EER = 12.2 ................................................................
COP = 4.3.
EER = 13.0 ................................................................
COP = 4.3.
EER = 13.0 ................................................................
COP = 4.3.
three-phase variable refrigerant flow
multi-split air conditioning and heating
equipment with a cooling capacity of
less than 65,000 Btu/h manufactured on
or after the compliance date listed in the
PO 00000
Frm 00063
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Sfmt 4702
October 9, 2015.
October 9, 2015.
October 9, 2015.
corresponding table must meet the
applicable minimum energy efficiency
standard level(s) set forth in Tables 17
and 18 of this section.
E:\FR\FM\17AUP3.SGM
17AUP3
56454
Federal Register / Vol. 88, No. 158 / Thursday, August 17, 2023 / Proposed Rules
TABLE 17 TO § 431.97(i)—MINIMUM EFFICIENCY STANDARDS FOR AIR-COOLED, THREE-PHASE, COMMERCIAL UNITARY AIR
CONDITIONERS AND HEAT PUMPS WITH A COOLING CAPACITY OF LESS THAN 65,000 BTU/H AND AIR-COOLED,
THREE-PHASE, SMALL VARIABLE REFRIGERANT FLOW MULTI-SPLIT AIR CONDITIONING AND HEATING EQUIPMENT
WITH A COOLING CAPACITY OF LESS THAN 65,000 BTU/H
Equipment type
Cooling capacity
Subcategory
Minimum efficiency
Commercial Unitary Air Conditioners .............................................
Commercial Unitary Air Conditioners .............................................
Commercial Unitary Heat Pumps ...................................................
<65,000 Btu/h ..................
<65,000 Btu/h ..................
<65,000 Btu/h ..................
Split-System .....................
Single-Package ................
Split-System .....................
Commercial Unitary Heat Pumps ...................................................
<65,000 Btu/h ..................
Single-Package ................
VRF Air Conditioners ......................................................................
VRF Heat Pumps ............................................................................
<65,000 Btu/h ..................
<65,000 Btu/h ..................
..........................................
..........................................
13.0 SEER
14.0 SEER
14.0 SEER
8.2 HSPF.
14.0 SEER
8.0 HSPF.
13.0 SEER
13.0 SEER
7.7 HSPF.
Compliance date:
equipment
manufactured
starting on . . .
...........
...........
...........
June 16, 2008.1
January 1, 2017.1
January 1, 2017.1
...........
January 1, 2017.1
...........
...........
June 16, 2008.1
June 16, 2008.1
1 And manufactured before January 1, 2025. For equipment manufactured on or after January 1, 2025, see Table 19 to paragraph (h) of this section for updated efficiency standards.
TABLE 18 TO § 431.97(i)—UPDATED MINIMUM EFFICIENCY STANDARDS FOR AIR-COOLED, THREE-PHASE, COMMERCIAL
UNITARY AIR CONDITIONERS AND HEAT PUMPS WITH A COOLING CAPACITY OF LESS THAN 65,000 BTU/H AND AIRCOOLED, THREE-PHASE, SMALL VARIABLE REFRIGERANT FLOW MULTI-SPLIT AIR CONDITIONING AND HEATING EQUIPMENT WITH A COOLING CAPACITY OF LESS THAN 65,000 BTU/H
Equipment type
Cooling capacity
Subcategory
Commercial Unitary Air Conditioners .............................................
Commercial Unitary Air Conditioners .............................................
Commercial Unitary Heat Pumps ...................................................
<65,000 Btu/h ..................
<65,000 Btu/h ..................
<65,000 Btu/h ..................
Split-System .....................
Single-Package ................
Split-System .....................
Commercial Unitary Heat Pumps ...................................................
<65,000 Btu/h ..................
Single-Package ................
Space-Constrained Commercial Unitary Air Conditioners .............
Space-Constrained Commercial Unitary Air Conditioners .............
Space-Constrained Commercial Unitary Heat Pumps ...................
≤30,000 Btu/h ..................
≤30,000 Btu/h ..................
≤30,000 Btu/h ..................
Split-System .....................
Single-Package ................
Split-System .....................
Space-Constrained Commercial Unitary Heat Pumps ...................
≤30,000 Btu/h ..................
Single-Package ................
Small-Duct, High-Velocity Commercial Unitary Air Conditioners ...
Small-Duct, High-Velocity Commercial Unitary Heat Pumps .........
<65,000 Btu/h ..................
<65,000 Btu/h ..................
Split-System .....................
Split-System .....................
VRF Air Conditioners ......................................................................
VRF Heat Pumps ............................................................................
<65,000 Btu/h ..................
<65,000 Btu/h ..................
..........................................
..........................................
13. Appendix A to subpart F of part
431 is revised to read as follows:
■
ddrumheller on DSK120RN23PROD with PROPOSALS3
Appendix A to Subpart F of Part 431—
Uniform Test Method for the
Measurement of Energy Consumption of
Commercial Unitary Air Conditioners
and Heat Pumps (Excluding Air-Cooled
Equipment With a Cooling Capacity
Less Than 65,000 Btu/h)
Note: Prior to [Date 360 days after date of
publication of the final rule in the Federal
Register], representations with respect to the
energy use or efficiency of commercial
unitary air conditioners and heat pumps
(excluding air-cooled equipment with a
cooling capacity less than 65,000 Btu/h),
including compliance certifications, must be
based on testing conducted in accordance
with:
(a) The applicable provisions (Appendix A
for air-cooled equipment, and Table 1 to
§ 431.96 for water-cooled and evaporativelycooled equipment) as they appeared in
subpart F of this part, in the 10 CFR parts 200
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22:41 Aug 16, 2023
Jkt 259001
through 499 edition revised as of January 1,
2023; or
(b) This appendix.
Beginning [Date 360 days after date of
publication of the final rule in the Federal
Register], and prior to the compliance date of
amended standards for commercial unitary
air conditioners and heat pumps (excluding
air-cooled equipment with a cooling capacity
less than 65,000 Btu/h) based on integrated
ventilation, economizing, and cooling
(‘‘IVEC’’) and integrated ventilation and
heating efficiency (IVHE), representations
with respect to energy use or efficiency of
commercial unitary air conditioners and heat
pumps (excluding air-cooled equipment with
a cooling capacity less than 65,000 Btu/h),
including compliance certifications, must be
based on testing conducted in accordance
with this appendix.
Beginning on the compliance date of
amended standards for commercial unitary
air conditioners and heat pumps (excluding
equipment with a cooling capacity less than
65,000 Btu/h) based on IVEC and IVHE,
representations with respect to energy use or
PO 00000
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Minimum efficiency
13.4 SEER2
13.4 SEER2
14.3 SEER2
7.5 HSPF2.
13.4 SEER2
6.7 HSPF2.
12.7 SEER2
13.9 SEER2
13.9 SEER2
7.0 HSPF2.
13.9 SEER2
6.7 HSPF2.
13.0 SEER2
14.0 SEER2
6.9 HSPF2.
13.4 SEER2
13.4 SEER2
7.5 HSPF2.
Compliance date:
equipment
manufactured
starting on . . .
.........
.........
.........
January 1, 2025.
January 1, 2025.
January 1, 2025.
.........
January 1, 2025.
.........
.........
.........
January 1, 2025.
January 1, 2025.
January 1, 2025.
.........
January 1, 2025.
.........
.........
January 1, 2025.
January 1, 2025.
.........
.........
January 1, 2025.
January 1, 2025.
efficiency of commercial unitary air
conditioners and heat pumps (excluding aircooled equipment with a cooling capacity
less than 65,000 Btu/h), including
compliance certifications, must be based on
testing conducted in accordance with
appendix A1 to this subpart.
Manufacturers may also certify compliance
with any amended energy conservation
standards for commercial unitary air
conditioners and heat pumps (excluding aircooled equipment with a cooling capacity
less than 65,000 Btu/h) based on IVEC or
IVHE prior to the applicable compliance date
for those standards, and those compliance
certifications must be based on testing in
accordance with appendix A1 to this subpart.
1. Incorporation by Reference
DOE incorporated by reference in § 431.95,
the entire standard for AHRI 340/360–2022
and ANSI/ASHRAE 37–2009. However,
certain enumerated provisions of AHRI 340/
360–2022 and ANSI/ASHRAE 37–2009, as
set forth in paragraphs 1.1 and 1.2 of this
section are inapplicable. To the extent there
is a conflict between the terms or provisions
E:\FR\FM\17AUP3.SGM
17AUP3
Federal Register / Vol. 88, No. 158 / Thursday, August 17, 2023 / Proposed Rules
of a referenced industry standard and the
CFR, the CFR provisions control.
1.1. AHRI 340/360–2022:
(a) Section 1 Purpose is inapplicable,
(b) Section 2 Scope is inapplicable,
(c) The following subsections of Section 3
Definitions are inapplicable: 3.2 (Basic
Model), 3.4 (Commercial and Industrial
Unitary Air-conditioning Equipment), 3.5
(Commercial and Industrial Unitary Heat
Pump), 3.7 (Double-duct System), 3.8 (Energy
Efficiency Ratio (EER)), 3.12 (Heating
Coefficient of Performance (COPH)), 3.14
(Integrated Energy Efficiency Ratio (IEER)),
3.23 (Published Rating), 3.26 (Single Package
Air-Conditioners), 3.27 (Single Package Heat
Pumps), 3.29 (Split System Air-conditioners),
3.30 (Split System Heat Pump), 3.36 (Year
Round Single Package Air-conditioners),
(d) Section 7 Minimum Data Requirements
for Published Ratings is inapplicable,
(e) Section 8 Operating Requirements is
inapplicable,
(f) Section 9 Marking and Nameplate Data
is inapplicable,
(g) Section 10 Conformance Conditions is
inapplicable,
(h) Appendix B References—Informative is
inapplicable,
(i) Sections D1 (Purpose), D2
(Configuration Requirements), and D3
(Optional System Features) of Appendix D
Unit Configuration For Standard Efficiency
Determination—Normative are inapplicable,
(j) Appendix F International Rating
Conditions—Normative is inapplicable,
(k) Appendix G Examples of IEER
Calculations—Informative is inapplicable,
(l) Appendix H Example of Determination
of Fan and Motor Efficiency for Non-standard
Integrated Indoor Fan and Motors—
Informative is inapplicable, and
(m) Appendix I Double-duct System
Efficiency Metrics with Non-Zero Outdoor
Air External Static Pressure (ESP)—
Normative is inapplicable.
1.2. ANSI/ASHRAE 37–2009:
(a) Section 1 Purpose is inapplicable
(b) Section 2 Scope is inapplicable, and
(c) Section 4 Classification is inapplicable.
2. General
Determine the applicable energy efficiency
metrics (IEER, EER, and COP) in accordance
with the specified sections of AHRI 340/360–
2022 and the specified sections of ANSI/
ASHRAE 37–2009.
Sections 3 and 4 of this Appendix provide
additional instructions for testing. In cases
where there is a conflict, the language of this
appendix takes highest precedence, followed
by AHRI 340/360–2022, followed by ANSI/
ASHRAE 37–2009. Any subsequent
amendment to a referenced document by the
standard-setting organization will not affect
the test procedure in this appendix, unless
and until the test procedure is amended by
DOE. Material is incorporated as it exists on
the date of the approval, and a notice of any
change in the incorporation will be
published in the Federal Register.
56455
3. Test Conditions
The following conditions specified in
Table 6 of AHRI 340/360–2022 apply when
testing to certify to the energy conservation
standards in § 431.97. For cooling mode tests
for equipment subject to standards in terms
of EER, test using the ‘‘Standard Rating
Conditions Cooling’’. For cooling mode tests
for equipment subject to standards in terms
of IEER, test using the ‘‘Standard Rating
Conditions Cooling’’ and the ‘‘Standard
Rating Part-Load Conditions (IEER)’’. For
heat pump heating mode tests, test using the
‘‘Standard Rating Conditions (High
Temperature Steady State Heating)’’.
For equipment subject to standards in
terms of EER, representations of IEER made
using the ‘‘Standard Rating Part-Load
Conditions (IEER)’’ in Table 6 of AHRI 340/
360–2022 are optional. For equipment
subject to standards in terms of IEER,
representations of EER made using the
‘‘Standard Rating Conditions Cooling’’ in
Table 6 of AHRI 340/360–2022 are optional.
Representations of COP made using the
‘‘Standard Rating Conditions (Low
Temperature Steady State Heating)’’ in Table
6 of AHRI 340/360–2022 are optional.
4. Set-Up and Test Provisions for Specific
Components
When testing equipment that includes any
of the features listed in Table 1, test in
accordance with the set-up and test
provisions specified in Table 1.
TABLE 1—TEST PROVISIONS FOR SPECIFIC COMPONENTS
Component
Description
Test provisions
Air Economizers ...................
An automatic system that enables a cooling system to
supply outdoor air to reduce or eliminate the need for
mechanical cooling during mid or cold weather.
Barometric Relief Dampers ..
An assembly with dampers and means to automatically
set the damper position in a closed position and one
or more open positions to allow venting directly to the
outside a portion of the building air that is returning
to the unit, rather than allowing it to recirculate to the
indoor coil and back to the building.
An assembly that reduces the moisture content of the
supply air through moisture transfer with solid or liquid desiccants.
Water is evaporated into the air entering the air-cooled
condenser to lower the dry-bulb temperature and
thereby increase efficiency of the refrigeration cycle.
A damper assembly including means to open and close
the damper mounted at the supply or return duct
opening of the equipment.
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 barometric relief dampers that are factory-installed, close and seal the dampers for testing. For
any modular barometric relief dampers shipped with
the unit but not factory-installed, do not install the
dampers for testing.
Desiccant Dehumidification
Components.
ddrumheller on DSK120RN23PROD with PROPOSALS3
Evaporative Pre-cooling of
Air-cooled Condenser Intake Air.
Fire/Smoke/Isolation
Dampers.
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.
Indoor air filters with greater air filtration effectiveness
than the filters used for testing.
High-Effectiveness Indoor
Air Filtration.
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Sfmt 4702
Disable desiccant dehumidification components for testing.
Disconnect the unit from a water supply for testing i.e.,
operate without active evaporative cooling.
For any fire/smoke/isolation dampers that are factoryinstalled, set the dampers in the fully open position
for testing. For any modular fire/smoke/isolation
dampers shipped with the unit but not factory-installed, do not install the dampers 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.
Test with the standard filter.
E:\FR\FM\17AUP3.SGM
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56456
Federal Register / Vol. 88, No. 158 / Thursday, August 17, 2023 / Proposed Rules
TABLE 1—TEST PROVISIONS FOR SPECIFIC COMPONENTS—Continued
Component
Description
Power Correction Capacitors
A capacitor that increases the power factor measured
at the line connection to the equipment.
A heat exchanger located inside the unit that conditions
the equipment’s supply air using energy transferred
from an external source using a vapor, gas, or liquid.
A heat exchanger located downstream of the indoor
coil that heats the supply air during cooling operation
using high pressure refrigerant in order to increase
the ratio of moisture removal to cooling capacity provided by the equipment.
Coils used to provide supplemental heating ...................
Process Heat recovery/Reclaim Coils/Thermal Storage.
Refrigerant Reheat Coils .....
Steam/Hydronic Heat Coils ..
UV Lights .............................
Ventilation Energy Recovery
System (VERS).
A lighting fixture and lamp mounted so that it shines
light on the indoor coil, that emits ultraviolet light to
inhibit growth of organisms on the indoor coil surfaces, the condensate drip pan, and/other locations
within the equipment.
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.
14. Add appendix A1 to subpart F of
part 431 to read as follows:
■
ddrumheller on DSK120RN23PROD with PROPOSALS3
Appendix A1 to Subpart F of Part 431—
Uniform Test Method for the
Measurement of Energy Consumption of
Commercial Unitary Air Conditioners
and Heat Pumps (Excluding Air-Cooled
Equipment With a Cooling Capacity
Less Than 65,000 Btu/h)
Note: Prior to [Date 360 days after date of
publication of the final rule in the Federal
Register] representations with respect to the
energy use or efficiency of commercial
unitary air conditioners and heat pumps
(excluding air-cooled equipment with a
cooling capacity less than 65,000 Btu/h),
including compliance certifications, must be
based on testing conducted in accordance
with:
(a) The applicable provisions (Appendix A
for air-cooled equipment, and Table 1 to
§ 431.96 for water-cooled and evaporativelycooled equipment) as it appeared in subpart
F of this part, in the 10 CFR parts 200
through 499 edition revised as of January 1,
2023; or
(b) Appendix A to this subpart.
Beginning [Date 360 days after date of
publication of the final rule in the Federal
Register], and prior to the compliance date of
amended standards for commercial unitary
air conditioners and heat pumps (excluding
air-cooled equipment with a cooling capacity
less than 65,000 Btu/h) based on integrated
ventilation, economizing, and cooling (IVEC))
and integrated ventilation and heating
efficiency (IVHE), representations with
respect to energy use or efficiency of
commercial unitary air conditioners and heat
pumps (excluding air-cooled equipment with
a cooling capacity less than 65,000 Btu/h),
including compliance certifications, must be
VerDate Sep<11>2014
22:41 Aug 16, 2023
Test provisions
Jkt 259001
Remove power correction capacitors for testing.
Disconnect the heat exchanger from its heat source for
testing.
De-activate refrigerant reheat coils for testing so as to
provide the minimum (none if possible) reheat
achievable by the system controls.
Test with steam/hydronic heat coils in place but providing no heat.
Turn off UV lights 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.
based on testing conducted in accordance
with appendix A to this subpart.
Beginning on the compliance date of
amended standards for commercial unitary
air conditioners and heat pumps (excluding
air-cooled equipment with a cooling capacity
less than 65,000 Btu/h) based on IVEC and
IVHE, representations with respect to energy
use or efficiency of commercial unitary air
conditioners and heat pumps (excluding aircooled equipment with a cooling capacity
less than 65,000 Btu/h), including
compliance certifications, must be based on
testing conducted in accordance with this
appendix.
Manufacturers may also certify compliance
with any amended energy conservation
standards for commercial unitary air
conditioners and heat pumps (excluding aircooled equipment with a cooling capacity
less than 65,000 Btu/h) based on IVEC or
IVHE prior to the applicable compliance date
for those standards, and those compliance
certifications must be based on testing in
accordance with this appendix.
1. Incorporation by Reference
DOE incorporated by reference in § 431.95,
the entire standard for AHRI 1340–202X
Draft and ANSI/ASHRAE 37–2009. However,
certain enumerated provisions of AHRI
1340–202X Draft and ANSI/ASHRAE 37–
2009, as listed in this section 1 are
inapplicable. 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. AHRI 1340–202X Draft:
(a) Section 1 Purpose is inapplicable,
(b) Section 2 Scope is inapplicable,
(c) The following subsections of section 3
Definitions: 3.3 (Basic Model), 3.5
(Commercial and Industrial Unitary Airconditioning Equipment), 3.6 (Commercial
and Industrial Unitary Heat Pump), 3.12
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Fmt 4701
Sfmt 4702
(Double-duct System), 3.14.3 (Standard
Energy Efficiency Ratio), 3.18 (Heating
Coefficient of Performance 2), 3.21
(Integrated Ventilation, Economizing, and
Cooling Efficiency), 3.22 (Integrated
Ventilation and Heating Efficiency), 3.29
(Published Rating), 3.32 (Single Package AirConditioners), 3.33 (Single Package Heat
Pumps), 3.34 (Split System Air-conditioners),
3.35 (Split System Heat Pump), 3.41 (Year
Round Single Package Air-conditioners) are
inapplicable,
(d) The following subsections of section 6
Rating Requirements are inapplicable: 6.4
(Rating Values), 6.5 (Uncertainty), and 6.6
(Verification Testing),
(e) Section 7 Minimum Data Requirements
for Published Ratings is inapplicable
(f) Section 8 Operating Requirements is
inapplicable,
(g) Section 9 Marking and Nameplate Data
is inapplicable,
(h) Section 10 Conformance Conditions is
inapplicable,
(i) Appendix B References—Informative is
inapplicable, and
(j) Sections D1 (Purpose), D2
(Configuration Requirements), and D3
(Optional System Features) of Appendix D
Unit Configuration For Standard Efficiency
Determination—Normative are inapplicable.
1.2. ANSI/ASHRAE 37–2009:
(a) Section 1 Purpose is inapplicable
(b) Section 2 Scope is inapplicable, and
(c) Section 4 Classification is inapplicable.
2. General
For air conditioners and heat pumps,
determine IVEC and IVHE (as applicable).
Representations of energy efficiency ratio 2
(EER2) and IVHEC may optionally be made.
Representations of coefficient of performance
2 (COP2) at 5 °F, 17 °F, and 47 °F may
optionally be made.
E:\FR\FM\17AUP3.SGM
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Federal Register / Vol. 88, No. 158 / Thursday, August 17, 2023 / Proposed Rules
Sections 3 and 4 of this appendix provide
additional instructions for testing. In cases
where there is a conflict, the language of this
appendix takes highest precedence, followed
by AHRI 1340–202X Draft, followed by
ANSI/ASHRAE 37–2009. Any subsequent
amendment to a referenced document by the
standard-setting organization will not affect
the test procedure in this appendix, unless
and until the test procedure is amended by
DOE. Material is incorporated as it exists on
the date of the approval, and a notice of any
change in the incorporation will be
published in the Federal Register.
3. Test Conditions
The following conditions specified in
AHRI 1340–202X Draft apply when testing to
certify to the energy conservation standards
in § 431.97. For cooling mode, use the rating
conditions in Table 7 of AHRI 1340–202X
Draft. For heat pump heating mode tests, use
the rating conditions in Table 26 of AHRI
1340–202X Draft and the IVHE U.S. Average
building load profile in Table 25 of AHRI
1340–202X Draft.
Representations of EER2 made using the
‘‘Cooling Bin A’’ conditions in Table 7 of
AHRI 1340–202X Draft are optional.
Representations of IVHEC made using the
56457
IVHEC Cold Average building load profile in
Table 25 of AHRI 1340–202X Draft are
optional. Representations of COP247 made
using the H47H test, COP217 made using the
H17H test, and COP25 made using the H5H
test in Table 26 of AHRI 1340–202X Draft are
optional.
4. Set-Up and Test Provisions for Specific
Components
When testing equipment that includes any
of the features listed in Table 1 of this
appendix, test in accordance with the set-up
and test provisions specified in Table 1 of
this appendix.
TABLE 1—TEST PROVISIONS FOR SPECIFIC COMPONENTS
Component
Description
Test provisions
Air Economizers ...................
An automatic system that enables a cooling system to
supply outdoor air to reduce or eliminate the need for
mechanical cooling during mid or cold weather.
Barometric Relief Dampers ..
An assembly with dampers and means to automatically
set the damper position in a closed position and one
or more open positions to allow venting directly to the
outside a portion of the building air that is returning
to the unit, rather than allowing it to recirculate to the
indoor coil and back to the building.
An assembly that reduces the moisture content of the
supply air through moisture transfer with solid or liquid desiccants.
Water is evaporated into the air entering the air-cooled
condenser to lower the dry-bulb temperature and
thereby increase efficiency of the refrigeration cycle.
A damper assembly including means to open and close
the damper mounted at the supply or return duct
opening of the equipment.
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 barometric relief dampers that are factory-installed, close and seal the dampers for testing. For
any modular barometric relief dampers shipped with
the unit but not factory-installed, do not install the
dampers for testing.
Desiccant Dehumidification
Components.
Evaporative Pre-cooling of
Air-cooled Condenser Intake Air.
Fire/Smoke/Isolation
Dampers.
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.
Indoor air filters with greater air filtration effectiveness
than the filters used for testing.
A capacitor that increases the power factor measured
at the line connection to the equipment.
A heat exchanger located inside the unit that conditions
the equipment’s supply air using energy transferred
from an external source using a vapor, gas, or liquid.
A heat exchanger located downstream of the indoor
coil that heats the supply air during cooling operation
using high pressure refrigerant in order to increase
the ratio of moisture removal to cooling capacity provided by the equipment.
Coils used to provide supplemental heating ...................
High-Effectiveness Indoor
Air Filtration.
Power Correction Capacitors
ddrumheller on DSK120RN23PROD with PROPOSALS3
Process Heat recovery/Reclaim Coils/Thermal Storage.
Refrigerant Reheat Coils .....
Steam/Hydronic Heat Coils ..
UV Lights .............................
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A lighting fixture and lamp mounted so that it shines
light on the indoor coil, that emits ultraviolet light to
inhibit growth of organisms on the indoor coil surfaces, the condensate drip pan, and/other locations
within the equipment.
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Disable desiccant dehumidification components for testing.
Disconnect the unit from a water supply for testing i.e.,
operate without active evaporative cooling.
For any fire/smoke/isolation dampers that are factoryinstalled, set the dampers in the fully open position
for testing. For any modular fire/smoke/isolation
dampers shipped with the unit but not factory-installed, do not install the dampers 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.
Test with the standard filter.
Remove power correction capacitors for testing.
Disconnect the heat exchanger from its heat source for
testing.
De-activate refrigerant reheat coils for testing so as to
provide the minimum (none if possible) reheat
achievable by the system controls.
Test with steam/hydronic heat coils in place but providing no heat.
Turn off UV lights for testing.
E:\FR\FM\17AUP3.SGM
17AUP3
56458
Federal Register / Vol. 88, No. 158 / Thursday, August 17, 2023 / Proposed Rules
TABLE 1—TEST PROVISIONS FOR SPECIFIC COMPONENTS—Continued
Component
Description
Test provisions
Ventilation Energy Recovery
System (VERS).
An assembly that preconditions outdoor air entering the
equipment through direct or indirect thermal and/or
moisture exchange with the exhaust air, which is defined as the building air being exhausted to the outside from the equipment.
For any VERS that is factory-installed, place the VERS
in the 100% return position and close and seal the
outside air dampers and exhaust air dampers for
testing, and do not energize any VERS subcomponents (e.g., energy recovery wheel motors). For any
VERS module shipped with the unit but not factoryinstalled, do not install the VERS for testing.
5. Test Provisions for Coil-Only Systems
5.1. When testing coil-only systems, follow
the applicable provisions in sections 5.17.4,
5.18.4, 6.2.4.2, and 6.3.6 of the AHRI 1340–
202X Draft, as modified by the following
instructions.
part-load tests in Table 8 of the AHRI
1340–202X Draft
Appendix F to Subpart F of Part 431
[Amended]
15. Amend appendix F to subpart F of
part 431 by:
■ a. In the appendix heading, removing
the words ‘‘Small Commercial Package
Air Conditioning and Heating
Equipment’’, and adding in their place,
the words ‘‘Commercial Unitary Air
Conditioners and Heat Pumps’’; and
■ b. In the appendix note, and
paragraph 2.1, by removing the words
‘‘small commercial package air
conditioning and heating equipment’’,
and adding in their place, the words
‘‘commercial unitary air conditioners
and heat pumps’’.
Appendix F1 to Subpart F of Part 431
[Amended]
16. Amend appendix F1 to subpart F
of part 431 by:
■ a. In the appendix heading by
removing the words ‘‘Small Commercial
Package Air Conditioning and Heating
Equipment’’, and adding in their place,
the words ‘‘Commercial Unitary Air
Conditioners and Heat Pumps’’; and
■ b. In the appendix note by removing
the words ‘‘small commercial package
air conditioning and heating
equipment’’, and adding in their place,
the words ‘‘commercial unitary air
conditioners and heat pumps’’.
■
[FR Doc. 2023–15857 Filed 8–16–23; 8:45 am]
BILLING CODE 6450–01–P
EP17AU23.116
■
cooling airflow, set airflow using a target
airflow rate that is the higher of: (1) the
manufacturer-specified airflow for the test; or
(2) 67 percent of the airflow measured for the
full-load cooling test. Calculate the capacity
adjustment and fan power adjustment using
the following equations.
VerDate Sep<11>2014
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PO 00000
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Fmt 4701
Sfmt 9990
E:\FR\FM\17AUP3.SGM
17AUP3
EP17AU23.115
ddrumheller on DSK120RN23PROD with PROPOSALS3
Where:
DFPCadj = adjusted default fan power
coefficient for test using airflow lower
than full-load cooling airflow
DFPCFL = default fan power coefficient
specified for full-load tests in Table 8 of
the AHRI 1340–202X Draft
DFPCPL = default fan power coefficient
specified for part-load tests in Table 8 of
the AHRI 1340–202X Draft
%FL Airflow = airflow measured for the test
divided by the measured airflow for the
full-load cooling test
DCAadj = adjusted default capacity
adjustment for test using airflow lower
than full-load cooling airflow
DCAFL = default capacity adjustment
specified for full-load tests in Table 8 of
the AHRI 1340–202X DraftDCAPL =
default capacity adjustment specified for
5.2. For tests using the full-load cooling
airflow, use the applicable airflow capacity
adjustment and fan power adjustment
specified for full-load tests in Table 8 of
AHRI 1340–202X Draft.
5.3. For tests with a manufacturer-specified
airflow that is lower than the full-load
Agencies
[Federal Register Volume 88, Number 158 (Thursday, August 17, 2023)]
[Proposed Rules]
[Pages 56392-56458]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2023-15857]
[[Page 56391]]
Vol. 88
Thursday,
No. 158
August 17, 2023
Part III
Department of Energy
-----------------------------------------------------------------------
10 CFR Parts 429 and 431
Energy Conservation Program: Test Procedures for Air-Cooled,
Evaporatively-Cooled, and Water-Cooled Commercial Package Air
Conditioners and Heat Pumps; Proposed Rule
Federal Register / Vol. 88 , No. 158 / Thursday, August 17, 2023 /
Proposed Rules
[[Page 56392]]
-----------------------------------------------------------------------
DEPARTMENT OF ENERGY
10 CFR Parts 429 and 431
[EERE-2023-BT-TP-0014]
RIN 1904-AD93
Energy Conservation Program: Test Procedures for Air-Cooled,
Evaporatively-Cooled, and Water-Cooled Commercial Package Air
Conditioners and Heat Pumps
AGENCY: Office of Energy Efficiency and Renewable Energy, Department of
Energy.
ACTION: Notice of proposed rulemaking and request for comment.
-----------------------------------------------------------------------
SUMMARY: The U.S. Department of Energy (DOE) proposes to amend the
Federal test procedures for air-cooled commercial package air
conditioners and heat pumps with a rated cooling capacity greater than
or equal to 65,000 Btu/h, evaporatively-cooled commercial package air
conditioners, and water-cooled commercial package air conditioners to
incorporate by reference the latest versions of the applicable industry
test standards. Specifically, DOE proposes: to amend the current test
procedure for this equipment for measuring the current cooling and
heating metrics--integrated energy efficiency ratio (IEER) and
coefficient of performance (COP), respectively; and to establish a new
test procedure for this equipment that would adopt two new metrics--
integrated ventilation, economizer, and cooling (IVEC) and integrated
ventilation and heating efficiency (IVHE). Testing to the IVEC and IVHE
metrics would not be required until such time as compliance is required
with any amended energy conservation standard based on the new metrics.
Additionally, DOE proposes to amend certain provisions of DOE's
regulations related to representations and enforcement for the subject
equipment. DOE welcomes written comments from the public on any subject
within the scope of this document (including topics not raised in this
proposal), as well as the submission of data and other relevant
information.
DATES:
Comments: DOE will accept comments, data, and information regarding
this notice of proposed rulemaking (NOPR) no later than October 16,
2023. See section V, ``Public Participation,'' for further details.
Meeting: DOE will hold a public meeting via webinar on Thursday,
September 7, 2023, from 1:00 p.m. to 4:00 p.m. See section V, ``Public
Participation,'' for webinar registration information, participant
instructions, and information about the capabilities available to
webinar participants.
ADDRESSES: Interested persons are encouraged to submit comments using
the Federal eRulemaking Portal at www.regulations.gov under docket
number EERE-2023-BT-TP-0014. Follow the instructions for submitting
comments. Alternatively, interested persons may submit comments,
identified by docket number EERE-2023-BT-TP-0014 and/or RIN 1904-AD93,
by any of the following methods:
Email: [email protected]. Include the docket number EERE-
2023-BT-TP-0014 and/or RIN 1904-AD93 in the subject line of the
message.
Postal Mail: Appliance and Equipment Standards Program, U.S.
Department of Energy, Building Technologies Office, Mailstop EE-5B,
1000 Independence Avenue SW, Washington, DC 20585-0121. If possible,
please submit all items on a compact disc (CD), in which case it is not
necessary to include printed copies.
Hand Delivery/Courier: Appliance and Equipment Standards Program,
U.S. Department of Energy, Building Technologies Office, 950 L'Enfant
Plaza SW, 6th Floor, Washington, DC 20024. Telephone: (202) 287-1445.
If possible, please submit all items on a CD, in which case it is not
necessary to include printed copies.
No telefacsimiles (faxes) will be accepted. For detailed
instructions on submitting comments and additional information on this
process, see section V of this document (Public Participation).
Docket: The docket for this activity, which includes Federal
Register notices, public meeting webinar attendee lists and transcripts
(if a public meeting is held), 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, not all documents listed in the index may be publicly
available, such as information that is exempt from public disclosure.
The docket web page can be found at www.regulations.gov/docket/EERE-2023-BT-TP-0014. The docket web page contains instructions on how
to access all documents, including public comments, in the docket. See
section V (Public Participation) for information on how to submit
comments through www.regulations.gov.
FOR FURTHER INFORMATION CONTACT: Mr. Lucas Adin, U.S. Department of
Energy, Office of Energy Efficiency and Renewable Energy, Building
Technologies Office, EE-5B, 1000 Independence Avenue SW, Washington, DC
20585-0121. Telephone: (202) 287-5904. Email:
[email protected].
Ms. Melanie Lampton, U.S. Department of Energy, Office of the
General Counsel, GC-33, 1000 Independence Avenue SW, Washington, DC
20585-0121. Telephone: (240) 571-5157. Email:
[email protected].
For further information on how to submit a comment, review other
public comments and the docket, or participate in the public meeting
webinar, contact the Appliance and Equipment Standards Program staff at
(202) 287-1445 or by email: [email protected].
SUPPLEMENTARY INFORMATION: DOE proposes to maintain a previously
approved incorporation by reference and to incorporate by reference the
following industry standards into parts 429 and 431:
AHRI Standard 340/360-2022 (I-P), 2022 Standard for Performance
Rating of Commercial and Industrial Unitary Air-conditioning and Heat
Pump Equipment, AHRI approved January 26, 2022 (AHRI 340/360-2022).
Copies of AHRI 340/360-2022 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/standards/search-standards.
AHRI Standard 1340(I-P)-202X Draft, Performance Rating of
Commercial and Industrial Unitary Air-conditioning and Heat Pump
Equipment (AHRI 1340-202X Draft). AHRI 1340-202X Draft is in draft form
and its text was provided to DOE for the purposes of review only during
the drafting of this NOPR. If this industry test standard is formally
adopted, DOE intends to incorporate by reference the final published
version of AHRI 1340 in DOE's subsequent test procedure final rule. If
there are substantive changes between the draft and published versions
for which DOE receives stakeholder comments in response to this NOPR
recommending that DOE adopt provisions consistent with the published
version of AHRI 1340, then DOE may consider adopting those provisions.
If there are substantive changes between the draft and published
versions for which
[[Page 56393]]
stakeholder comments do not express support, DOE may adopt the
substance of the AHRI 1340-202X Draft or provide additional opportunity
for comment on the changes to the industry consensus standard.
A copy of the AHRI 1340-202X Draft is provided in the docket for
this rulemaking for review.
ANSI/ASHRAE 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).
Copies of ANSI/ASHRAE 37-2009 can be obtained from the American
Society of Heating, Refrigerating and Air-Conditioning Engineers, 180
Technology Parkway, Peachtree Corners, GA 30092, (404) 636-8400, or
online at: www.ashrae.org.
See section IV.M of this document for a further discussion of these
standards.
Table of Contents
I. Authority and Background
A. Authority
B. Background
II. Synopsis of the Notice of Proposed Rulemaking
III. Discussion
A. Scope of Applicability
B. Definitions
1. CUAC and CUHP Definition
2. Basic Model Definition
3. Double-Duct Definition
4. Metric Definitions
C. Updates to Industry Test Standards
1. AHRI 340/360
2. AHRI 1340
3. ASHRAE 37
D. Consideration of the ACUAC and ACUHP Working Group TP Term
Sheet
E. DOE Proposed Test Procedures
F. Efficiency Metrics and Test Conditions
1. Comments Received on Metrics
a. IEER Test Conditions and Weighting Factors
b. Energy Efficiency Metrics for ECUACs and WCUACs
c. Cyclic Degradation Factor for Cooling
d. Economizing and Ventilation
e. External Static Pressure Requirements
f. Damper Leakage, Energy Recovery Systems, and Crankcase
Heaters
g. Controls Verification Procedure
h. Heating Efficiency Metric
2. Test Conditions Used for Current Metrics in Appendix A
3. Test Conditions Used for New Metrics in Proposed Appendix A1
4. IVEC
5. IVHE
a. IVHE for Colder Climates
6. Additions and Revisions to the IVEC and IVHE Metrics Not
Included in the Term Sheet
a. Cooling Weighting Factors Adjustment
b. ESP Testing Target Calculation
c. Test Instructions for Splitting ESP Between Return and Supply
Ductwork
d. Default Fan Power and Maximum Pressure Drop for Coil-Only
Systems
e. Component Power Measurement
f. IVHE Equations
g. Non-Standard Low-Static Indoor Fan Motors
7. Efficiency Metrics for ECUACs and WCUACs
a. Heat Rejection Components for WCUACs
8. Efficiency Metrics for Double-Duct Systems
G. Test Method Changes in AHRI Standard 340/360
1. Vertical Separation of Indoor and Outdoor Units
2. Measurement of Air Conditions
3. Refrigerant Charging Instructions
4. Primary and Secondary Methods for Capacity Measurements
5. Atmospheric Pressure
a. Adjustment for Different Atmospheric Pressure Conditions
b. Minimum Atmospheric Pressure
c. Atmospheric Pressure Measurement
6. Condenser Head Pressure Controls
7. Length of Refrigerant Line Exposed to Outdoor Conditions
8. Indoor Airflow Condition Tolerance
9. ECUACs and WCUACs With Cooling Capacity Less Than 65,000 Btu/
h
10. Additional Test Method Topics for ECUACs
a. Outdoor Air Entering Wet-Bulb Temperature
b. Make-Up Water Temperature
c. Piping Evaporator Condensate to Condenser Sump
d. Purge Water Settings
e. Condenser Spray Pumps
f. Additional Steps To Verify Proper Operation
H. General Comments Received in Response to the July 2017 TP RFI
I. Configuration of Unit Under Test
1. Summary
2. Background
3. Proposed Approach for Exclusion of Certain Components
a. Components Addressed Through Test Provisions of 10 CFR Part
431, Subpart F, appendices A and A1
b. Components Addressed Through Representation Provisions of 10
CFR 429.43
c. Enforcement Provisions of 10 CFR 429.134
d. Testing Specially Built Units That Are Not Distributed in
Commerce
J. Represented Values
1. Cooling Capacity
2. Single-Zone Variable-Air-Volume and Multi-Zone Variable-Air-
Volume
3. Confidence Limit
4. AEDM Tolerance for IVEC and IVHE
5. Minimum Part-Load Airflow
K. Enforcement Procedure for Verifying Cut-In and Cut-Out
Temperatures
L. Proposed Organization of the Regulatory Text for CUACs and
CUHPs
M. Compliance Date
N. Test Procedure Costs and Impact
1. Appendix A
2. Appendix A1
IV. Procedural Issues and Regulatory Review
A. Review Under Executive Orders 12866, 13563 and 14094
B. Review Under the Regulatory Flexibility Act
1. Description of Reasons Why Action Is Being Considered
2. Objectives of, and Legal Basis for, Rule
3. Description and Estimated Number of Small Entities Regulated
4. Description and Estimate of Compliance Requirements
a. Cost and Compliance Associated With Appendix A
b. Cost and Compliance Associated With Appendix A1
5. Duplication, Overlap, and Conflict With Other Rules and
Regulations
6. Significant Alternatives to the Rule
C. Review Under the Paperwork Reduction Act of 1995
D. Review Under the National Environmental Policy Act of 1969
E. Review Under Executive Order 13132
F. Review Under Executive Order 12988
G. Review Under the Unfunded Mandates Reform Act of 1995
H. Review Under the Treasury and General Government
Appropriations Act, 1999
I. Review Under Executive Order 12630
J. Review Under Treasury and General Government Appropriations
Act, 2001
K. Review Under Executive Order 13211
L. Review Under Section 32 of the Federal Energy Administration
Act of 1974
M. Description of Materials Incorporated by Reference
V. Public Participation
A. Participation in the Webinar
B. Procedure for Submitting Prepared General Statements for
Distribution
C. Conduct of the Webinar
D. Submission of Comments
E. Issues on Which DOE Seeks Comment
VI. Approval of the Office of the Secretary
I. Authority and Background
Small, large, and very large commercial package air conditioning
and heating equipment are included in the list of ``covered equipment''
for which DOE is authorized to establish and amend energy conservation
standards and test procedures. (42 U.S.C. 6311(1)(B)-(D)) Commercial
package air conditioning and heating equipment includes as equipment
categories the air-cooled commercial unitary air conditioners with a
rated cooling capacity greater than or equal to 65,000 Btu/h (ACUACs)
and air-cooled commercial unitary heat pumps with a rated cooling
capacity greater than or equal to 65,000 Btu/h (ACUHPs), evaporatively-
cooled commercial unitary air conditioners (ECUACs), and water-cooled
commercial unitary air conditioners (WCUACs), which are the subject of
this NOPR.\1\ (ECUACs,
[[Page 56394]]
WCUACs, and ACUACs and ACUHPs including double-duct equipment are
collectively referred to as CUACs and CUHPs in this document.) The
current DOE test procedures for CUACs and CUHPs are codified at title
10 of the Code of Federal Regulations (CFR) part 431, subpart F,
section 96, Table 1. The following sections discuss DOE's authority to
establish and amend test procedures for CUACs and CUHPs, as well as
relevant background information regarding DOE's proposed amendments to
the test procedures for this equipment.
---------------------------------------------------------------------------
\1\ While ACUACs with rated cooling capacity less than 65,000
Btu/h are included in the broader category of CUACs, they are not
addressed in this NOPR. The test procedure for ACUACs with rated
cooling capacity less than 65,000 Btu/h have been addressed in a
separate rulemaking: see Docket No. EERE-2017-BT-TP-0018-0031. All
references within this NOPR to ACUACs and ACUHPs exclude equipment
with rated cooling capacity less than 65,000 Btu/h.
---------------------------------------------------------------------------
A. Authority
The Energy Policy and Conservation Act, Public Law 94-163 (42
U.S.C. 6291-6317, as codified), as amended (EPCA),\2\ authorizes DOE to
regulate the energy efficiency of a number of consumer products and
certain industrial equipment. (42 U.S.C. 6291-6317) Title III, Part C
\3\ 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 covered equipment includes small, large, and
very large commercial package air conditioning and heating equipment.
(42 U.S.C. 6311(1)(B)-(D)) Commercial package air conditioning and
heating equipment includes CUACs and CUHPs, which are the subject of
this document.
---------------------------------------------------------------------------
\2\ 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.
\3\ For editorial reasons, upon codification in the U.S. Code,
Part C was redesignated Part A-1.
---------------------------------------------------------------------------
The energy conservation program under EPCA consists essentially of
four parts: (1) testing, (2) labeling, (3) Federal energy conservation
standards, and (4) certification and enforcement procedures. Relevant
provisions of EPCA include definitions (42 U.S.C. 6311), energy
conservation standards (42 U.S.C. 6313), test procedures (42 U.S.C.
6314), labeling provisions (42 U.S.C. 6315), and the authority to
require information and reports from manufacturers (42 U.S.C. 6316; 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 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 in limited circumstances 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 also sets forth the general criteria and
procedures DOE is required to follow when prescribing or amending test
procedures for covered equipment. Specifically, EPCA requires that any
test procedure prescribed or amended under this section must be
reasonably designed to produce test results that reflect energy
efficiency, energy use, and estimated operating cost of a given type of
covered equipment (or class thereof) during a representative average
use cycle and requires that such test procedures not be unduly
burdensome to conduct. (42 U.S.C. 6314(a)(2)-(3))
As discussed, CUACs and CUHPs are classified as commercial package
air conditioning and heating equipment. EPCA requires that the test
procedures for commercial package air conditioning and heating
equipment be those generally accepted industry testing procedures or
rating procedures developed or recognized by AHRI or ASHRAE, as
referenced in ASHRAE Standard 90.1, ``Energy Standard for Buildings
Except Low-Rise Residential Buildings'' (ASHRAE Standard 90.1). (42
U.S.C. 6314(a)(4)(A)) Further, if such an industry test procedure is
amended, DOE must update its test procedure to be consistent with the
amended industry test procedure, unless DOE determines, by rule
published in the Federal Register and supported by clear and convincing
evidence, that the amended test procedure would not meet the
requirements in 42 U.S.C. 6314(a)(2) and (3) related to representative
use and test burden, in which case DOE may establish an amended test
procedure that does satisfy those statutory provisions. (42 U.S.C.
6314(a)(4)(B) and (C))
EPCA also requires that, at least once every seven years, DOE
evaluate test procedures for each type of covered equipment, including
CUACs and CUHPs, 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)-(3))
In addition, if DOE determines that a test procedure amendment is
warranted, the Department must publish proposed test procedures in the
Federal Register and afford interested persons an opportunity (of not
less than 45 days duration) to present oral and written data, views,
and arguments on the proposed test procedures. (42 U.S.C. 6314(b)) If
DOE determines that test procedure revisions are not appropriate, DOE
must publish in the Federal Register its determination not to amend the
test procedures. (42 U.S.C. 6314(a)(1)(A)(ii))
DOE is proposing amendments to the test procedures for CUACs and
CUHPs in satisfaction of its aforementioned statutory obligations under
EPCA. (42 U.S.C. 6314(a)(4)(A)) and (42 U.S.C 6314(a)(1)-(3))
B. Background
DOE's existing test procedure for CUACs and CUHPs appears at 10 CFR
431.96 (Uniform test method for the measurement of energy efficiency of
commercial air conditioners and heat pumps). The test procedure for
ACUACs and ACUHPs with a rated cooling capacity of greater than or
equal to 65,000 Btu/h specified in 10 CFR 431.96 references appendix A
to subpart F of part 431 (Uniform Test Method for the Measurement of
Energy Consumption of Air-Cooled Small (>=65,000 Btu/h), Large, and
Very Large Commercial Package Air Conditioning and Heating Equipment,
referred to as appendix A in this document). Appendix A references
certain sections of ANSI/AHRI Standard 340/360-2007, 2007 Standard for
Performance Rating of Commercial and Industrial Unitary Air-
Conditioning and Heat Pump Equipment, approved by ANSI on October 27,
2011 and updated by addendum 1 in December 2010 and addendum 2 in June
2011 (ANSI/AHRI 340/360-2007); ANSI/ASHRAE Standard 37-2009, Methods of
Testing for Rating Electrically Driven Unitary Air-Conditioning and
Heat Pump Equipment (ANSI/ASHRAE 37-2009); and specifies other test
procedure requirements related to minimum external static pressure
(ESP), optional break-in period, refrigerant charging, setting indoor
airflow, condenser head pressure controls, standard airflow and air
quantity, tolerance on capacity at
[[Page 56395]]
part-load test points, and condenser air inlet temperature for part-
load tests.
The DOE test procedure for ECUACs and WCUACs with a rated cooling
capacity of greater than or equal to 65,000 Btu/h specified in 10 CFR
431.96 incorporates by reference ANSI/AHRI 340/360-2007 (excluding
section 6.3 of ANSI/AHRI 340/360-2007 and including paragraphs (c) and
(e) of Sec. 431.96.\4\) The DOE test procedure for ECUACs and WCUACs
with a rated cooling capacity of less than 65,000 Btu/h incorporates by
reference ANSI/AHRI Standard 210/240-2008, ``2008 Standard for
Performance Rating of Unitary Air-Conditioning & Air-Source Heat Pump
Equipment,'' approved by ANSI on October 27, 2011 and updated by
addendum 1 in June 2011 and addendum 2 in March 2012 (ANSI/AHRI 210/
240-2008).
---------------------------------------------------------------------------
\4\ Paragraphs (c) and (e) of 10 CFR 431.96 address optional
break-in provisions and additional provisions regarding set up,
respectively.
---------------------------------------------------------------------------
On October 26, 2016, ASHRAE published ASHRAE Standard 90.1-2016,
which included updates to the test procedure references for CUACs and
CUHPs (excluding CUACs and CUHPs with a rated cooling capacity less
than 65,000 Btu/h) to reference AHRI Standard 340/360-2015, 2015
Standard for Performance Rating of Commercial and Industrial Unitary
Air-Conditioning and Heat Pump Equipment (AHRI 340/360-2015).\5\ This
action by ASHRAE triggered DOE's obligations under 42 U.S.C.
6314(a)(4)(B), as outlined previously. On July 25, 2017, DOE published
a request for information (RFI) (July 2017 TP RFI) in the Federal
Register to collect information and data to consider amendments to
DOE's test procedures for certain categories of commercial package air
conditioning and heating equipment including CUACs and CUHPs. 82 FR
34427. As part of the July 2017 TP RFI, DOE identified several aspects
of the currently applicable Federal test procedures for CUACs and CUHPs
that might warrant modifications, in particular: incorporation by
reference of the most recent version of the relevant industry
standard(s); efficiency metrics and calculations; and clarification of
test methods. Id. at 82 FR 34439-34445. DOE also requested comment on
any additional topics that may inform DOE's decisions in a future test
procedure rulemaking, including methods to reduce regulatory burden
while ensuring the procedures' accuracies. Id. at 82 FR 34448.
---------------------------------------------------------------------------
\5\ The previous version of ASHRAE Standard 90.1 (i.e., ASHRAE
Standard 90.1-2013) references ANSI/AHRI 340/360-2007.
---------------------------------------------------------------------------
DOE received a number of comments regarding CUACs and CUHPs in
response to the July 2017 TP RFI from interested parties. Table I.1
lists the commenters that provided comments relevant to CUACs and
CUHPs, along with each commenter's abbreviated name used throughout
this NOPR.\6\ Discussion of the relevant comments, and DOE's responses,
are provided in the appropriate sections of this document.
---------------------------------------------------------------------------
\6\ The parenthetical reference provides a reference for
information located in a docket related to DOE's rulemaking to
develop test procedures for CUACs and CUHPs. As noted, the July 2017
RFI addressed a variety of different equipment categories and is
available under docket number EERE-2017-BT-TP-0018, which is
maintained at www.regulations.gov. As this NOPR addresses only CUACs
and CUHPs, it has been assigned a separate docket number (i.e.,
EERE-2022-BT-STD-0015). The references are arranged as follows:
(commenter name, comment docket ID number, page of that document).
Table I.1--List of Commenters With Written Submissions in Response to the July 2017 TP RFI Relevant to CUACs and
CUHPs
----------------------------------------------------------------------------------------------------------------
Comment No. in
Name of commenter Abbreviation used the docket Commenter type
----------------------------------------------------------------------------------------------------------------
Air-Conditioning, Heating, and Refrigeration AHRI.................. 11 Trade Association.
Institute.
Appliance Standards Awareness Project, Alliance ASAP, ASE, et al...... 9 Efficiency Advocacy
to Save Energy, American Council for an Energy- Organizations.
Efficient Economy, Northwest Energy Efficiency
Alliance, and Northwest Power and Conservation
Council.
Carrier Corporation............................. Carrier............... 6 Manufacturer.
Goodman Global Inc.............................. Goodman............... 14 Manufacturer.
Ingersoll Rand.................................. Trane................. 12 Manufacturer.
Lennox International Inc........................ Lennox................ 8 Manufacturer.
National Comfort Institute...................... NCI................... 4 Trade Association.
Pacific Gas and Electric Company, Southern CA IOUs............... 7 Utilities.
California Gas Company, San Diego Gas and
Electric, and Southern California Edison;
(collectively referred to as the ``California
Investor-Owned Utilities'').
----------------------------------------------------------------------------------------------------------------
A parenthetical reference at the end of a comment quotation or
paraphrase provides the location of the item in the public record.\7\
For cases in which this NOPR references comments received in response
to the July 2017 TP RFI (which are contained within a different docket
\8\), the full docket number (rather than just the document number) is
included in the parenthetical reference.
---------------------------------------------------------------------------
\7\ The parenthetical reference provides a reference for
information located in the relevant docket, which is maintained at
www.regulations.gov. The references are arranged as follows:
(commenter name, comment docket ID number, page of that document).
\8\ Comments submitted in response to the July 2017 TP RFI are
available in Docket No. EERE-2017-BT-TP-0018.
---------------------------------------------------------------------------
At the time DOE published the July 2017 TP RFI, the applicable
version of ASHRAE Standard 90.1 was the 2016 edition, which referenced
AHRI Standard 340/360-2015, 2015 Standard for Performance Rating of
Commercial and Industrial Unitary Air-Conditioning and Heat Pump
Equipment as the test procedure for CUACs and CUHPs. On October 24,
2019, ASHRAE published ASHRAE Standard 90.1-2019, which updated the
relevant AHRI Standard 340/360 reference to the 2019 edition, 2019
Standard for Performance Rating of Commercial and Industrial Unitary
Air-Conditioning and Heat Pump Equipment (AHRI 340/360-2019). In
January 2022, AHRI published additional updates to its test procedure
standard for CUACs and CUHPs, with the publication of AHRI Standard
340/360-2022, 2022 Standard for Performance Rating of Commercial and
Industrial Unitary Air-conditioning and Heat Pump Equipment (AHRI 340/
360-2022), which DOE is proposing to reference in the amended test
procedure in appendix A to subpart F of 10 CFR part 431 in this NOPR.
These industry test standards are discussed further in section III.C of
this NOPR. To the extent that comments on the July 2017 TP RFI are
still relevant to AHRI 340/360-2022, DOE addresses such comments in the
following sections.
[[Page 56396]]
For ECUACs and WCUACs with a rated cooling capacity less than
65,000 Btu/h, ASHRAE Standard 90.1-2016 references ANSI/AHRI 210/240-
2008. After the publication of the July 2017 RFI, AHRI published AHRI
Standard 210/240-2017, 2017 Standard for Performance Rating of Unitary
Air-conditioning & Air-source Heat Pump Equipment (AHRI 210/240-2017).
ASHRAE Standard 90.1-2019 references AHRI 210/240-2017 as the test
procedure for ECUACs and WCUACs with rated cooling capacities less than
65,000 Btu/h. After the publication of AHRI 210/240-2017, AHRI released
two updates to that industry standard: (1) AHRI Standard 210/240-2017
with Addendum 1, 2017 Standard for Performance Rating of Unitary Air-
conditioning & Air-source Heat Pump Equipment (AHRI 210/240-2017 with
Addendum 1), which was published in April 2019; and (2) AHRI Standard
210/240-2023, 2023 Standard for Performance Rating of Unitary Air-
conditioning & Air-source Heat Pump Equipment (AHRI 210/240-2023),
which was published in May 2020.
On May 12, 2020, DOE published an RFI in the Federal Register
regarding energy conservation standards for ACUACs, ACUHPs, and
commercial warm air furnaces (May 2020 ECS RFI). 85 FR 27941. In
response to the May 2020 ECS RFI, DOE received comments from various
stakeholders, including ones related to the test procedure for ACUACs
and ACUHPs. Table I.2 lists the stakeholders whose comments in response
to the May 2020 ECS RFI were related to the ACUAC and ACUHP test
procedures and have been considered in this rulemaking. For cases in
which this NOPR references comments received in response to the May
2020 ECS RFI (which are contained within a different docket \9\), the
full docket number (rather than just the item entry number) is included
in the parenthetical reference.
---------------------------------------------------------------------------
\9\ Comments submitted in response to the May 2020 ECS RFI are
available in Docket No. EERE-2019-BT-STD-0042.
Table I.2--List of Commenters With Written Submissions in Response to the May 2020 ECS RFI Relevant to CUAC and
CUHP Test Procedures
----------------------------------------------------------------------------------------------------------------
Comment No. in
Name of commenter Abbreviation used the docket Commenter type
----------------------------------------------------------------------------------------------------------------
Appliance Standards Awareness Project, American ASAP, ACEEE, et al.... 23 Efficiency Advocacy
Council for an Energy Efficient Economy, Organizations and
California Energy Commission, Natural Resources State Agency.
Defense Council, and Northeast Energy
Efficiency Partnerships.
Carrier Corporation............................. Carrier............... 13 Manufacturer.
Goodman Manufacturing Company................... Goodman............... 17 Manufacturer.
John Walsh...................................... Walsh................. 18 Individual.
Kristin Heinemeier.............................. Heinemeier............ 12 Individual.
Northwest Energy Efficiency Alliance............ NEEA.................. 24 Efficiency Advocacy
Organization.
Pacific Gas and Electric Company, San Diego Gas CA IOUs............... 20 Utilities.
and Electric, and Southern California Edison;
(collectively referred to as the ``California
Investor-Owned Utilities'').
Trane Technologies.............................. Trane................. 16 Manufacturer.
Verified Inc.................................... Verified.............. 11 Efficiency Advocacy
Organization.
----------------------------------------------------------------------------------------------------------------
On May 25, 2022, DOE published an RFI in the Federal Register
regarding test procedures and energy conservations standards for CUACs
and CUHPs (May 2022 TP/ECS RFI). 87 FR 31743. In response to the May
2022 TP/ECS RFI, DOE notes that it received comments from various
stakeholders related to the test procedure for CUACs and CUHPs. Table
I.3 lists the stakeholders whose comments in response to the May 2022
TP/ECS RFI were related to the CUAC and CUHP test procedures and have
been considered in this proposed rulemaking. For cases in which this
NOPR references comments received in response to the May 2022 TP/ECS
RFI (which are contained within a different docket \10\), the full
docket number (rather than just the item entry number) is included in
the parenthetical reference.
---------------------------------------------------------------------------
\10\ Comments submitted in response to the May 2022 ECS/TP RFI
are available in Docket No. EERE-2022-BT-STD-0015.
Table I.3--List of Commenters With Written Submissions in Response to the May 2022 TP/ECS RFI Relevant to CUAC
and CUHP Test Procedures
----------------------------------------------------------------------------------------------------------------
Comment No. in
Name of commenter Abbreviation used the docket Commenter type
----------------------------------------------------------------------------------------------------------------
Air-Conditioning Heating and Refrigeration AHRI.................. 8 Manufacturer.
Institute.
Appliance Standards Awareness Project, American ASAP and ACEEE........ 11 Efficiency Advocacy
Council for an Energy-Efficient Economy. Organizations.
Carrier Corporation............................. Carrier............... 10 Manufacturer.
Lennox International Inc........................ Lennox................ 9 Manufacturer.
New York State Energy Research and Development NYSERDA............... 7 State Agency.
Authority.
Northwest Energy Efficiency Alliance............ NEEA.................. 13 Efficiency Advocacy
Organization.
Pacific Gas and Electric Company, San Diego Gas CA IOUs............... 12 Utilities.
and Electric, and Southern California Edison;
(collectively referred to as the ``California
Investor-Owned Utilities'').
[[Page 56397]]
Trane Technologies.............................. Trane................. 14 Manufacturer.
----------------------------------------------------------------------------------------------------------------
On July 29, 2022, DOE published in the Federal Register a notice of
intent to establish a working group for commercial unitary air
conditioners and heat pumps (Working Group) to negotiate proposed test
procedures and amended energy conservation standards for this equipment
(July 2022 Notice of Intent). 87 FR 45703. The Working Group was
established under the Appliance Standards and Rulemaking Federal
Advisory Committee (ASRAC) in accordance with the Federal Advisory
Committee Act (FACA) (5 U.S.C App 2) and the Negotiated Rulemaking Act
(NRA) (5 U.S.C. 561-570, Pub. L. 104-320). The purpose of the Working
Group was to discuss, and if possible, reach consensus on recommended
amendments to the test procedures and energy conservation standards for
ACUACs and ACUHPs. The Working Group consisted of 14 voting members,
including DOE. (See appendix A, Working Group Members, Document No. 65
in Docket No. EERE-2022-BT-STD-0015) On December 15, 2022, the Working
Group signed a term sheet of recommendations regarding ACUAC and ACUHP
test procedures to be submitted to ASRAC, the contents of which are
referenced throughout this NOPR (referred to hereafter as the ACUAC and
ACUHP Working Group TP Term Sheet). (See Id.) The ACUAC and ACUHP
Working Group TP Term Sheet was approved by ASRAC on March 2, 2023.
These recommendations are discussed further in section III.D of this
NOPR.
In January 2023, ASHRAE published ASHRAE Standard 90.1-2022, which
included updates to the test procedure references for CUACs and CUHPs
with cooling capacities greater than or equal to 65,000 Btu/h,
specifically referencing AHRI 340/360-2022. For ECUACs and WCUACs with
capacities less than 65,000 Btu/h, ASHRAE Standard 90.1-2022 references
AHRI 210/240-2023.
Notably, ECUACs and WCUACs with a rated cooling capacity less than
65,000 Btu/h were removed from the scope of AHRI 210/240-2023, and are
instead included in the scope of AHRI 340/360-2022. DOE discusses this
change in scope to the industry test procedure and comments received
related to ECUACs and WCUACs with a cooling capacity less than 65,000
Btu/h in section III.G.9 of this NOPR.
Following the publication of ASHRAE Standard 90.1-2022, AHRI is
currently working on an update to the AHRI standard 340/360 \11\ (i.e.,
AHRI Standard 1340(I-P)-202X Draft, Performance Rating of Commercial
and Industrial Unitary Air-conditioning and Heat Pump Equipment (AHRI
1340-202X Draft)).
---------------------------------------------------------------------------
\11\ DOE has provided a copy of AHRI 1340-202X Draft in the
docket for this rulemaking, available at www.regulations.gov/docket/EERE-2023-BT-TP-0014. AHRI Standard 1340 is in draft form and its
text was provided to DOE for the purposes of review only during the
drafting of this NOPR. Note that the draft AHRI Standard 1340 may be
further revised, edited, delayed, or withdrawn prior to publication
by the AHRI Standards Technical Committee (STC).
---------------------------------------------------------------------------
II. Synopsis of the Notice of Proposed Rulemaking
In this NOPR, DOE proposes to update its test procedures for CUACs
and CUHPs by: (1) updating the reference in the Federal test procedure
to the most recent version of the industry test procedure, AHRI 340/
360-2022, for measuring integrated energy efficiency ratio (IEER),
energy efficiency ratio (EER), and coefficient of performance (COP);
and (2) establishing a new test procedure that references the most
recent draft version of industry test procedure, AHRI 1340-202X Draft,
and is consistent with recommendations from the ACUAC and ACUHP Working
Group TP Term Sheet that DOE should include new efficiency metrics
(integrated ventilation, economizer, and cooling (IVEC) and integrated
ventilation and heating efficiency (IVHE)) and new testing
requirements. If a finalized version of AHRI 1340-202X Draft is not
published before the final rule or if there are substantive changes
between the draft and published versions of AHRI 340/360, DOE may adopt
the substance of the AHRI 1340-202X Draft or provide additional
opportunity for comment on the final version of that industry consensus
standard.
To implement the proposed changes, DOE proposes: (1) to amend
appendix A to incorporate by reference AHRI 340/360-2022 for CUACs and
CUHPs, while maintaining the current efficiency metrics; and (2) to add
a new appendix A1 to subpart F of 10 CFR part 431. At 10 CFR part
431.96, ``Uniform test method for the measurement of energy efficiency
of commercial air conditioners and heat pumps,'' DOE would list
appendix A1 as the applicable test method for CUACs and CUHPs for any
standards denominated in terms of IVEC and IVHE. Appendix A1 would
utilize the AHRI 1340-202X Draft, including the new IVEC and IVHE
efficiency metrics recommended by the ACUAC and ACUHP Working Group TP
Term Sheet. Use of appendix A1 would not be required until such time as
compliance is required with any amended energy conservation standard
based on the new metrics, should DOE adopt such standards. After the
date on which compliance with appendix A1 would be required, appendix A
would no longer be used as part of the Federal test procedure. DOE is
also proposing more general updates to establish a definition for the
terms ``commercial unitary air conditioner'' and ``commercial unitary
heat pump.'' Lastly, DOE is proposing to amend certain provisions
within DOE's regulations for representation and enforcement consistent
with the proposed test procedure amendments.
Table I.1 summarizes the current DOE test procedure for CUACs and
CUHPs, DOE's proposed changes to that test procedure, and the reason
for each proposed change.
[[Page 56398]]
Table II.1--Summary of Changes in Proposed Test Procedure Relative to
Current Test Procedure
------------------------------------------------------------------------
Proposed test
Current DOE test procedure procedure Attribution
------------------------------------------------------------------------
Incorporates by reference..... Incorporate by Update to the
1. ANSI/AHRI 340/360-2007 for reference AHRI 340/ most recent
CUACs and CUHPs with a 360-2022 and ANSI/ industry test
cooling capacity greater than ASHRAE 37-2009 in procedures.
or equal to 65,000 Btu/h; and. appendix A. Utilize
2. ANSI/AHRI 210/240-2008 for AHRI 1340-202X Draft
ECUACs and WCUACs with a and incorporate by
cooling capacity less than reference ANSI/ASHRAE
65,000 Btu/h. 37-2009 in a new
appendix A1.
Includes provisions for Appendix A maintains Updates to the
determining EER, IEER, and provisions for applicable
COP. determining EER, industry test
IEER, and COP. procedures.
Appendix A1 includes
provisions for
determining EER2,
COP2, IVEC, and IVHE.
Does not include certain CUAC Includes provisions in Improve
and CUHP provisions regarding 10 CFR 429.43 representativen
over-rating capacity and specific to CUACs and ess of test
specific components for CUHPs to determine procedure.
determination of represented represented values
values in 10 CFR 429.43. for units with
specific components,
and to prevent
cooling capacity over-
rating.
Does not include certain CUAC- Adopts product- Clarify how DOE
and CUHP-specific enforcement specific enforcement will conduct
provisions in 10 CFR 429.134. provisions for CUACs enforcement
and CUHPs regarding: testing.
(1) verification of
cooling capacity for
determining ESP
requirements and (2)
testing of units with
specific components.
------------------------------------------------------------------------
Should DOE adopt the amendments described in this proposed rule,
the effective date for the amended test procedure would be 30 days
after publication of the test procedure final rule in the Federal
Register.
DOE has tentatively determined that the proposed amendments to the
CUAC and CUHP test procedures would not be unduly burdensome.
Furthermore, DOE has tentatively determined that the proposed
amendments to appendix A, if made final, would not alter the measured
efficiency of CUACs and CUHPs or require retesting or recertification
solely as a result of DOE's adoption of the proposed amendments to the
test procedure. Additionally, DOE has tentatively determined that the
proposed amendments to appendix A, if made final, would not increase
the cost of testing. If finalized, representations of energy use or
energy efficiency would be required to be based on testing in
accordance with the amended test procedure in appendix A beginning 360
days after the date of publication of the test procedure final rule in
the Federal Register.
DOE has tentatively determined, however, that the newly proposed
test procedure at appendix A1 would alter the measured efficiency of
CUACs and CUHPs, in part because the amended test procedure would adopt
different energy efficiency metrics than in the current test procedure.
DOE has tentatively determined that the proposed amendments to appendix
A1, if made final, would increase the cost of testing relative to the
current test procedure. Tentative cost estimates are discussed in
section III.M of this document. As discussed, use of appendix A1 would
not be required until the compliance date of any amended energy
conservation standard denominated in terms of the new metrics in
appendix A1, should DOE adopt such standards.
The proposed amendments to representation requirements in 10 CFR
429.43 would not be required until 360 days after publication in the
Federal Register of a test procedure final rule.
Discussion of DOE's proposed actions are addressed in detail in
section III of this NOPR.
III. Discussion
In the following sections, DOE proposes certain amendments to its
test procedures for CUACs and CUHPs. For each proposed amendment, DOE
provides relevant background information, explains why the amendment
merits consideration, discusses relevant public comments, and proposes
a potential approach.
A. Scope of Applicability
This rulemaking applies to ACUACs and ACUHPs with a rated cooling
capacity greater than or equal to 65,000 Btu/h, including double-duct
air conditioners and heat pumps, as well as ECUACs and WCUACs of all
capacities. Definitions that apply to CUACs and CUHPs are discussed in
section III.B of this NOPR.
DOE's regulations for CUACs and CUHPs cover both single-package
units and split systems. See the definition of ``commercial package
air-conditioning and heating equipment'' at 10 CFR 431.92. A split
system consists of a condensing unit--which includes a condenser coil,
condenser fan and motor, and compressor--that is paired with a separate
component that includes an evaporator coil to form a complete
refrigeration circuit for space conditioning. One application for
condensing units is to be paired with an air handler (which includes an
evaporator coil), such that the combined system (i.e., the condensing
unit with air handler) meets the definition of a split system CUAC or
CUHP. It should be pointed out that AHRI has a certification program
for unitary large equipment that includes certification of CUACs,
CUHPs, and condensing units. DOE notes that as part of the AHRI
certification program for unitary large equipment, manufacturers who
sell air-cooled condensing units with a rated cooling capacity greater
than or equal to 65,000 Btu/h and less than 135,000 Btu/h must certify
condensing units as a complete system (i.e., paired with an air
handler) according to the AHRI 340/360 test procedure.\12\ However, for
condensing units with a rated cooling capacity greater than or equal to
135,000 Btu/h and less than 250,000 Btu/h, the AHRI certification
program allows manufacturers to certify condensing units as a complete
system according to AHRI 340/360 or optionally certify as a condensing
unit only according to AHRI Standard 365, ``Standard for Performance
Rating of Commercial and Industrial Unitary Air-Conditioning Condensing
Units'' (AHRI 365). DOE emphasizes that these AHRI testing and
certification requirements differ from the Federal test procedure at 10
CFR 431.96, which requires testing to ANSI/AHRI 340/360-2007 and does
not permit certifying to DOE as a condensing unit only according to
AHRI 365. Additionally, the AHRI
[[Page 56399]]
certification program does not include unitary split systems or
condensing units with cooling capacities above 250,000 Btu/h, whereas
the Federal test procedure and standards (codified at 10 CFR 431.96 and
10 CFR 431.97, respectively) cover all CUACs and CUHPs with cooling
capacities up to 760,000 Btu/h. Once again, DOE emphasizes that
condensing unit models distributed in commerce with air handlers with
cooling capacities up to 760,000 Btu/h are covered as commercial
package air-conditioning and heating equipment (see definition at 10
CFR 431.92) and as such are subject to the Federal regulations
specified for CUACs and CUHPs regarding test procedures (10 CFR
431.96), energy conservation standards (10 CFR 431.97), and
certification and representation requirements (10 CFR 429.43).
---------------------------------------------------------------------------
\12\ See appendix A of the AHRI Unitary Large Equipment
Certification Program Operations Manual (January 2021). This can be
found at https://www.ahrinet.org/sites/default/files/2022-08/ULE_OM.pdf.
---------------------------------------------------------------------------
B. Definitions
1. CUAC and CUHP Definition
In the May 2020 ECS RFI, DOE requested comment on whether the
definitions that apply to CUACs and CUHPs (including the definitions
for small, large, and very large commercial package air conditioning
and heating equipment) require any revisions--and if so, how those
definitions should be revised. 85 FR 27941, 27945 (May 12, 2020). DOE
also requested comment on whether additional equipment definitions are
necessary to close any potential gaps in coverage between equipment
types. Id.
Trane commented that the overall definition for commercial package
air conditioning and heating equipment is very broad and covers
equipment that is used in specific industrial applications (e.g.,
computer room air conditioners (CRACs), dedicated outdoor air systems
(DOASes), and indoor agricultural systems) for which the CUAC/CUHP test
procedure and IEER metric should not apply.\13\ Trane recommended that
DOE should separately regulate these categories of equipment with
specific definitions, test procedures, and energy conservation
standards. (Trane, EERE-2019-BT-STD-0042-0016, pp. 2-3)
---------------------------------------------------------------------------
\13\ The IEER metric represents a weighted average of full-load
and part-load efficiencies, weighted according to the average amount
of time operating at each load point. Additionally, IEER
incorporates reduced condenser temperatures (i.e., reduced outdoor
ambient temperatures) for part-load operation.
---------------------------------------------------------------------------
Goodman commented that ambiguity exists regarding DOASes used for
dry-climate applications, as these systems could be rated and tested in
accordance with AHRI Standard 340/360, as well as AHRI Standard 920,
and that updating definitions to address these specific system types
based on mixed-air or 100-percent air applications would provide some
clarity in the marketplace. (Goodman, EERE-2019-BT-STD-0042-0017, p. 2)
Regarding DOASes, in a final rule published in the Federal Register
on July 27, 2022, DOE defined a direct expansion-dedicated outdoor air
system (DX-DOAS) as a unitary dedicated outdoor air system that is
capable of dehumidifying air to a 55 [deg]F dew point--when operating
under Standard Rating Condition A as specified in Table 4 or Table 5 of
AHRI 920-2020 (incorporated by reference, 10 CFR 431.95) with a
barometric pressure of 29.92 in Hg--for any part of the range of
airflow rates advertised in manufacturer materials, and has a moisture
removal capacity of less than 324 lb/h. 87 FR 45164, 45170, 45198. DOE
has tentatively concluded that this definition provides the requisite
specificity sought by Goodman's comment.
More broadly, as in this NOPR, DOE has previously used the
colloquial terms ``commercial unitary air conditioners'' and
``commercial unitary heat pump'' (i.e., CUACs and CUHPs), to refer to
certain commercial package air conditioning and heating equipment,
recognizing that CUAC is not a statutory term and is not currently used
in the CFR. See 79 FR 58948, 58950 (Sept. 30, 2014); 80 FR 52676, 52676
(Sept. 1, 2015). As codified in regulation, the classes for which EPCA
prescribed standards have been grouped under the headings ``commercial
air conditioners and heat pumps'' (10 CFR 431.96, Table 1) and ``air
conditioning and heating equipment'' (10 CFR 431.97, Table 1), although
these are not defined terms. These classes have also been identified by
the broader equipment type with which they are associated (i.e., small,
large, or very large commercial package air conditioning and heating
equipment). Id. DOE agrees with the commenters that a more tailored
definition regarding the equipment categories covered by these umbrella
terms may provide additional benefits in terms of clarity.
Consequently, in this NOPR, DOE proposes to establish a definition
for ``commercial unitary air conditioner and commercial unitary heat
pump'' to assist in distinguishing between the regulated categories of
commercial package air conditioning and heating equipment. The proposed
definition is structured to indicate categories of commercial package
air conditioning and heating equipment that are excluded from the
definition, rather than stipulating features or characteristics of
CUACs and CUHPs. Specifically, the proposed definition would exclude
single package vertical air conditioners and heat pumps (SPVUs),
variable refrigerant flow multi-split air conditioners and heat pumps,
and water-source heat pumps. To the extent that a unit could be
considered either a CUAC or a CRAC, such unit would be excluded from
the CUAC definition if marketed solely for applications specific to the
CRAC equipment category. To the extent that a unit could be either a
CUAC or a DX-DOAS, such unit would be excluded from the CUAC definition
if it is only capable of providing ventilation and conditioning of 100-
percent outdoor air or it is marketed in all materials as only having
such capability. DOE notes that, when gathering information for
potential enforcement of CRAC, CUAC or a DX-DOAS standards, DOE may
consider marketing materials claiming that a unit is a CRAC, CUAC or
DX-DOAS by any party. Any marketing, by any party, could signal that a
unit is not only a CRAC, CUAC, or a DX-DOAS. DOE notes that to the
extent that a basic model is covered under more than one equipment
category (e.g., CRAC and CUAC) it would be subject to the regulations
applicable to each equipment class that covers that basic model.
DOE proposes the following definition: Commercial unitary air
conditioner and commercial unitary heat pump means any small, large, or
very large air-cooled, water-cooled, or evaporatively-cooled commercial
package air conditioning and heating equipment that consists of one or
more factory-made assemblies that provide space conditioning; but does
not include:
(1) single package vertical air conditioners and heat pumps,
(2) variable refrigerant flow multi-split air conditioners and heat
pumps,
(3) water-source heat pumps;
(4) equipment marketed only for use in computer rooms, data
processing rooms, or other information technology cooling applications,
and
(5) equipment only capable of providing ventilation and
conditioning of 100-percent outdoor air marketed only for ventilation
and conditioning of 100-percent outdoor air.
DOE recognizes that there may be models on the market that would be
covered by DOE regulations for multiple equipment categories. As
discussed in a previous notice addressing CRACs, such models would have
to be tested and rated according to the requirements for each
applicable equipment class of
[[Page 56400]]
standards (e.g., CRAC and CUAC). See 77 FR 16769, 16773 (March 22,
2012).
Issue 1: DOE seeks comment on its proposed definition for CUACs and
CUHPs.
2. Basic Model Definition
The current definition for ``basic model'' in DOE's regulations
includes a provision applicable for ``small, large, and very large air-
cooled or water-cooled commercial package air conditioning and heating
equipment (excluding air-cooled, three-phase, small commercial package
air conditioning and heating equipment with a cooling capacity of less
than 65,000 Btu/h).'' 10 CFR 431.92. Consistent with DOE's proposed
definition for ``commercial unitary air conditioner and commercial
unitary heat pump,'' DOE proposes to similarly update the definition of
``basic model'' so that this provision instead applies to the proposed
term ``commercial unitary air conditioner and commercial unitary heat
pump.'' DOE notes that the term in the current ``basic model''
definition includes ACUACs, ACUHPs, and WCUACs, but does not explicitly
include ECUACs, (DOE notes that the definition of ``commercial package
air-conditioning and heating equipment'' at 10 CFR 431.92 makes clear
that that term includes evaporatively-cooled equipment. Consequently,
ECUACs are clearly part of the relevant basic model definition, so the
omission of the term ``evaporatively-cooled'' from the heading should
not impact the proper functioning and use of the test procedure.
However, DOE is proposing to update the relevant heading to dispel any
confusion in that regard.) This proposal thereby includes ECUACs in
this provision of the ``basic model'' definition--i.e., because ECUACs
are included within the proposed term ``commercial unitary air
conditioner and commercial unitary heat pump,'' as discussed in section
III.B.1 of this NOPR. It would further clarify that this provision of
the ``basic model'' definition refers only to CUACs and CUHPs, and not
to any other category of equipment that is ``small, large, and very
large commercial package air conditioning and heating equipment''.
DOE also proposes editorial changes more generally to the
definition of ``basic model'' specified in 10 CFR 431.92. The current
definition begins with ``Basic model includes'' and each equipment
category-specific provision of the definition begins with the equipment
category name, followed by the word ``means,'' followed by the basic
model definition for that category (e.g., ``Computer room air
conditioners means all units . . .''). However, this wording could be
misinterpreted to read as a definition of each equipment category,
rather than as the definition of what constitutes a basic model for
each equipment category. Therefore, DOE proposes to revise the
definition to instead begin with ``Basic model means'' and then revise
each equipment category specific provision to begin with ``For'' and
replace the word ``means'' with a colon (e.g., ``For Computer room air
conditioners: all units . . .''). These proposed changes to the basic
model definition are editorial and would not change the current
understanding of what constitutes a basic model for each equipment
category.
3. Double-Duct Definition
DOE established a definition for ``double-duct air conditioner or
heat pump'' at 10 CFR 431.92 (referred to as ``double-duct air
conditioners and heat pumps'' or ``double-duct systems'') in an energy
conservation standards direct final rule published in the Federal
Register on January 15, 2016 (January 2016 Direct Final Rule). 81 FR
2420, 2529. This definition was included in a term sheet by the ASRAC
working group for commercial package air conditioners (Commercial
Package Air Conditioners Working Group) as part of the rulemaking that
culminated with the January 2016 Direct Final Rule. (See Document No.
93 in Docket No. EERE-2013-BT-STD-0007, pp. 4-5) DOE defines double-
duct systems as air-cooled commercial package air conditioning and
heating equipment that: (1) Is either a horizontal single package or
split-system unit; or a vertical unit that consists of two components
that may be shipped or installed either connected or split; (2) Is
intended for indoor installation with ducting of outdoor air from the
building exterior to and from the unit, as evidenced by the unit and/or
all of its components being non-weatherized, including the absence of
any marking (or listing) indicating compliance with UL 1995,\14\
``Heating and Cooling Equipment,'' or any other equivalent requirements
for outdoor use; (3) If it is a horizontal unit, a complete unit has a
maximum height of 35 inches; if it is a vertical unit, a complete unit
has a maximum depth of 35 inches; and (4) Has a rated cooling capacity
greater than or equal to 65,000 Btu/h and up to 300,000 Btu/h. 10 CFR
431.92.
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\14\ Underwriters Laboratory (UL) 1995, UL Standard for Safety
for Heating and Cooling Equipment (UL 1995).
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In the May 2020 ECS RFI, DOE requested comment on whether the
definitions that apply to ACUACs and ACUHPs, including double-duct
systems, require any revisions--and if so, how those definitions should
be revised. 85 FR 27941, 27945. (May 12, 2020).
In response to the May 2020 ECS RFI, Carrier recommended that DOE
review the current definitions for double-duct systems, as well as the
definition for SPVUs, asserting that the current definitions for
double-duct systems and SPVUs do not clearly delineate the two
equipment categories. Carrier stated that while double-duct systems and
SPVUs are extraordinarily similar in application, double-duct systems
have longer ductwork to bring air from outside the building to the
condensing section of the unit, whereas SPVUs must remain in close
proximately to an exterior wall. (Carrier, EERE-2019-BT-STD-0042-0013
at p. 2)
In response, DOE notes that section 3.7 of AHRI 340/360-2022 and
section 3.12 of the AHRI 1340-202X Draft specify the following
definition for double-duct systems: an air conditioner or heat pump
that complies with all of the following: (1) Is either a horizontal
single package or split-system unit; or a vertical unit that consists
of two components that can be shipped or installed either connected or
split; or a vertical single packaged unit that is not intended for
exterior mounting on, adjacent interior to, or through an outside wall;
(2) Is intended for indoor installation with ducting of outdoor air
from the building exterior to and from the unit, where the unit and/or
all of its components are non-weatherized; (3) If it is a horizontal
unit, the complete unit shall have a maximum height of 35 in. or the
unit shall have components that do not exceed a maximum height of 35
in. If it is a vertical unit, the complete (split, connected, or
assembled) unit shall have components that do not exceed maximum depth
of 35 in.; (4) Has a rated cooling capacity greater than and equal to
65,000 Btu/h and less than or equal to 300,000 Btu/h.
In comparison to DOE's definition, DOE notes the following
regarding the definition for double-duct system in section 3.7 of AHRI
340/360-2022 and section 3.12 of the AHRI 1340-202X Draft: (1) vertical
single packaged units not intended for exterior mounting on, adjacent
interior to, or through an outside wall can be classified as double-
duct systems; (2) the maximum dimensions apply to each component of a
split system; and (3) the AHRI 340/360-2022 and AHRI 1340-202X Draft
definition does not include compliance with UL 1995 as a criterion for
determining whether a model is non-
[[Page 56401]]
weatherized. For the reasons discussed in the following paragraphs, DOE
has tentatively concluded that the definition for double-duct system in
section 3.7 of AHRI 340/360-2022 and section 3.12 of the AHRI 1340-202X
Draft more appropriately classifies double-duct systems and
differentiates this equipment from other categories of commercial
package air conditioning and heating equipment.
Regarding vertical single package units, the DOE definitions for
SPVUs at 10 CFR 431.92 include models that are intended for exterior
mounting on, adjacent interior to, or through an outside wall. In the
January 2016 Direct Final Rule, DOE agreed with the exclusion of
vertical single package units from the definition for ``double-duct
system'' because SPVUs are separately regulated.\15\ 81 FR 2420, 2446
(Jan. 15, 2016). However, the exclusion of all vertical single package
units from the definition for ``double-duct system'' adopted in the
January 2016 Direct Final Rule means that vertical single package
models that do not meet the SPVU definition (i.e., are not intended for
exterior mounting on, adjacent interior to, or through an outside wall)
are not explicitly covered by the definitions for SPVUs or double-duct
systems. Because the reasoning provided in the January 2016 Direct
Final Rule was to exclude SPVUs from the double-duct definition, DOE
has tentatively concluded that vertical single package units that do
not meet the SPVU definition were inadvertently excluded from the DOE
double-duct definition. Therefore, DOE has tentatively determined that
the clarification in the AHRI 340/360-2022 definition for ``double-duct
systems'' (i.e., inclusion of vertical single package units not
intended for exterior mounting on, adjacent interior to, or through an
outside wall) is appropriate and consistent with the intent of the
Commercial Package Air Conditioners Working Group that initially
drafted the current ``double-duct system'' definition. See 81 FR 2420,
2446. (Jan. 15, 2016). This clarification also addresses Carrier's
concern that the current definitions do not clearly differentiate
double-duct systems from SPVUs.
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\15\ Specifically, DOE stated in the January 2016 Direct Final
Rule that single package vertical units are already covered under
separate standards (10 CFR 431.97(d)). As a result, to ensure that
SPVUs are not covered under the definition of double-duct equipment,
DOE agrees with the ASRAC Term Sheet recommendations that for
vertical double-duct units, only those with split configurations
(that may be installed with the two components attached together)
should be included as part of this separate equipment class.
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Regarding maximum height and depth dimensions, the revised
definition in section 3.7 of AHRI 340/360-2022 and section 3.12 of the
AHRI 1340-202X draft specifies that for systems with multiple
components, the maximum dimensions apply to each component of the unit.
Because split systems are installed separately from each other, DOE has
tentatively concluded that it is appropriate for the maximum dimensions
for split systems to apply to each component, rather than the combined
system.
Regarding determination of whether a model is non-weatherized, the
AHRI 340/360-2022 and AHRI 1340-202X Draft definition does not include
the criterion regarding the absence of any marking (or listing)
indicating compliance with UL 1995 as an indication that the unit is
intended for indoor installation. Upon examination of UL 1995, DOE
recognizes that the scope of the standard is not limited to models
intended for outdoor installation, and therefore, that compliance with
UL 1995 does not necessarily indicate that a model is intended for
outdoor installation and/or is weatherized. Therefore, DOE tentatively
agrees with removing the reference to UL 1995 in the double-duct
definition, and instead specifying that double-duct systems are
intended for indoor installation (e.g., the unit and/or all of its
components are non-weatherized).
Based on the preceding discussion, DOE has tentatively determined
that the definition for ``double-duct system'' in AHRI 340/360-2022 and
the AHRI 1340-202X Draft better implements the intent of DOE and the
Commercial Package Air Conditioners Working Group to create a separate
equipment class of ACUACs and ACUHPs that are designed for indoor
installation and that would require ducting of outdoor air from the
building exterior. 81 FR 2420, 2446 (Jan. 15, 2016). Thus, DOE is
proposing to revise the definition of double-duct air conditioners and
heat pumps in 10 CFR 431.92 to reflect the updated definition for
double-duct systems in section 3.7 of AHRI 340/360-2022 and section
3.12 of the AHRI 1340-202X Draft.
4. Metric Definitions
As mentioned in section II and discussed in further detail in
sections III.F.4 and III.F.5 of this NOPR, DOE is proposing to adopt
new cooling and heating metrics in appendix A1 (i.e., IVEC and IVHE).
Additionally, DOE is proposing three metrics for optional
representations in appendix A1, as discussed further in section III.F.3
of this NOPR: energy efficiency ratio 2 (EER2), coefficient of
performance 2 (COP2), and IVHE for colder climates (IVHEC).
Consistent with this approach, DOE is proposing to add new definitions
for the terms ``IVEC,'' ``IVHE,'' ``EER2,'' and ``COP2'' to 10 CFR
431.92. The proposed definitions describe what each metric represents,
the test procedure used to determine each metric, and specific
designations applicable to each metric (e.g., IVHEC).
C. Updates to Industry Test Standards
The following sections discuss the changes included in the most
recent updates to AHRI 340/360 and ASHRAE 37, which are incorporated by
reference in the current DOE test procedure for ACUACs and ACUHPs with
a rated cooling capacity greater than or equal to 65,000 Btu/h at 10
CFR 431.96 and 10 CFR part 431, subpart F, appendix A. AHRI 340/360 is
also incorporated by reference in the current DOE test procedure for
ECUACs and WCUACs with a rated cooling capacity greater than or equal
to 65,000 Btu/h at 10 CFR 431.96.
1. AHRI 340/360
As noted previously, DOE's current test procedures for ACUACs,
ACUHPs, and ECUACs and WCUACs with a rated cooling capacity greater
than or equal to 65,000 Btu/h incorporates by reference ANSI/AHRI 340/
360-2007. DOE's current test procedure for ECUACs and WCUACs with a
rated cooling capacity less than 65,000 Btu/h incorporates by reference
ANSI/AHRI 210/240-2008.
The most recent version of ASHRAE Standard 90.1, (i.e., ASHRAE
Standard 90.1-2022), references AHRI 340/360-2022 as the test procedure
for ACUACs, ACUHPs, and ECUACs and WCUACs with a rated cooling capacity
greater than or equal to 65,000 Btu/h. ASHRAE Standard 90.1-2022
included updates to the test procedure references for ECUACs and WCUACs
with capacities less than 65,000 Btu/h to reference AHRI 210/240-2023.
However, ECUACs and WCUACs with capacities less than 65,000 Btu/h are
outside of the scope of AHRI 210/240-2023 and are instead included in
AHRI 340/360-2022. Given these changes to the relevant industry test
standards, DOE believes that such reference was an oversight.
The following list includes substantive additions in AHRI 340/360-
2022 as compared to ANSI/AHRI 340/360-2007, which is edition referenced
in the current Federal test procedure and applies to CUACs and CUHPs:
1. A method for testing double-duct systems at non-zero ESP (see
section
[[Page 56402]]
6.1.3.7 and appendix I of AHRI 340/360-2022);
2. A method for comparing relative efficiency of indoor integrated
fan and motor combinations (IFMs) that allows CUACs and CUHPs with non-
standard (i.e., higher ESP) IFMs to be rated in the same basic model as
otherwise identical models with standards IFMs (see section D4.2 of
Appendix D of AHRI 340/360-2022);
3. Requirements for indoor and outdoor air condition measurement
(see appendix C of AHRI 340/360-2022);
4. Detailed provisions for setting indoor airflow and ESP (see
sections 6.1.3.4-6.1.3.6 of AHRI 340/360-2022) and refrigerant charging
instructions to be used in cases in which manufacturer's instructions
conflict or are incomplete (see section 5.8 of AHRI 340/360-2022); and
5. ECUACs and WCUACs with cooling capacities less than 65,000 Btu/h
are included within the scope of the standard.
As discussed, DOE is proposing to amend its test procedure for
CUACs and CUHPs by incorporating by reference AHRI 340/360-2022 in
appendix A.
2. AHRI 1340
The recommendations of the ACUAC and ACUHP Working Group TP Term
Sheet are being incorporated into an updated version of AHRI 340/360
currently being drafted (i.e., AHRI 1340-202X Draft) that will
supersede AHRI 340/360-2022.
The AHRI 1340-202X Draft includes recommendations from the ACUAC
and ACUHP Working Group TP Term Sheet described in section III.D of
this NOPR (including the IVEC and IVHE metrics). The AHRI 1340-202X
Draft also includes the following revisions and additions to the IVEC
and IVHE metrics not included in the ACUAC and ACUHP Working Group TP
Term Sheet, which are discussed in detail in sections III.F.5.a,
III.F.6, and III.F.7.a of this NOPR:
1. Detailed test instructions for splitting ESP between the return
and supply ductwork, consistent with ESP requirements recommended in
the ACUAC and ACUHP Working Group TP Term Sheet;
2. Corrections to the hour-based IVEC weighting factors included in
the ACUAC and ACUHP Working Group TP Term Sheet;
3. Correction of the equation in the ACUAC and ACUHP Working Group
TP Term Sheet for calculating adjusted ESP for any cooling or heating
tests conducted with an airflow rate that differs from the full-load
cooling airflow;
4. Addition of separate hour-based weighting factors and bin
temperatures to calculate a separate version of IVHE that is
representative of colder climates, designated IVHEC
5. Changes to the default fan power and maximum pressure drop used
for testing coil-only systems;
6. Additional instruction for component power measurement during
testing;
7. Corrections to equations used for calculating IVHE;
8. Provisions for testing with non-standard low-static indoor fan
motors; and
9. Revision to the power adder for WCUACs that reflects power that
would be consumed by field-installed heat rejection components.
In this NOPR, DOE proposes to incorporate by reference the AHRI
1340-202X Draft in its appendix A1 test procedure. AHRI Standard 1340
is in draft form and its text was provided to DOE for the purposes of
review for this NOPR. Note that the draft AHRI Standard 1340 may be
further revised, edited, delayed, or withdrawn prior to publication by
the AHRI Standards Technical Committee. If AHRI has published a final
version, DOE intends to update its incorporation by reference to the
final published version of AHRI 1340, unless there are substantive
changes between the draft and published versions, in which case DOE may
adopt the substance of the AHRI 1340-202X Draft or provide additional
opportunity for comment on the changes to the industry consensus
standard.
3. ASHRAE 37
ANSI/ASHRAE 37-2009, which provides a method of test for many
categories of air conditioning and heating equipment, is referenced for
testing CUACs and CUHPs by both AHRI 340/360-2022 and the AHRI 1340-
202X Draft. More specifically, sections 5 and 6 and appendices C, D,
and E of AHRI 340/360-2022 and sections 5 and 6 and appendices C, D,
and E of the AHRI 1340-202X Draft reference methods of test in ANSI/
ASHRAE 37-2009. DOE currently incorporates by reference ANSI/ASHRAE 37-
2009 in 10 CFR 431.95, and the current incorporation by reference
applies to the current Federal test procedure for ACUACs and ACUHPs
specified at appendix A. The current Federal test procedures at 10 CFR
431.96 for ECUACs and WCUACs do not explicitly reference ANSI/ASHRAE
37-2009. Given that DOE is proposing to expand the scope of appendix A
to include testing of ECUACs and WCUACs as well as the fact that AHRI
340/360-2022 references ANSI/ASHRAE 37-2009 for several test
instructions, DOE has tentatively concluded that it is appropriate for
the existing incorporation by reference of ANSI/ASHRAE 37-2009 in
appendix A to apply to testing ECUACs and WCUACs. Given that the AHRI
1340-202X Draft references ANSI/ASHRAE 37-2009 for several test
instructions, DOE is proposing to additionally incorporate by reference
ANSI/ASHRAE 37-2009 for use with appendix A1.
D. Consideration of the ACUAC and ACUHP Working Group TP Term Sheet
In response to the May 2022 TP/ECS RFI, DOE received comments from
several stakeholders indicating support for the formation of an ASRAC
working group to convene and discuss representative test conditions for
CUACs and CUHPs. (AHRI, EERE-2022-BT-STD-0015-0008, at pp. 1-2; CA
IOUs, EERE-2022-BT-STD-0015-0012, at pp. 1-2; Lennox, EERE-2022-BT-STD-
0015-0009, at pp. 1-2; NEEA, EERE-2022-BT-STD-0015-0013, at pp. 6-7;
Trane, EERE-2022-BT-STD-0015-0014, at p. 2)
As a result, DOE published in the Federal Register the July 2022
Notice of Intent. 87 FR 45703 (July 29, 2022). DOE then established the
Working Group in accordance with FACA and NRA. The Working Group
consisted of 14 members and met six times, while the Working Group's
subcommittee met an additional seven times. The Working Group meetings
were held between September 20, 2022, and December 15, 2022, after
which the Working Group successfully reached consensus on an amended
test procedure. The Working Group signed a term sheet of
recommendations on December 15, 2022. (See EERE-2022-BT-STD-0015-0065)
The Working Group addressed the following aspects of the test procedure
for ACUACs and ACUHPs:
1. Mathematical representation of cooling efficiency: The current
cooling metric specified by AHRI 340/360-2022 (i.e., IEER) represents a
weighted average of the measured energy efficiency ratios (EER)
measured at four distinct test conditions, whereas the proposed IVEC
metric is calculated as the total annual cooling capacity divided by
the total annual energy use, as discussed further in section III.F.4 of
this document. The Working Group agreed that this calculation approach
provides a more mathematically accurate way of representing the cooling
efficiency of ACUACs and ACUHPs compared to the current approach used
for IEER. As part of this equation format,
[[Page 56403]]
the IVEC metric also uses hour-based weighting factors to represent the
time spent per year in each operating mode.
2. Integrated heating metric: The current heating metric for ACUHPs
(i.e., COP) represents the ratio of heating capacity to the power
input, calculated at a single test condition of 47 [deg]F. COP does not
account for the performance at part-load or over the range of
temperatures seen during an average heating season, and it does not
include energy use in heating season ventilation mode. IVHE accounts
for both full-load and part-load operation at a range of typical
ambient temperatures seen during the heating season, and it includes
energy use in heating season ventilation mode. Analogous to IVEC, the
proposed IVHE metric is calculated as the total annual heating load
divided by the total annual energy use, as discussed further in section
III.F.5 of this document, and the metric also uses hour-based weighting
factors to represent the time spent per year in each operating mode.
3. Operating modes other than mechanical cooling: The IEER metric
currently does not include the energy use of operating modes other than
mechanical cooling, such as economizer-only cooling and cooling season
ventilation. The newly established IVEC metric includes the energy use
of these other modes.
4. ESP: The IVEC and IVHE metrics require increased ESPs--in
comparison to the ESPs required for determining IEER and COP--to more
accurately represent ESPs and corresponding indoor fan power that would
be experienced in real-world installations.
5. Crankcase heater operation: The current IEER metric includes
crankcase heater power consumption only when operating at part-load
compressor stages (i.e., for part-load cooling operation, crankcase
heater power is included only for higher-stage compressors that are
staged off, and it is not included for lower-stage compressors when all
compressors are cycled off). The COP metric does not include any
crankcase heater power consumption. In contrast, the IVEC and IVHE
metrics include all annual crankcase heater operation, including when
all compressors are cycled off in part-load cooling or heating,
ventilation mode, unoccupied no-load hours, and in heating season (for
ACUACs only).
6. Oversizing: The current IEER and COP metrics do not consider
that ACUACs and ACUHPs are typically oversized in field installations.
In contrast, the proposed IVEC and IVHE metrics include an oversizing
factor of 15 percent (i.e., it is assumed that the unit's measured
full-load cooling capacity is 15 percent higher than the peak building
cooling load and peak building heating load). Accounting for oversizing
is more representative of the load fractions seen in field applications
and better enables the test procedure to differentiate efficiency
improvements from the use of modulating/staged components.
Based on discussions related to these six topics, the Working Group
developed the ACUAC and ACUHP Working Group TP Term Sheet, which
includes the following recommendations:
1. A recommendation to adopt the latest version of AHRI 340/360-
2022 with IEER and COP metrics required for compliance beginning 360
days from the date a test procedure final rule publishes (See
Recommendation #0);
2. The IVEC efficiency metric, to be required on the date of
amended energy conservation standards for ACUACs and ACUHPs (See
Recommendation #1);
3. Hour-based weighting factors for the IVEC metric (See
Recommendation #2);
4. Details on determination of IVEC, including provisions for
determining IVEC in appendix B of the ACUAC and ACUHP Working Group TP
Term Sheet (See Recommendation #3);
5. Target load fractions and temperature test conditions for IVEC,
which account for oversizing (See Recommendation #4);
6. A requirement that representations of full-load EER be made in
accordance with the full-load ``A'' test (See Recommendation #5); \16\
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\16\ Similar to the current test procedure for determining IEER,
the test procedure recommended in the ACUAC and ACUHP Working Group
TP Term Sheet includes four cooling tests designated with letters
``A'', ``B'', ``C'', and ``D.'' The ``A'' test is a full-load
cooling test, while the ``B,'' ``C,'' and ``D'' tests are part-load
cooling tests.
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7. A requirement to provide representations of airflow used for the
full load ``A'' test and the part load ``D'' test (i.e., the airflow
used in the lowest-stage test for the D point), and a provision for
determining the minimum airflow that can be used for testing (See
Recommendation #6);
8. The IVHE efficiency metric (See Recommendation #7);
9. Hour-based weighting factors, load bins, and outdoor air
temperatures for each bin (i.e., temperatures used for the building
heating load line, not test temperature conditions) for the IVHE metric
(See Recommendation #8);
10. The test conditions and list of required and optional tests and
representations for the IVHE metric (See Recommendation #9);
11. Provisions for manufacturers to certify cut-in and cut-out
temperatures for heat pumps to DOE and provisions for a DOE
verification test of those temperatures (See Recommendation #10);
12. Commitment of the Working Group to analyze ventilation and fan-
only operation included in the IVEC and IVHE metrics to validate that
these metrics adequately capture fan energy use during the energy
conservation standards portion of the negotiated rulemaking. If the
IVEC and IVHE levels do not adequately drive more efficient air moving
systems that are technologically feasible and economically justified,
the Working Group committed to developing a metric addressing furnace
fan energy use (See Recommendation #11);
13. ESP requirements for the IVEC and IVHE metrics, requirements
for splitting the ESP requirements between the return and supply ducts,
and a requirement that certified airflow for full load and D bin be
made public in the DOE Compliance Certification Database (See
Recommendation #12);
14. Provisions requiring manufacturers to certify crankcase heater
wattages and tolerances for certification (See Recommendation #13); and
15. Provisions that the contents of the ACUAC and ACUHP Working
Group TP Term Sheet be implemented in a test procedure NOPR and final
rule, with the final rule issuing no later than any energy conservation
standards direct final rule. (See Recommendation #14)
E. DOE Proposed Test Procedures
As discussed, EPCA requires that test procedures for covered
equipment, including CUACs and CUHPs, be reasonably designed to produce
test results that reflect energy efficiency, energy use, and estimated
operating costs of a type of industrial equipment (or class thereof)
during a representative average use cycle (as determined by the
Secretary), and shall not be unduly burdensome to conduct. (42 U.S.C.
6314(a)(2)) DOE has tentatively determined that the recommendations
specified in the ACUAC and ACUHP Working Group TP Term Sheet are
consistent with this EPCA requirement and is proposing amendments to
the existing test procedure in appendix A and a new test procedure in
appendix A1 in accordance with the Term Sheet.
In this NOPR, DOE is proposing to maintain the current efficiency
metrics of IEER, EER, and COP in appendix A, and is proposing to
reference AHRI 340/360-2022 in appendix A for measuring the existing
metrics. Thus, the proposed
[[Page 56404]]
amendments to appendix A would not affect the measured efficiency of
CUACs and CUHPs or require retesting solely as a result of DOE's
adoption of the proposed amendments to the appendix A test procedure,
if made final. Additionally, DOE is proposing to establish a new test
procedure at appendix A1 that would adopt the AHRI 1340-202X Draft,
including the newly proposed IVEC and IVHE metrics, ideally through
incorporation by reference of a finalized version of that industry test
standard. (If a finalized version of the AHRI 1340-202X Draft is not
published before the test procedure final rule, or if there are
substantive changes between the draft and published versions of the
standard that are not supported by stakeholder comments in response to
this NOPR, DOE may adopt the substance of the AHRI 1340-202X Draft or
provide additional opportunity for comment on the final version of that
industry consensus standard.) Use of appendix A1 would not be required
until the compliance date of any amended standards denominated in terms
of the new metrics in appendix A1, should such standards be adopted.
Specifically, in appendix A, DOE is proposing to adopt the
following sections of AHRI 340/360-2022: sections 3 (with certain
exclusions \17\), 4, 5, and 6, and appendices A, C, D (excluding
sections D1 through D3 \18\), and E.
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\17\ DOE is not proposing to reference the following provisions
in section 3 of AHRI 340/360-2022 because the terms are either
defined at 10 CFR 431.92 or are not needed for the proposed DOE test
procedure: 3.2 (Basic Model), 3.4 (Commercial and Industrial Unitary
Air-conditioning Equipment), 3.5 (Commercial and Industrial Unitary
Heat Pump), 3.7 (Double-duct System), 3.8 (Energy Efficiency Ratio),
3.12 (Heating Coefficient of Performance), 3.14 (Integrated Energy
Efficiency Ratio), 3.23 (Published Rating), 3.26 (Single Package
Air-Conditioners), 3.27 (Single Package Heat Pumps), 3.29 (Split
System Air-conditioners), 3.30 (Split System Heat Pump), 3.36 (Year
Round Single Package Air-conditioners).
\18\ For reasons discussed in section III.I of this NOPR, DOE is
proposing provisions regarding configuration of unit under test at
10 CFR 429.43(a)(3)(v)(A), appendix A, and appendix A1 that are
distinct from the provisions in sections D1 through D3 of AHRI 340/
360-2022.
---------------------------------------------------------------------------
As previously mentioned in section I.B of this NOPR, DOE's test
procedure for ACUACs and ACUHPs currently specifies additional test
procedure requirements in sections 3 through 10 of the current appendix
A that are not included in ANSI/AHRI 340/360-2007 and that are related
to minimum ESP, optional break-in period, refrigerant charging, setting
indoor airflow, condenser head pressure controls, tolerance on capacity
at part-load test points, and condenser air inlet temperature for part-
load tests. Similarly, DOE's test procedure for ECUACs and WCUACs
currently specifies additional test procedure requirements in
paragraphs (c) and (e) of 10 CFR 431.96 regarding optional break-in
period and additional provisions for equipment setup. DOE has
tentatively determined that these DOE test procedure requirements that
are specified in appendix A and paragraphs (c) and (e) of 10 CFR 431.96
no longer need to be separately specified due to the addition of
equivalent provisions in AHRI 340/360-2022 and the AHRI 1340-202X
Draft. Therefore, DOE is proposing to remove these provisions from
appendix A and to revise Table 1 to 10 CFR 431.96 such that paragraphs
(c) and (e) are no longer listed as requirements for ECUACs and WCUACs,
instead utilizing the relevant provisions in AHRI 340/360-2022.
Further, in both appendix A and appendix A1, DOE is proposing to
incorporate by reference ANSI/ASHRAE 37-2009 and to utilize all
sections of that industry test method except sections 1 (Purpose), 2
(Scope), and 4 (Classifications).
Specifically for appendix A1, DOE is proposing to adopt sections of
AHRI 1340-202X Draft for measuring the IVEC and IVHE metrics, which are
generally consistent with the recommendations from the ACUAC and ACUHP
Working Group TP Term Sheet. In the proposed appendix A1, DOE is
proposing to adopt the following sections of the AHRI 1340-202X Draft:
sections 3 (with certain exclusions) 4, 5, and 6.1 through 6.3, and
appendices A, C, D (excluding D1 through D3), and E. Sections III.F.3,
III.F.4, III.F.5, and III.F.6 of this NOPR include further discussion
on the IVEC and IVHE metrics, as well as additions and revisions to the
IVEC and IVHE metrics that are included in the AHRI 1340-202X Draft but
not in the ACUAC and ACUHP Working Group TP Term Sheet. Sections
III.F.7 and III.F.6.d of this NOPR include further discussion on the
IVEC and IVHE metrics specified in the AHRI 1340-202X Draft that DOE is
proposing to adopt in appendix A1 for ECUACs, WCUACs, and double-duct
systems.
The ACUAC and ACUHP Working Group TP Term Sheet applies only to the
test procedures for ACUACs and ACUHPs excluding double-duct systems.
However, AHRI 1340-202X Draft includes additional provisions for
determining IVEC and IVHE for double-duct systems, ECUACs, and WCUACs--
indicating industry consensus that these metrics are appropriate for
these categories of CUACs and CUHPs. DOE has tentatively determined
that the test procedures for CUACs and CUHPs as proposed would improve
the representativeness of the current Federal test procedure for CUACs
and CUHPs and would not be unduly burdensome to conduct. Specifically,
DOE has tentatively concluded that testing CUACs and CUHPs (including
double-duct systems, ECUACs, and WCUACs) in accordance with the test
provisions in the most recent draft of the applicable consensus
industry test procedure AHRI 1340-202X Draft (which incorporates
recommendations of the ACUAC and ACUHP Working Group TP Term Sheet,
including adopting the new IVEC and IVHE metrics) would provide more
representative results and more fully comply with the requirements of
42 U.S.C. 6314(a)(2) than testing strictly in accordance with AHRI 340/
360-2022. Therefore, DOE is proposing to amend the test procedure for
CUACs and CUHPs to adopt in the proposed new appendix A1 the test
provisions in AHRI 1340-202X Draft and ASHRAE 37-2009.
Issue 2: DOE requests feedback on its proposal to adopt the IVEC
and IVHE metrics as determined under AHRI 1340-202X Draft in appendix
A1 of the Federal test procedure for ACUACs and ACUHPs (including
double-duct systems), ECUACs, and WCUACs.
F. Efficiency Metrics and Test Conditions
In response to the July 2017 TP RFI, May 2020 ECS RFI, and May 2022
TP/ECS RFI, DOE received comment on a number of topics related to
changing the metrics and/or test conditions used for determining CUAC
and CUHP efficiency. The following sections: (1) summarize comments
received on these topics; (2) discuss the current test conditions and
metrics in appendix A; (3) discuss the test conditions and metrics
proposed to be included in appendix A1; (4) discuss the newly proposed
IVEC metric; (5) discuss the newly proposed IVHE metric; (6) discuss
additions and revisions to the IVEC and IVHE metrics that are included
in the AHRI 1340-202X Draft but not the ACUAC and ACUHP Working Group
TP Term Sheet; and (7) discuss metrics specific to double-duct systems.
1. Comments Received on Metrics
In response to the July 2017 TP RFI, May 2020 ECS RFI, and May 2022
TP/ECS RFI, DOE received comments regarding a number of test procedure
topics. In the following subsections, DOE briefly summarizes these
topics,
[[Page 56405]]
including the corresponding comments received and DOE's responses.
DOE notes that many of the issues raised by commenters had not yet
been addressed through an industry consensus test procedure at the time
the comments were submitted to DOE. Many of these issues were raised
subsequently during the Working Group, and the newly proposed IVEC and
IVHE metrics would largely address the major concerns previously
expressed by commenters.
a. IEER Test Conditions and Weighting Factors
In the July 2017 TP RFI, DOE welcomed comment on any aspect of the
existing test procedures for CUACs and CUHPs not specifically addressed
by the RFI, particularly with regard to information that would improve
the representativeness of the test procedures. 82 FR 34427, 34448.
(July 25, 2017).
With respect to the IEER test conditions and weighting factors, the
CA IOUs suggested raising the highest ambient dry-bulb temperature test
point used for determining IEER, stating that the 95 [deg]F condition
specified in the test procedure does not reflect the conditions
experienced in the western climate and on many rooftops throughout the
country. (CA IOUs, EERE-2017-BT-TP-0018-0007 at p. 3)
Additionally, in response to the May 2020 ECS RFI, DOE received
comments and test data from Verified recommending changes to the IEER
weighting factors and indoor and outdoor air temperature test
conditions in AHRI 340/360, particularly to account for the use of
economizers (discussed further in section III.F.1.d) and changes in
climate due to global climate change. (Verified, EERE-2019-BT-STD-0042-
0011 at pp. 3-7) DOE also received comments from two individuals
supporting the statements made by Verified. (Heinemeier, EERE-2019-BT-
STD-0042-0012 at p. 1; Walsh, EERE-2019-BT-STD-0042-0018 at p. 1)
In response to the May 2022 TP/ECS RFI, DOE received several
comments regarding the weighting factors used in the IEER metric,
specifically relating to the building types considered in the current
test procedure. ASAP and ACEEE asserted that the current IEER weighting
factors should be adjusted to account for additional building types
that were not considered when initially developing IEER. (ASAP and
ACEEE, EERE-2022-BT-STD-0015-0011, at p. 2)
Carrier noted that IEER was developed using three building types
(specifically, office, retail, and school buildings) and asserted that
for an updated analysis, the 16 building types currently in ASHRAE 90.1
should be considered where applicable to ACUACs and ACUHPs. (Carrier,
EERE-2022-BT-STD-0015-0010, at pp. 14-15) Carrier also noted that it
had developed a model that outputs load profiles for the 16 ASHRAE 90.1
building types for each of the 19 global climate zones in ASHRAE 169-
2013 and was using its model to evaluate the effects of ventilation,
ASHRAE 90.1 requirements for economizer free cooling and energy
recovery, updated heating metrics, different climate zones and building
load profiles, and updated ESPs. (Carrier, EERE-2022-BT-STD-0015-0010,
at pp. 1-6)
Additionally, Carrier noted that the weighting factors developed
during the 2005 process to create IEER were based on ton-hours and not
purely on hours, noting that high-capacity hours have more weight than
the lower capacity hours in terms of energy use. (Carrier, EERE-2022-
BT-STD-0015-0010, at pp. 12-13). Carrier also explained that the
weighting for the A test condition was based on the 97-percent to 100-
percent capacity range because it would not have been appropriate to
use a larger bin with the rating condition at the extreme upper limit
of the bin. Id. Carrier recommended that if DOE were to update the
cooling metric, DOE should consider the following: (1) oversizing, (2)
re-evaluating test points and weighting factors if ventilation and
economizing are included, (3) test uncertainty at very low loads, and
(4) varying return air temperatures. Id.
AHRI stated that energy use during cooling varies based on climate
zone, building type, construction, and use, and that ASHRAE SSPC 90.1
has developed reference cities for all 19 climate zones and defined 16
reference buildings that represent 83 percent of the market. (AHRI,
EERE-2022-BT-STD-0015-0008, at p. 5)
As presented in the September 20-21, 2022, Working Group meetings,
the Working Group evaluated the weighting factors and test conditions
specified in conjunction with the newly proposed IVEC metric using the
models developed by Carrier, which include several ASHRAE 90.1 building
types and climate zones for which ACUACs and ACUHPs are installed. (See
EERE-2022-BT-STD-0015-0019, pp. 9-22) The weighting factors and their
development are further discussed in section III.F.4 of this NOPR. DOE
believes that these provisions address the issues raised by commenters
as summarized previously in this section, and proposes to adopt in
appendix A1 the adjusted IVEC weighting factors that are specified in
AHRI 1340-202X Draft and discussed in section III.F.6.a of this NOPR.
b. Energy Efficiency Metrics for ECUACs and WCUACs
For ECUACs and WCUACs of all regulated cooling capacities, DOE
currently prescribes standards in terms of the EER metric for cooling-
mode operation. 10 CFR 431.97(b); see Table 1 to 10 CFR 431.97. This
differs from ACUACs and ACUHPs with cooling capacities greater than or
equal to 65,000 Btu/h (excluding double-duct systems), for which DOE
currently prescribes energy conservation standards in terms of the IEER
metric for cooling-mode operation and in terms of COP for heating-mode
operation. 10 CFR 431.97(b); see Table 3 and Table 4 to 10 CFR 431.97.
Unlike EER, which represents the efficiency of the equipment operating
only at full load, IEER represents the efficiency of operating at part-
load conditions of 75 percent, 50 percent, and 25 percent of capacity
in addition to the efficiency at full load. The IEER metric provides a
more representative measure of energy consumption in actual operation
of CUACs and CUHPs by weighting the full-load and part-load
efficiencies with the average amount of time the equipment spends
operating at each load point. AHRI 340/360-2022 includes both the EER
and IEER metrics for ECUACs and WCUACs. ASHRAE 90.1-2019 and ASHRAE
90.1-2022 specify minimum efficiency levels for ECUACs and WCUACs in
terms of both EER and IEER.
As discussed in the July 2017 RFI, ANSI/AHRI 340/360-2007 includes
a method for testing and calculating IEER for ECUACs and WCUACs. DOE
requested comment and data on whether the IEER part-load conditions and
IEER weighting factors are representative of the operation of field-
installed ECUACs and WCUACs, and on the typical cycling losses of
field-installed ECUACs and WCUACs. 82 FR 34427, 34440 (July 25, 2017).
On this topic, AHRI, Carrier, and Goodman commented that the
weighting factors are based on building load profiles and should not
depend on equipment category. (AHRI, EERE-2017-BT-TP-0018-0011 at p.
22; Carrier, EERE-2017-BT-TP-0018-0006 at p. 8; Goodman, EERE-2017-BT-
TP-0018-0014 at p. 3) ASAP, ASE, et al. encouraged DOE to adopt IEER as
the efficiency metric for ECUACs and WCUACs, stating that ECUACs and
WCUACs spend most of their operating
[[Page 56406]]
time in part load, and that using IEER for these equipment types would
provide consistency in ratings with ACUACs and ACUHPs and better
represent performance in the field. (ASAP, ASE, et al., EERE-2017-BT-
TP-0018-0009 at pp. 4-5) In contrast, Goodman stated that the WCUAC
market is so small that there would be no value in changing the
regulated metric to IEER for such equipment. (Goodman, EERE-2017-BT-TP-
0018-0014 at p. 3)
DOE responds to these commenters as follows. In the proposed
appendix A, for ECUACs and WCUACs, DOE proposes to include both the
required EER metric and the optional IEER metric, as well as the test
procedure specified in AHRI 340/360-2022, in the DOE test procedure so
as to allow for required representations using the EER metric and
optional representations using the IEER metric. In a final
determination published in the Federal Register on July 14, 2021, DOE
discussed the potential for amended energy conservation standards for
ECUACs and WCUACs denominated in terms of IEER, but the Department
concluded that such a metric change was not warranted and ultimately
maintained the current standards denominated in terms of EER. 86 FR
37001, 37004-37005. As part of this rulemaking, DOE is proposing the
IEER provisions as an optional test procedure to allow for consistent
and comparable representations in terms of IEER when testing to
appendix A, should a manufacturer choose to make such representations.
As discussed, DOE is proposing to adopt the IVEC metric for ECUACs
and WCUACs in the proposed appendix A1, as determined in the AHRI 1340-
202X Draft. DOE has tentatively concluded that the inclusion of the
IVEC metric for ECUACs and WCUACs in AHRI 1340-202X Draft represents
industry consensus that the metric provides a representative measure of
efficiency for ECUACs and WCUACs. Section III.F.6.d of this NOPR
includes further discussion of the IVEC metric for ECUACs and WCUACs.
c. Cyclic Degradation Factor for Cooling
In section 6.2.3.2 of AHRI 340/360-2022, units that are unable to
reduce their capacity to meet one of the IEER part load rating points
(i.e., 75 percent, 50 percent, or 25 percent) are tested under steady-
state conditions at the minimum stage of compression that the unit is
able to achieve. In real-world installations, these same units would
typically operate under non-steady-state conditions because the
compressor would cycle to reduce the unit's capacity to meet the
desired cooling load. AHRI 340/360-2022 require units unable to reduce
their capacity below one of the part load rating points have the EER
for that rating point calculated using a cyclic degradation
coefficient. This degradation coefficient, which is calculated based on
the load fraction and ranges from 1 to 1.13, is included in the
denominator of the EER calculation for that rating point and is
multiplied by the sum of the compressor and condenser fan power in
order to simulate the efficiency degradation of compressor and
condenser fan cycling.
With respect to cyclic degradation, DOE received a comment in
response to the July 2017 TP RFI from the CA IOUs recommending that DOE
investigate the cyclic degradation factor in AHRI 340/360-2015 to
verify that the degradation coefficient will never exceed 1.13. (CA
IOUs, EERE-2017-BT-TP-0018-0007 at p. 2)
DOE also received a comment in response to the May 2020 ECS RFI
from Verified questioning the validity of the cyclic degradation factor
in AHRI 340/360-2019, stating that its laboratory tests found that
relative cycling losses of a 7.5-ton system were more than double the
losses for a 3-ton system. (Verified, EERE-2019-BT-STD-0042-0011 at p.
10)
While the Working Group discussed calculation methods for IVEC
during the ACUAC and ACUHP Working Group meetings, the Working Group
did not discuss any alternatives to the cyclic degradation approach
specified in AHRI 340/360-2022. Additionally, the ACUAC and ACUHP
Working Group TP Term Sheet includes the cyclic degradation calculation
method specified in AHRI 340/360-2022 as part of the IVEC metric
calculation method. At this time, DOE lacks clear and convincing
evidence to deviate from the cyclic degradation approach in AHRI 340/
360-2022 that is recommended in the ACUAC and ACUHP Working Group TP
Term Sheet and included in AHRI 1340-202X Draft. Therefore, DOE is not
proposing to adopt a cyclic degradation approach that differs from the
approach specified in these documents.
d. Economizing and Ventilation
In 2015, DOE initiated a rulemaking effort for the ASRAC Commercial
and Industrial Fans and Blowers Working Group (CIFB Working Group) to
negotiate the scope, test procedure, and standards for commercial and
industrial fans and blowers. 80 FR 17359. The CIFB Working Group issued
a term sheet with recommendations regarding the energy conservation
standards, test procedures, and efficiency metrics for commercial and
industrial fans and blowers (CIFB Term Sheet). (See Document No. 179 in
Docket No. EERE-2013-BT-STD-0006.) Recommendation #3 of the CIFB Term
Sheet identifies a need for DOE's test procedures and related
efficiency metrics for CUACs and CUHPs to more fully account for the
energy consumption of fans embedded in regulated commercial air-
conditioning equipment. (Id. at pp. 3-4) In addition, the CIFB Working
Group recommended that in the next round of test procedure rulemakings,
DOE should consider revising efficiency metrics that include energy use
of supply and condenser fans to include the energy consumption during
all relevant operating modes (e.g., auxiliary heating mode, ventilation
mode, and part-load operation). (Id.)
The Commercial Package Air Conditioners Working Group also
developed recommendations regarding fan energy use in a term sheet.
(See Document No. 93 in Docket No. EERE-2013-BT-STD-0007) The
Commercial Package Air Conditioners Working Group recommended that DOE
initiate a rulemaking with a primary focus of better representing total
fan energy use in real-world installations, including consideration of
fan operation for operating modes other than mechanical cooling and
heating.\19\ (Id. at p. 2)
---------------------------------------------------------------------------
\19\ Mechanical cooling and heating refer to a ACUAC and ACUHP
using the refrigeration cycle to cool and heat the indoor space, and
does not refer to other forms of unit operation (e.g., economizing,
ventilation, or supplemental heating).
---------------------------------------------------------------------------
As part of the July 2017 TP RFI, DOE requested comment and data on
the operation of CUAC and CUHP supply fans when there is no demand for
heating and cooling, as well as the impact of ancillary functions
(e.g., primary heating, auxiliary heating, and economizers \20\) on the
use and operation of the supply fan. 82 FR 34427, 34440.
---------------------------------------------------------------------------
\20\ An economizer is a system that enables an ACUAC or ACUHP to
supply outdoor air instead of return air from the conditioned space
in order to reduce or eliminate mechanical cooling operation in mild
or cold weather conditions. In economizer-only cooling, the indoor
fan runs to supply outdoor air to meet cooling load, but there is no
mechanical cooling operation--i.e., compressor(s) and condenser fans
do not operate.
---------------------------------------------------------------------------
In response to the July 2017 TP RFI, Carrier and AHRI commented
that fan operation in ventilation hours cannot properly be accounted
for without including economizer operation in testing. (Carrier, EERE-
2017-BT-TP-0018-0006 at p. 9; AHRI, EERE-2017-BT-TP-0018-0011 at p. 23)
AHRI and Goodman commented that manufacturers and third-party
laboratories do not currently have test
[[Page 56407]]
facilities that can accommodate testing of ACUACs and ACUHPs with
economizers operating because such testing requires air to be pulled
from the outdoor room into the indoor room. (AHRI, EERE-2017-BT-TP-
0018-0011 at p. 22; Goodman, EERE-2017-BT-TP-0018-0014 at p. 3) AHRI
further stated that because of the lack of test facilities to
accommodate this type of testing, incorporation of ventilation into an
efficiency metric is still not practical. (AHRI, EERE-2017-BT-TP-0018-
0011 at p. 23)
In the May 2022 TP/ECS RFI, DOE acknowledged a need to further
investigate the prevalence and operating hours of economizers and
ventilation. DOE requested comment and data on several issues including
the number of units installed with economizers per climate zone, the
operating hours of economizers by climate zone, and the methodology
used to determine operating hours in each cooling mode, especially
those that might contribute to the creation of a new metric.
In response to the May 2022 TP/ECS RFI, the CA IOUs, NYSERDA, and
ASAP and ACEEE commented that the current test procedure does not
account for the fan energy use outside of mechanical cooling and
heating modes. (CA IOUs, EERE-2022-BT-STD-0015-0012, at p. 2; ASAP and
ACEEE, EERE-2022-BT-STD-0015-0011, at pp. 1-2, NYSERDA, EERE-2022-BT-
STD-0015-0007, at p. 3)
Specifically, the CA IOUs recommended that DOE consider the
California 2022 Title 24 codes and standards enhancement effort for
potential solutions. (CA IOUs, EERE-2022-BT-STD-0015-0012, at p. 2)
NYSERDA recommended that DOE consider factoring in fan energy using
temperature rise provisions, further detailed in comments submitted by
NYSERDA in response to the commercial warm air furnace test procedure
NOPR published February 5, 2022 (see 87 FR 10726). (NYSERDA, EERE-2022-
BT-STD-0015-0007, at p. 3)
Regarding the distribution of installed economizers, AHRI stated
that although many economizers are field-installed, AHRI is considering
collecting data on factory-installed economizers, particularly by state
or climate zone. (AHRI, EERE-2022-BT-STD-0015-0008, at p. 5) AHRI did
not provide any such data in its comment.
ASAP and ACEEE cited AHRI data indicating that economizers are
typically installed in CUACs. ASAP and ACEEE noted that ASHRAE 90.1-
2019 requires economizers in all but one climate zone, suggesting the
importance of incorporating fan energy use during economizer only
cooling mode. (ASAP and ACEEE, EERE-2022-BT-STD-0015-0011, at pp. 1-2)
Lennox commented that its information indicates that the percentage
of CUACs and CUHPs shipped with factory installed economizers ranges
from around 30 percent to 80 percent by state, averaging around 55
percent in the U.S. (Lennox, EERE-2022-BT-STD-0015-0009, at p. 5)
Lennox noted that the total percentage is likely far higher than this
level when field-installed economizers are taken into account. Id.
Lennox also stated that its information indicates that a higher
fraction of equipment in northern climates contain economizers than in
warmer southern climates. Lennox recommended that DOE review the
standard and code requirements for where economizers are required in
order to assess the fraction of products installed with economizers in
each climate zone. Id.
Carrier commented that, based on the market distribution data used
for the ASHRAE 90.1 determination, economizers are required on
approximately 96 percent of the 16 reference buildings' weighted sales.
(Carrier, EERE-2022-BT-STD-0015-0010, at pp. 9-10)
Regarding economizer hours and methodology for determination of
hours in each bin load, AHRI stated that DOE should use the heating and
cooling load modeling used to develop IEER to understand the heating,
cooling, and economizing hours for CUACs and CUHPs. (AHRI, EERE-2022-
BT-STD-0015-0008, at p. 3)
Carrier provided data showing the hours CUACs and CUHPs spend in
economizer only, integrated economizer, and mechanical only cooling
developed as part of ASHRAE 90.1 economizer studies it has conducted.
(Carrier, EERE-2022-BT-STD-0015-0010, at p. 12) Carrier stated that the
2005 analysis performed to determine the IEER metric was based on the
mechanical cooling operation, including hours where integrated
economizers are used, but that it did not account for the benefits of
the economizer capacity. (Carrier, EERE-2022-BT-STD-0015-0010, at pp.
12-13)
In addition to distribution and operating information, DOE received
multiple recommendations in response to the May 2022 TP/ECS RFI
relating to the inclusion of economizer or ventilation data in a new
efficiency metric.
The CA IOUs stated that economizer performance is highly dependent
on the use of climate-zone appropriate controls, and that economizers
are often shipped with conservative default control settings
appropriate for warm and moist areas. (CA IOUs, EERE-2022-BT-STD-0015-
0012, at pp. 3-4) The CA IOUs asserted that including economizers in
the CUAC and CUHP energy efficiency metric would not be beneficial
because it would preempt climate-zone-dependent economizer requirements
in building codes. Id. The CA IOUs explained that economizers and their
installed controls are often sold by third parties, and that original
equipment manufacturers (OEMs) usually do not determine the method of
economizer control or quality of construction. Id. The CA IOUs stated
that DOE may need to determine if independently manufactured
economizers fall within its statutory authority and if it is feasible
to regulate them. Id. Furthermore, the CA IOUs asserted that designing
a test procedure that measures a significant difference between models
may be challenging unless the test includes operation as an integrated
economizer, in which case the difference in performance would be driven
by the unit's capacity control and turndown capability. Id.
Carrier asserted that the downside of including the ventilation
cooling hours in a new cooling metric is that it would decrease the
focus on the mechanical cooling, and that evaluation of mechanical
cooling performance was the intent of the current IEER metric.
(Carrier, EERE-2022-BT-STD-0015-0010, at pp. 9-10) Carrier requested
that if the IEER metric and test procedure are modified to include
ventilation fan power, the benefits of the economizer and also energy
recovery be included to account for the actual capabilities of such a
large application base. Id.
Based on comments received in response to the July 2017 TP RFI and
the May 2020 ECS RFI, DOE recognized in the May 2022 TP/ECS RFI a need
to further investigate fan operation during ventilation or air
circulation/filtration and economizing. Specifically, while comments
received previously had indicated the prevalence of multi-speed fans
that reduce fan speed in these operating modes, the commenters had not
indicated how the fan speed in these operating modes typically compares
to fan speed when operating at the lowest stage of compressor cooling.
Thus, in the May 2022 TP/ECS RFI, DOE sought feedback on the supply
airflow and fan power at the lowest stage of compression for variable
air volume and staged air volume fans in relation to ventilation, air
circulation, and
[[Page 56408]]
economizer-only cooling. 87 FR 31743, 31750-31751.
In response to the May 2022 TP/ECS RFI, AHRI and Lennox recommended
that DOE review ASHRAE 62.1 ``Ventilation for Acceptable Indoor Air
Quality,'' which specifies minimum ventilation rates and other measures
to achieve proper indoor air quality control in commercial buildings.
(AHRI, EERE-2022-BT-STD-0015-0008, at pp. 4-5; Lennox, EERE-2022-BT-
STD-0015-0009, at pp. 4-5) AHRI noted that ventilation rates specified
by ASHRAE 62.1 vary from 18 percent to 60 percent based on building
type. (AHRI, EERE-2022-BT-STD-0015-0008, at p. 4) AHRI also noted that
ASHRAE 90.1-2019 provides minimum requirements for the CUACs and CUHPs,
including the requirement to have two-speed fans. Id. AHRI stated that
airflow, including during ventilation, will be different for CUACs and
CUHPs if the product is multi-zone variable air volume (MZVAV), single-
zone variable air volume (SZVAV), or constant volume, and that the
relationship between fan power, airflow, and code requirements must be
considered when developing a metric change that incorporates
ventilation. (AHRI, EERE-2022-BT-STD-0015-0008, at pp. 4-5) AHRI also
stated that ventilation occurs only during occupied mode. (AHRI, EERE-
2022-BT-STD-0015-0008, at p. 5)
Lennox stated that CUAC and CUHP systems are generally designed to
meet minimum ventilation requirements in all operating modes. (Lennox,
EERE-2022-BT-STD-0015-0009, at p. 5) Lennox recommended that for the
test procedure, the airflow in ventilation-only mode be set at the same
as the airflow used at the minimum stage of capacity. Id. Lennox stated
that for economizer-only cooling, the systems are generally designed to
meet a supply air temperature setpoint, and that the supply airflow
volume is influenced by outside air temperature and/or the cooling
demand of the conditioned space to attain this setpoint. Id. Lennox
stated that the economizer-only supply airflow might not be the same as
the lowest stage of compression and can be less than the airflow at the
lowest stage of compression. Id.
Carrier stated that for ventilation-only operation, the airflow may
or may not be the same as the minimum stage of capacity, and that the
airflow depends on the controls and application, as well as the
required ventilation rate. (Carrier, EERE-2022-BT-STD-0015-0010, at p.
9) Carrier also stated that fan speeds can be higher during economizer
cooling operation. Id. Carrier noted that ASHRAE 90.1 requires
economizers to be capable of 100-percent airflow and that the maximum
economizer capacity be used before turning on the mechanical cooling of
the integrated economizer option. Id.
NEEA noted that CUAC and CUHP standard rating conditions do not
consider operating modes where ventilation air (either mixed or not
mixed with return air) is actively heated or cooled. NEEA stated that
it recognizes that the impact of certain features--including
economizers and ventilation systems--will vary depending on the amount
of ventilation air introduced by the CUAC/CUHP. NEEA described, for
example, that in 30-percent and 100-percent outside air systems, energy
recovery represents a significant opportunity for energy savings,
whereas in 0-percent outside systems, enclosure improvements or
reducing damper leakage may present the greatest opportunity for energy
savings. NEEA asserted that by only accounting for 0-percent outside
air cooling and heating modes, the current efficiency metrics give
misleading signals to manufacturers and consumers about what models
will decrease energy consumption. NEEA recommended that DOE consider
how the market categorizes CUAC and CUHP equipment and ensure that DOE
product definitions align with the market and not just what is simplest
for regulation. (NEEA, EERE-2022-BT-STD-0015-0013 at p. 6)
During negotiations for the Working Group, the Working Group agreed
not to include testing with economizers operating due to test burden
and repeatability concerns. (See EERE-2022-BT-STD-0015-0048 at pp. 55-
57) However, the Working Group agreed to include operating hours and
fan energy use associated with economizer operation (reflecting both
factory-installed and field-installed economizers). (See EERE-2022-BT-
STD-0015-0053 at pp. 9, 32) DOE and other participating stakeholders
then assessed market data of economizer distribution. Due to the wide
distribution of economizers identified through this analysis, all
caucuses agreed to include the economizer benefit and energy use in the
new integrated cooling metric--IVEC. To ensure representative
consideration of economizers in the cooling metric, the calculation for
the IVEC metric incorporates both the cooling benefit and energy use
associated with the hours of cooling contribution provided in
integrated economizing and economizer-only cooling modes. The IVEC
metric also includes the energy use associated with cooling season
ventilation operation. To determine the breakdown of hours among
economizer-only cooling, integrated economizer, mechanical cooling-
only, and cooling season ventilation operation for the IVEC metric, the
Working Group utilized the previously discussed building modeling of
several ASHRAE 90.1 building types and climate zones in which CUACs and
CUHPs are installed. DOE has tentatively determined that the proposed
inclusion of fan energy for economizing and ventilation operating modes
in the IVEC cooling metric--in conjunction with other proposed test
condition changes--addresses the concerns previously raised regarding
fan energy representation in the efficiency metric, and proposes to
adopt the IVEC metric as specified in the AHRI 1340-202X Draft.
e. External Static Pressure Requirements
In the testing of air conditioners and heat pumps, ESP requirements
simulate the resistance that the indoor fan must overcome from the air
distribution system when installed in real-world installations. Both
AHRI 210/240 (i.e., the 2008, 2017, and 2023 versions) and AHRI 340/360
(i.e., the 2007, 2015, 2019, and 2022 versions) specify minimum ESPs
for testing based on the unit's rated capacity. Minimum ESPs are
specified in Table 7 of AHRI 340/360-2022 and range from 0.10-0.20
inches of water column (in. H2O) for ACUACs and ACUHPs with
a rated cooling capacity less than 65,000 Btu/h, and range from 0.2-
0.75 in. H2O for all CUACs with cooling capacity greater
than or equal to 65,000 Btu/h. These values align with the ESP
requirements specified in the current DOE test procedure.
In 2015, the Commercial Package Air Conditioners Working Group
recommended that the energy use analysis conducted for the January 2016
Direct Final Rule should use higher ESPs than those specified in the
DOE test procedure to help better simulate real-world applications. 81
FR 2420, 2470 (Jan. 15, 2016). Specifically, the Commercial Package Air
Conditioners Working Group recommended ESPs of 0.75 and 1.25 in.
H2O, which corresponded to the ESPs used in modified
building simulations of the cooling load. Id. The ESP values
recommended by the Commercial Package Air Conditioners Working Group
did not vary with capacity. Recommendation #2 of the term sheet
developed by the Commercial Package Air Conditioners Working Group
suggested that DOE should amend the test procedure for CUACs and CUHPs
to better represent the total fan energy use
[[Page 56409]]
by considering alternative ESPs. (See Document No. 93 in Docket No.
EERE-2013-BT-STD-0007 at p. 2) Higher ESPs at the same airflow would
result in higher fan power measured during testing and would,
therefore, result in fan energy use comprising a larger fraction of
total energy use measured during the test.
In the May 2022 TP/ECS RFI, DOE sought data and comment on
representative ESPs in the field of all CUACs and CUHPs. 87 FR 31743,
31749 (May 25, 2022). NEEA provided a comment, recommending generally
that DOE establish a more representative ESP value for testing all
CUACs and CUHPs based on the previous recommendation from the
Commercial Package Air Conditioners Working Group. (NEEA, EERE-2022-BT-
STD-0015-0013 at pp. 7-8) NEEA noted that the ESP levels used by DOE
for the energy use analysis during the last energy conservation
standards rulemaking for ACUACs and ACUHPs are two to three times
higher than the required ESPs in the existing test procedure. Id. NEEA
stated that these values were more representative of units in the field
due to the ESP used in this test procedure not including the return
ductwork pressure loss, which NEEA described as significant because
many units do not include return fans. Id.
The CA IOUs supported updates to the CUAC and CUHP test procedure
to improve the representation of fan energy use, particularly by
updating the required ESPs in the test procedure. (CA IOUs, EERE-2022-
BT-STD-0015-0012 at p. 2) Specifically regarding ESPs, the CA IOUs
encouraged DOE to explore California's 2022 Title 24 codes and
standards-enhancement effort for air distribution enhancements. Id. The
CA IOUs, as well as NYSERDA and ASAP and ACEE, recommended that DOE
consider alternative ESP values more representative of units in real-
world installations. (CA IOUs, EERE-2022-BT-STD-0015-0012, at p. 2;
ASAP and ACEEE, EERE-2022-BT-STD-0015-0011, at pp. 1-2; NYSERDA, EERE-
2022-BT-STD-0015-0007, at p. 3)
AHRI and Lennox stated that CUACs and CUHPs are designed to cover a
range of ESPs, noting that big box retail stores could have an ESP of
0.5 in. H2O and that multi-story offices could exceed ESPs
of 2.0 in. H2O. (AHRI, EERE-2022-BT-STD-0015-0008 at pp. 2-
3; Lennox, EERE-2022-BT-STD-0015-0009 at p. 2) AHRI noted that the
Commercial Package Air Conditioners Working Group agreed to use 0.75
and 1.25 in. H2O for the energy conservation standards
energy use analysis. Id. AHRI stated that its members were unable to
form a consensus position on the issue of representative ESPs for CUACs
and CUHPs before the comment period ended; however, AHRI may submit
supplementary comments to DOE or a working group if one were to be
formed. (AHRI, EERE-2022-BT-STD-0015-0008 at p. 3)
Lennox stated that while its review of data was ongoing regarding a
representative ESP recommendation, it found the ESP levels used by the
Commercial Package Air Conditioners Working Group to be reasonable.
Lennox recommended that the ESPs used for testing increase according to
the capacity breaks specified in AHRI 340/360 because ESPs generally
increase with product capacity. (Lennox, EERE-2022-BT-STD-0015-0009 at
pp. 2-3) Lennox also commented the applied static pressure from ECUACs
and WCUACs did not vary from similar air source products and
recommended similar values be used for product performance comparison.
(Id. at p. 3)
Carrier stated that it agreed some adjustments to the ESPs might be
appropriate, but that several things need to be reviewed before the
ESPs are revised. Carrier also stated that ESPs can vary significantly
depending on the application. Specifically, Carrier stated that some
applications can use concentric ductwork, where ESPs are likely higher
than the current ESPs in AHRI 340/360-2022; and other applications use
variable air volume (VAV) systems, which have more extensive ductwork
and added pressure drop from terminals. Carrier stated that for larger
equipment, the applications are more complex because the equipment is
larger and ductwork design can vary based on the building design.
Carrier mentioned a general trend that static pressure and ductwork
length increase with equipment size, but also mentioned that this
depends on the building design, configuration, and system type. Carrier
stated that it is in the process of reviewing job design data and
applications and will have that data for further discussions once it is
received. Additionally, Carrier stated that performing an analysis of
the ASHRAE Standard 90.1 fan power budget addendum BO may also provide
additional insight to proper static pressure levels. (Carrier, EERE-
2022-BT-STD-0015-0010 at p. 7)
In the May 2022 RFI, DOE also sought specific data on ESPs for
ECUACs and WCUACs with cooling capacities less than 65,000 Btu/h, as
well as feedback on whether a representative ESP value for testing
would be 0.5 in H2O (as referenced for air-cooled CUACs
<65,000 Btu/h in AHRI 210/240-2023), the range of 0.10 to 0.20 in
H2O (from AHRI 340/360-2022), or alternative values. For
WCUACs with a cooling capacity of less than 65,000 Btu/h, DOE's
preliminary analysis showed that these units may typically be installed
above dropped ceilings in commercial buildings. For ECUACs with a
cooling capacity of less than 65,000 Btu/h, DOE's preliminary analysis
shows that these units are primarily marketed for residential
applications, which suggests that it may be appropriate to align the
ESP requirements for ECUACs with a cooling capacity of less than 65,000
Btu/ h with those specified for CAC/HPs in 10 CFR part 430, subpart B,
appendix M1 (appendix M1) (i.e., 0.5 in H2O for conventional
units). Therefore, DOE considered whether it was appropriate for the
same ESP requirements to be applied for both ECUACs and WCUACs with a
cooling capacity of less than 65,000 Btu/h. 87 FR 31743, 31750 (May 25,
2022).
Carrier stated that the ESPs for ECUACs and WCUACs less than 65,000
Btu/h in the field would not be much different than the average values
used for the AHRI 210/240-2023 analysis.\21\ Carrier asserted that ESP
values in the field might be lower than those ESPs, because some ECUACs
and WCUACs with a capacity less than 65,000 Btu/h are applied with
short supply ducts and no return ducts or can also be used with
concentric ducts. (Carrier, EERE-2022-BT-STD-0015-0010 at pp. 7-8)
Lennox recommended the ESP value of 0.5 in H2O from AHRI
210/240-2023 be used for ECUACs and WCUACs with cooling capacity less
than 65,000 Btu/h. (Lennox, EERE-2022-BT-STD-0015-0009 at p. 3)
---------------------------------------------------------------------------
\21\ In its comment, Carrier mentioned the ``AHRI 210/240-2003
analysis.'' Because there is no 2003 version of AHRI 210/240 and the
ESP requirements for air-cooled central air conditioners and heat
pumps with cooling capacity less than 65,000 Btu/h were updated in
AHRI 210/240-2023, DOE interprets the intent of Carrier's comment as
referring to AHRI 210/240-2023.
---------------------------------------------------------------------------
The majority of comments received in response to both the July 2017
TP RFI and May 2022 TP/ECS RFI indicate that higher ESP requirements
for testing would be more representative of all CUACs and CUHPs in the
field. The ESP requirements included in the ACUAC and ACUHP Working
Group TP Term Sheet reflect consensus among Working Group members
regarding higher ESP requirements for testing. The AHRI 1340-202X Draft
specifies provisions for determining the IVEC and IVHE metrics for
double-duct systems, ECUACs, and WCUACs, including higher ESP
requirements for testing consistent with
[[Page 56410]]
the ACUAC and ACUHP Working Group TP Term Sheet. Because the ACUAC and
ACUHP Working Group TP Term Sheet does not include provisions for
testing ECUACs and WCUACs, the term sheet does not include ESP
requirements for testing equipment with cooling capacity less than
65,000 Btu/h. The AHRI 1340-202X Draft includes an ESP requirement of
0.5 in H2O for testing ECUACs and WCUACs with cooling
capacity less than 65,000 Btu/h, which is consistent with the ESP
requirement specified in AHRI 210/240-2023 for comparable air-cooled
equipment. DOE has tentatively concluded that the ESP requirements
specified in AHRI 1340-202X Draft represent industry consensus for
testing CUACs and CUHPs and provide a more representative measure of
energy efficiency. Therefore, as discussed in sections III.F.4 and
III.F.5 of this NOPR, DOE is proposing to adopt the ESP requirements
specified in AHRI 1340-202X Draft as part of the IVEC and IVHE metrics.
f. Damper Leakage, Energy Recovery Systems, and Crankcase Heaters
In response to the May 2022 TP/ECS RFI, DOE received several
comments recommending that damper leakage, energy recovery systems, and
crankcase heaters be addressed in the test procedure for ACUACs and
ACUHPs.
NEEA recommended that DOE create a test procedure that accounts for
energy losses and gains from auxiliary components, considers energy
saved from increased enclosure insulation, and considers variation
alongside potentially incorporating CSA P.8, Thermal efficiencies of
industrial and commercial gas-fired packaged furnaces. (NEEA, EERE-
2022-BT-STD-0015-0013, at pp. 2-6) NEEA highlighted the significant
energy savings potential of heat recovery ventilation (HRV) and energy
recovery ventilation (ERV) systems. NEEA stated that its research
indicates such systems can reduce energy use by 24 percent in
commercial warm air furnaces in Northwest climate zones. Accordingly,
NEEA recommended that energy recovery be incorporated into the test
procedure and performance metric for CUACs and CUHPs. Id. With regard
to insulation, NEEA stated that while building codes such as ASHRAE
90.1 stipulate maximum damper leakage, the requirements do not apply to
the resale market, causing a significant number of units available
today to have significantly higher leakage rates than code
requirements. Id. NEEA recommended that DOE investigate the savings
potential of increased insulation and account for its benefit across
all operating modes in test procedure and efficiency metrics, as non-
conditioning operating periods are not currently accounted for. Id.
NEEA stated that its research indicates that increased enclosure
insulation can improve heating season energy savings, and that NEEA
expects there would be cooling season savings as well that are not
currently accounted for. Id. NEEA provided examples of subcomponent
performance characteristics that could be used as part of a whole box
metric approach, including AHRI 1060 for energy recovery, ANSI/AMCA
Standard 500-D-18 for damper leakage, and AHRI 1350 for evaluation of
enclosure insulation material and thickness for casing loss. Id. NEEA
recommended that DOE consider the approach implemented in CSA P.8 to
account for different outdoor air configurations, which could be
emulated to account for different percentages of ventilation air
without adding additional test burden. Id.
The CA IOUs expressed concern that energy use of equipment
components, such as crankcase heaters, is significant and not
represented in the IEER metric. (CA IOUs, EERE-2022-BT-STD-0015-0012,
at p. 6) The CA IOUs therefore recommended that off-mode and standby
energy consumption be accounted for when updating the CUAC/HP test
procedure and metric. Id.
As discussed, the Working Group assessed the impact of energy from
additional operating modes, as well as crankcase heaters and controls
power, and the metrics recommended in the ACUAC and ACUHP Working Group
TP Term Sheet include: (1) in the IVEC metric--economizer-only cooling,
cooling season ventilation mode, crankcase heat operation, and controls
power in unoccupied no-load cooling season hours; and (2) in the IVHE
metric--heating season ventilation mode, crankcase heat operation, and
controls power in unoccupied no-load heating season hours. (See EERE-
2022-BT-STD-0015-0065) Additionally, damper leakage was discussed
during the Working Group meetings, and the Working Group ultimately
voted not to address this issue in the IVEC and IVHE metrics. (See
EERE-2022-BT-STD-0015-0055, pp. 7-9) While cabinet insulation and the
effects of ERVs and HRVs were discussed during the Working Group
discussions, no proposals were made to include them in the new metrics.
All members of the Working Group voted to recommend inclusion of the
IVEC and IVHE metrics in the DOE test procedure for ACUACs and ACUHPs.
DOE has tentatively determined that the issues regarding additional
operating modes raised by commenters are adequately addressed by
provisions in the ACUAC and ACUHP Working Group TP Term Sheet, and
these provisions are also included in the AHRI 1340-202X Draft.
Further, at this time DOE lacks clear and convincing evidence to
justify proposing any deviations from the IVEC and IVHE metrics
specified in AHRI 1340-202X Draft to address damper leakage, cabinet
insulation, or ERVs and HRVs. Therefore, DOE proposes to adopt the IVEC
and IVHE metrics specified in AHRI 1340-202X Draft in appendix A1.
g. Controls Verification Procedure
In response to the May 2022 TP/ECS RFI, DOE also received several
comments regarding recommendations for a controls verification
procedure. The CA IOUs, ASAP and ACEEE, and NEEA suggested that DOE
consider a controls verification procedure (CVP) in the DOE test
procedure. (CA IOUs, EERE-2022-BT-STD-0015-0012, at p. 5; ASAP and
ACEEE, EERE-2022-BT-STD-0015-0011, at pp. 2-3; NEEA, EERE-2022-BT-STD-
0015-0013, at p. 5) Specifically, the CA IOUs recommended that DOE
consider a CVP similar to the one developed for variable refrigerant
flow multi-split systems (VRF multi-split systems) to validate that the
controls used within CUACs and CUHPs with variable speed compressors
are used effectively. (CA IOUs, EERE-2022-BT-STD-0015-0012, at p. 5)
ASAP and ACEEE stated that the CVP should include requirements for
testing under native controls to better reflect performance of
equipment in the field. (ASAP and ACEEE, EERE-2022-BT-STD-0015-0011, at
pp. 2-3) ASAP and ACEEE stated that this would mirror the CVP included
in the December 2021 test procedure NOPR for VRF multi-split systems
(See 86 FR 70644) and the native control requirement in the residential
cold climate heat pump challenge in the September 2021 specifications.
Id. NEEA recommended that DOE consider a verification procedure to test
that economizer controls operate as intended. (NEEA, EERE-2022-BT-STD-
0015-0013, at p. 5) Due to what NEEA asserted is a significant energy
savings opportunity of economizer cooling if the controls are verified,
NEEA recommended that economizers be incorporated into the efficiency
metric through a calculation-based approach. Id.
DOE notes that members from NEEA, ASAP, and the CA IOUs were
involved during the Working Group negotiations
[[Page 56411]]
and provided input on the included test procedure requirements. The
resulting ACUAC and ACUHP Working Group TP Term Sheet does not contain
any provisions for a CVP and was agreed upon by all members of the
Working Group. As such, DOE believes that the issues raised by these
stakeholders are resolved on this matter. Further, commenters did not
provide sufficient information that would justify or inform development
of a CVP for CUACs and CUHPs, and at this time, DOE lacks clear and
convincing evidence to propose any test procedure amendments that
deviate from the AHRI 1340-202X Draft to address controls verification.
h. Heating Efficiency Metric
In the May 2022 TP/ECS RFI, DOE stated that it was considering
whether incorporating heating performance at temperatures lower than 47
[deg]F would improve the representativeness of the DOE test procedure
for ACUHPs, and how such performance would differ between CUHPs with
different types of supplementary heat (e.g., electric resistance heat
and furnaces) and the climate regions in which CUHPs are typically
installed. As such, in the May 2022 TP/ECS RFI, DOE requested comment
on data relating to CUHP shipments and typical regions they are shipped
to, distribution of heating types shipped with CUHPs, and the lowest
outdoor temperatures CUHPs are expected to operate at alongside cut in
and cut out temperature data. 87 FR 31743, 31750-31753.
Carrier provided data showing the shipment-weighted market share by
building type for CUACs and CUHPs; however, Carrier noted that the
actual shipment data by building type would be best obtained from AHRI
for the whole U.S. industry. (Carrier, EERE-2022-BT-STD-0015-0010, at
p. 13)
In response to the request for comment regarding shipment data of
CUHPs, Lennox and the CA IOUs commented that the market for CUHPs is
growing alongside electrification efforts, but still represents a small
fraction of the overall CUAC and CUHP market. (Lennox, EERE-2022-BT-
STD-0015-0009, at pp. 3-4; CA IOUs, EERE-2022-BT-STD-0015-0012, at pp.
4-5) Additionally, Lennox stated that the CUHP market is primarily
concentrated in the south and southwestern regions of the country, with
the majority located in California and Arizona. Id. Lennox acknowledged
the importance of CUHP market growth and test procedure improvements
but recommended that DOE fully evaluate industry capability and
incremental burden associated with test procedure amendments to prevent
undue burden. Id.
NYSERDA noted that in an effort to decarbonize, the Climate Action
Council of New York set a 2030 goal that heat pumps should provide
space heating and cooling for 10 percent to 20 percent of commercial
space statewide, and that heat pumps should become the majority of new
purchases for space and water heating by the late 2020s. (NYSERDA,
EERE-2022-BT-STD-0015-0007, at pp. 1-2)
Carrier stated that the commercial heat pump market is generally
limited to models under 20 tons because the demand for large heat pumps
in commercial buildings is currently very small. (Carrier, EERE-2022-
BT-STD-0015-0010, at p. 8) Carrier noted that commercial load profiles
are significantly different than residential buildings, that commercial
buildings have much higher cooling loads than residential buildings,
and that commercial buildings tend to operate during the day and are
often unoccupied during the evening when temperatures are lower. Id.
In response to the request for comment regarding the distribution
of supplementary heating types shipped with CUHPs, Carrier stated that
currently, it only provides CUHPs with electric heat as backup, mostly
because the different load profiles in commercial buildings are more
cooling intensive. (Carrier, EERE-2022-BT-STD-0015-0010, at p. 8)
Carrier also stated that with the growing interest in use of heat pumps
in colder climates, it is evaluating the use of backup gas heat. Id.
Lennox stated that it does not offer CUHP products with factory-
installed supplementary electric heat and described the difficulty in
tracking field-installed electric heat accessories. (Lennox, EERE-2022-
BT-STD-0015-0009, at p. 4) Lennox noted that dual-fuel CUHP products
with factory-installed gas furnaces comprise less than 1 percent of the
CUHP and CUAC markets but could expand as CUHPs are implemented in
climates with heating capacity requirements exceeding current CUHP
abilities. Id.
In response to the request for data on the operating temperatures
for CUHPs, AHRI stated that the lowest outdoor temperatures at which
CUHPs typically operate in mechanical heating mode would be between 5
[deg]F and 15 [deg]F, and that the cut-out temperature is not dependent
on supplementary heat. (AHRI, EERE-2022-BT-STD-0015-0008, at p. 4) AHRI
stated that the purpose of supplementary heat is to provide comfort
conditions to buildings, and that a compressor cut-out temperature is
required to protect equipment. Id. Carrier stated that currently, its
CUHPs are rated to operate down to -10 [deg]F with a few limited to -5
[deg]F and 0 [deg]F, and that at these very low temperatures, auxiliary
electric heat is required. (Carrier, EERE-2022-BT-STD-0015-0010, at p.
8) Carrier also stated that currently, there is no set temperature for
mechanical heating lockout. Id. Lennox stated that industry compressor
cut-out temperatures range from over 15 [deg]F to -15 [deg]F depending
on unit design. (Lennox, EERE-2022-BT-STD-0015-0009, at p. 4) Lennox
commented that with electric heating, cut-out temperatures are
typically set to the lowest available setting, while compressor cut-out
temperature is normally more flexible and typically set to a higher
temperature with furnace supplementary heating. Id.
In addition to the data and information provided regarding specific
heat pump issues, DOE received recommendations from multiple
stakeholders regarding potential new heating efficiency metrics. The CA
IOUs encouraged DOE to adopt an updated heating metric to match the
expected increase in market share and recommended using a metric that
is representative of an average use cycle. (CA IOUs, EERE-2022-BT-STD-
0015-0012, at pp. 4-5) Additionally, the CA IOUs expressed support for
a seasonal heating metric, similar to HSPF2 for consumer heat pumps,
which could account for performance at different ambient conditions,
defrost operation, and standby modes. Id. The CA IOUs also noted that
separate product categories could also be considered, such as for cold-
climate CUHPs. Id.
NYSERDA stated that a heating efficiency metric could utilize
heating-specific weighting factors similar to those used in the
approach for IEER calculations and could take into account heating mode
tests at all three conditions, alongside proposing two new required
test conditions. (NYSERDA, EERE-2022-BT-STD-0015-0007, at pp. 1-2)
NYSERDA also recommended the new metric utilize fractional heating bin
hours for a representative region, and account for the typical load
profiles for the 16 DOE commercial prototype buildings. Id.
Lennox asserted that reasonably designed test procedure amendments
could encourage CUHP product improvements in low temperature
performance and accelerate market expansion. (Lennox, EERE-2022-BT-STD-
0015-0009, at p. 4)
Specifically, NYSERDA, the CA IOUs, and ASAP and ACEEE supported an
update to the CUHP heating metric to
[[Page 56412]]
account for performance under 17 [deg]F and 5 [deg]F ambient
conditions. (NYSERDA, EERE-2022-BT-STD-0015-0007, at pp. 1-2; CA IOUs,
EERE-2022-BT-STD-0015-0012, at p. 4; ASAP and ACEEE, EERE-2022-BT-STD-
0015-0011, at p. 1) All three groups recommended that DOE incorporate a
test at 5 [deg]F as an optional test condition. Id. The CA IOUs also
recommended accounting for defrost performance, and that DOE track the
development of ASHRAE RP-1831 ``Validation of a Test Method for
Applying a Standardized Frost Load on a Test Evaporator in a Test
Chamber with an Operating Conditioning System'' to consider whether it
can help the development of a test procedure that incorporates defrost
performance. (CA IOUs, EERE-2022-BT-STD-0015-0012, at p. 4)
Carrier stated that it is not aware of how many test laboratories
in the United States have the capabilities of testing on ACUHPs at low
ambient conditions. (Carrier, EERE-2022-BT-STD-0015-0010, at p. 9)
Carrier asserted that if DOE were to require testing at lower ambient
conditions for ACUHPs, manufacturers and third-party labs may be
required to invest substantial capital in psychrometric room upgrades.
Id.
During the Working Group ASRAC negotiations, extensive discussions
were held and analyses were conducted on improving the
representativeness of the heating metric for ACUHPs by creating a
seasonal metric. As a result of these discussions and analyses, Working
Group members reached consensus on the IVHE metric to better represent
ACUHP energy use across a range of operation conditions, and specified
test conditions and procedures for determining IVHE in the ACUAC and
ACUHP Working Group TP Term Sheet. The tests for determining IVHE
include required and optional tests at varying load levels (i.e., full-
load, part-load, and for variable-speed equipment, boost compressor
speed) and outdoor air dry-bulb temperatures (specifically 47 [deg]F,
17 [deg]F, and 5 [deg]F). The IVHE metric also accounts for defrost
operation by including a defrost degradation coefficient for low-
temperature operation (less than 40 [deg]F). DOE has tentatively
determined that the IVHE metric included in the ACUAC and ACUHP Working
Group TP Term Sheet and the AHRI 1340-202X Draft addresses concerns
raised by commenters, and as discussed further in section III.F.5 of
this NOPR, DOE is proposing to adopt the IVHE metric as specified in
the AHRI 1340-202X Draft in appendix A1.
2. Test Conditions Used for Current Metrics in Appendix A
As discussed, DOE proposes to update the current test procedure for
CUACs and CUHPs (which DOE proposes to specify for ACUACs and ACUHPs,
ECUACs, and WCUACs in appendix A) to reference the updated industry
test standard AHRI 340/360-2022 and retain the current metrics for
CUACs and CUHPs. AHRI 340/360-2022 designates certain test conditions
for test procedures characterized as ``standard rating tests'' and
certain other test conditions for test procedures characterized as
``performance operating tests.'' The ``standard rating tests'' are used
for determining representations of cooling capacity, heating capacity,
and cooling and heating efficiencies. The ``performance operating
tests'' evaluate other operating conditions, such as ``maximum
operating conditions'' (see section 8 of AHRI 340/360-2022), which DOE
is not proposing to include in the DOE test procedure. Specifically,
Table 6 of AHRI 340/360-2022 specifies test conditions for standard
rating and performance operating tests for CUACs and CUHPs. The
relevant conditions for EER and IEER cooling tests are those referred
to as ``standard rating conditions'' in AHRI 340/360-2022. To clarify
this distinction, DOE proposes to specify explicitly in section 3 of
appendix A that the cooling test conditions used for representations as
required under the DOE regulations are: (1) for equipment subject to
standards in terms of EER, the ``Standard Rating Conditions, Cooling''
conditions specified in Table 6 of AHRI 340/360-2022; and (2) for
equipment subject to standards in terms of IEER, the ``Standard Rating
Conditions, Cooling'' and ``Standard Rating Part-Load Conditions
(IEER)'' conditions specified in Table 6 of AHRI 340/360-2022.
For heating mode tests of CUHPs, Table 6 of AHRI 340/360-2022
includes ``Standard Rating Conditions'' for both a ``High Temperature
Steady-state Test for Heating'' and a ``Low Temperature Steady-state
Test for Heating'' (conducted at 47 [deg]F and 17 [deg]F outdoor air
dry-bulb temperatures, respectively). To clarify which conditions are
applicable for representations as required under the DOE regulations,
DOE proposes to specify explicitly in section 3 of appendix A that the
heating test conditions used for compliance are the ``Standard Rating
Conditions (High Temperature Steady-state Heating)'' conditions
specified in Table 6 of AHRI 340/360-2022. Further, DOE proposes to
also include the low-temperature (i.e., 17 [deg]F) heating test
condition specified in Table 6 of AHRI 340/360-2022 (referred to as
``Low Temperature Steady-state Heating'') in the proposed test
procedure and specify in section 3 of appendix A that representations
of COP at this low-temperature heating condition are optional.
3. Test Conditions Used for New Metrics in Proposed Appendix A1
As discussed, DOE is proposing to include the new test procedure
recommended in the ACUAC and ACUHP Working Group TP Term Sheet and
included in the AHRI 1340-202X Draft in a new appendix A1. This
proposal includes adopting the new IVEC and IVHE metrics discussed in
sections III.F.4 and III.F.5 of this NOPR.
The AHRI 1340-202X Draft designates certain test conditions for
test procedures characterized as ``standard rating tests'' and certain
other test conditions for test procedures characterized as
``performance operating tests.'' The ``standard rating tests'' are used
for determining representations of cooling capacity, heating capacity,
and cooling and heating efficiencies. The ``performance operating
tests'' evaluate other operating conditions, such as ``maximum
operating conditions'' (see section 8 of AHRI 1340-202X Draft), which
DOE is not proposing to include in the DOE test procedure at appendix
A1. Specifically, Table 7 of AHRI 1340-202X Draft specifies test
conditions for standard rating and performance operating tests for
CUACs and CUHPs. The relevant test conditions for IVEC tests, as well
as EER2 representations, are those referred to as ``standard rating
conditions'' in the AHRI 1340-202X Draft. To clarify this distinction,
DOE proposes to specify explicitly in section 3 of appendix A1 that the
cooling conditions used for representations as required under the DOE
regulations are the ``Standard Rating Conditions, Cooling'' and
``Standard Rating Part-Load Conditions (IVEC)'' specified in Table 7 of
AHRI 1340-202X Draft. Additionally, DOE proposes to include provisions
for optional representations of EER2.
For heating mode tests of ACUHPs, Table 7 of the AHRI 1340-202X
Draft includes ``Standard Rating Conditions, Heating'' for three
outdoor temperature conditions at 47 [deg]F, 17 [deg]F, and 5 [deg]F.
Additionally, the table includes ``Standard Rating Part-Load Conditions
(IVHE),'' which includes optional part load conditions for rating units
with the IVHE metric. The required test conditions for IVHE
representations are the ``Standard Rating Conditions Heating'' at 47
[deg]F and 17 [deg]F. The optional test conditions for IVHE
[[Page 56413]]
representations are the ``Standard Rating Conditions Heating'' at 5
[deg]F and ``Standard Rating Part-Load Conditions (IVHE)''. To clarify
this, DOE proposes to specify explicitly in section 3 of appendix A1
that the heating conditions used for representations as required under
the DOE regulations are the ``Standard Rating Conditions Heating'' at
47 and 17 [deg]F specified in Table 7 of AHRI 1340-202X Draft. Further,
DOE proposes to also include the 5 [deg]F heating test condition as
well as the part load test conditions specified in Table 7 of AHRI
1340-202X Draft (referred to as ``Standard Rating Conditions Heating (5
[deg]F ambient)'' and ``Standard Rating Part-Load Conditions (IVHE)''
respectively) in the proposed test procedure and specify in section 3
of appendix A1 that testing to the low-temperature heating conditions
and the part load conditions are optional for representations of IVHE.
Additionally, DOE proposes to include provisions for optional
representations of COP247, COP217, and
COP25 at the 47, 17, and 5 [deg]F heating test conditions
previously discussed.
4. IVEC
The following section provides a summary of the development and
final recommendations regarding the IVEC cooling metric proposals in
the ACUAC and ACUHP Working Group TP Term Sheet and DOE's corresponding
proposals for inclusion in the appendix A1 test procedure.
As discussed, for the newly proposed cooling metric, the Working
Group determined to modify the climate zones and building types
accounted for in the test procedure compared to those included in the
current DOE test procedure. To do so, the Working Group utilized hour-
based weighting factors. To develop these weighting factors, members of
the Working Group used building modeling developed by Carrier that was
based on 10 ASHRAE 90.1 building prototypes across all U.S. climate
zones. (See EERE-2022-BT-STD-0015-0019) This resulted in hour-based
weighting factors, which are provided in Recommendation #2 of the ACUAC
and ACUHP Working Group TP Term Sheet.
The ACUAC and ACUHP Working Group concluded that including
economizer-only cooling and cooling season ventilation operating modes
in a seasonal cooling metric would improve the representativeness for
ACUACs and ACUHPs. Appendix B of the ACUAC and ACUHP Working Group TP
Term Sheet provides the recommended calculation method for the IVEC
method and includes sections specifying the methods for including
ventilation and economizer-only cooling operation in the calculation of
IVEC.
As discussed in section III.F.1.e of this NOPR, the Working Group
also considered ESP requirements for the newly proposed IVEC and IVHE
metrics. Stakeholders indicated the need for higher ESP requirements to
improve representativeness of field performance. Additionally,
stakeholders discussed the importance of maintaining uniformity in
testing of units at higher ESP conditions. (See EERE-2022-BT-STD-0015-
0062 at p. 11) The ESP requirements agreed to by the Working Group are
provided in Recommendation #12 of the ACUAC and ACUHP Working Group TP
Term Sheet and include the following:
1. Higher ESP requirements for testing: As discussed previously,
the minimum ESP conditions recommended by the Working Group are
provided in Table III.1.
Table III.1--Minimum ESP Requirements for IVEC and IVHE Recommended by
the ACUAC and ACUHP Working Group
------------------------------------------------------------------------
ESP (in
Rated cooling capacity H2O)
------------------------------------------------------------------------
>=65 and <135 kBtu/h........................................ 0.75
>=135 and <240 kBtu/h....................................... 1.0
>=240 and <280 kBtu/h....................................... 1.0
>=280 and <760 kBtu/h....................................... 1.5
------------------------------------------------------------------------
2. Economizer pressure drop: ASHRAE 90.1-2022 requires the use of
economizers for comfort cooling applications for almost all U.S.
climate zones. The analysis conducted by Carrier in support of the
Working Group indicates that over 96 percent of buildings require the
use of economizers. Economizers installed in CUACs and CUHPs add
internal static pressure that the indoor fan has to overcome, even when
the economizer dampers are closed. The current DOE test procedure does
not require the installation of an economizer on a tested unit, and DOE
is aware that manufacturers generally do not test CUACs and CUHPs with
economizers installed. The ESP requirements specified by the current
DOE test procedure are the same regardless of whether a unit is tested
with or without an economizer. As such, testing a unit without an
economizer does not reflect the total static pressure that would be
experienced in the field for installations that require the use of an
economizer. In order to better represent the fan power of ACUACs and
ACUHPs that are typically installed with economizers, the Working Group
recommended that for all units tested without an economizer installed,
0.10 in. H2O shall be added to the full load ESP values
specified in Table III.1.
3. Return and supply static split requirements: Test procedures for
CUACs and CUHPs include ESP requirements that reflect the total ESP
applied within the return and supply ductwork of the test setup. The
current Federal test procedure does not specify requirements for how
ESP is distributed during testing (i.e., the relative contribution from
return ductwork versus supply ductwork). Given the recommendation to
increase the required ESP levels for testing (as discussed in section
III.F.1.e of this document), the Working Group concluded that the
higher ESP conditions could cause variability in test results if the
distribution of ESP between return ductwork and supply ductwork were
not specified in the revised test procedure. To ensure repeatable and
reproducible testing conditions for CUAC and CUHP units, the Working
Group recommended specifying that ESP requirements be split with 25
percent applied in the return ductwork and the remaining 75 percent
applied in the supply ductwork. The Working Group further recommended
that the fraction of ESP applied in the return ductwork shall have a -
5/+0 percent tolerance (i.e., the return static must be within 20 to 25
percent of the total ESP) for the full-load cooling test. In a case
where there is no additional restriction on the return duct and more
than 25 percent of the ESP is already applied in the return ductwork
without a restriction, then greater than 25 percent ESP in the return
ductwork would be allowed. Once set for the full-load cooling test,
these restriction settings shall remain unchanged for the other cooling
and heating tests conducted.
To incorporate the various changes involved in testing requirements
and weighting factors already discussed, the Working Group created the
IVEC metric provided in Recommendation #1 with further specifications
in appendix B of the ACUAC and ACUHP Working Group TP Term Sheet. The
IVEC metric is essentially a summation formula analogous to the
seasonal energy efficiency ratio 2 (SEER2) metric designated for
residential central air conditioner (CAC) equipment. (See appendix M1
to subpart B of part 430 ``Uniform Test Method for Measuring the Energy
Consumption of Central Air Conditioners and Heat Pumps'') Specifically,
the IVEC metric is calculated by dividing the total annual
[[Page 56414]]
cooling capacity by the total annual energy use. Key aspects
encompassed in the proposed IVEC metric include the following:
1. Accounting for energy consumed in different modes: The IVEC
metric includes energy use during mechanical cooling, integrated
mechanical and economizer cooling, economizer-only cooling, cooling
season ventilation, unoccupied no-load hours, and heating season
operation of crankcase heat (for CUACs only). Appendix B of the ACUAC
and ACUHP Working Group TP Term Sheet specifies instructions for
determining energy consumption during each mode.
2. Testing parameters: The ACUAC and ACUHP Working Group TP Term
Sheet further specifies instructions in appendix B for the mechanical
cooling tests at each target mechanical load. These methodologies and
tolerances mirror those specified in AHRI 340/360-2022, including a 3-
percent tolerance on the target mechanical load for part-load tests,
and in cases when the target mechanical load cannot be met within
tolerance, instructions for using interpolation and cyclic degradation
to determine the performance at the target test point.
3. Target load percentages: Recommendation #4 of the ACUAC and
ACUHP Working Group TP Term Sheet includes target conditions for
testing, including load percentages for testing units at part-load
conditions. For each bin, the specified target load percent (% Loadi)
reflects the average load as a percentage of the full-load capacity for
that bin met by using all modes of cooling, and is used for determining
total annual cooling provided in the numerator of the IVEC equation.
The target mechanical load percent (% Loadi, mech) is the average load
for each bin met only through mechanical cooling (i.e., mechanical-only
cooling and the mechanical portion of integrated mechanical and
economizer cooling) and is the target load fraction used for the part-
load cooling test for each bin.
As mentioned, the IVEC metric includes the annual operation of
crankcase heaters for CUACs and CUHPs. Appendix B of the ACUAC and
ACUHP Working Group TP Term Sheet further specifies the accounting of
crankcase heater energy consumption in each operating mode.
Recommendation #2 of the ACUAC and ACUHP Working Group TP Term Sheet
specifies hour-based weighting factors to account for crankcase heat
operation in unoccupied no-load cooling season hours for CUACs and
CUHPs as well as heating season hours for CUACs. Appendix B of the
ACUAC and ACUHP Working Group TP Term Sheet also specifies that for
part-load cooling tests, crankcase heat is accounted for in power
measurements of higher stage compressors that are staged off during
testing, while crankcase heat operation of lower-stage compressors when
cycled off as well as crankcase heat operation in other operating modes
is calculated using the certified crankcase heater power.
The IVEC metric also accounts for a 15-percent oversizing factor.
Accordingly, the target load percentages specified in Recommendation #4
include this 15 percent oversizing factor. Additionally, the A test
condition is excluded from the IVEC calculation; however, the A test is
still a required test point for determining full load capacity.
IVEC includes outdoor and return air dry-bulb and wet-bulb test
temperatures that differ from those used in the current test procedure
for determining IEER, as shown in Table III.2.
Table III.2--IEER and IVEC Test Temperatures
----------------------------------------------------------------------------------------------------------------
IEER test conditions IVEC test conditions
---------------------------------------------------------------------------
Return air Return air
Test point Outdoor air dry temperature (dry Outdoor air dry temperature (dry
bulb temperature bulb/wet bulb) bulb temperature bulb/wet bulb)
([deg]F) ([deg]F) ([deg]F) ([deg]F)
----------------------------------------------------------------------------------------------------------------
A................................... 95 80/67 95 80/67
B................................... 81.5 80/67 85 77/64
C................................... 68 80/67 75 77/64
D................................... 65 80/67 65 77/64
----------------------------------------------------------------------------------------------------------------
The IVEC metric also limits the minimum airflow that can be used
for testing. This minimum airflow limit calculation method is based on
the average ventilation rate determined in building modeling performed
to develop IVEC and is a function of the full-load cooling capacity.
Unlike AHRI 340/360-2022 (see section 6.1.3.4.5), the provisions for
determining IVEC do not specify separate test provisions for setting
airflow during part-load tests of MZVAV units. Rather, the part-load
airflow used for testing all CUACs and CUHPs would be based on the
certified part-load cooling airflow.
Based on the discussions in the Working Group, DOE understands that
the changes recommended for the IVEC metric are intended to result in
an efficiency metric that is more representative of CUAC and CUHP
operation. Therefore, DOE tentatively agrees with the approach
recommended by the Working Group and is proposing to adopt the IVEC
metric in appendix A1 as specified in the AHRI 1340-202X Draft
(including the provisions discussed in section III.F.6 of this NOPR
that were not included in the ACUAC and ACUHP Working Group TP Term
Sheet).
5. IVHE
The following section provides a summary of the development and
final recommendations regarding the IVHE heating metric specified in
the ACUAC and ACUHP Working Group TP Term Sheet.
The IVHE metric specified in the ACUAC and ACUHP Working Group TP
Term Sheet differs from the COP heating efficiency metric specified in
the current DOE test procedure through the inclusion of heating season
operating modes not currently accounted for, a combined seasonal
performance metric rather than individual ratings at specific
temperature conditions, and additional optional test conditions. In
alignment with the development of the IVEC metric described in section
III.F.4 of this NOPR, the Working Group determined to utilize hour-
based weighting factors to account for heating loads across more
building types and climate zones than are included in the current DOE
test procedure. The building heating load lines and hours developed for
the IVHE metric rely on a similar ASHRAE 90.1 building and climate zone
analysis as the one conducted for the IVEC metric development.
Additionally, in developing the heating load line that the hour-based
weighting factors rely on,
[[Page 56415]]
the Working Group utilized the previously discussed 15-percent
oversizing factor and assumed a heat to cool ratio of 1 as outlined in
Recommendation #8 (i.e., assumed the peak building cooling load equals
the peak building heating load).
The heating rating requirements recommended in the ACUAC and ACUHP
Working Group TP Term Sheet include several distinct provisions
regarding testing requirements from the existing DOE test procedure. In
the current DOE test procedure, CUHPs are required to be tested only at
a 47 [deg]F full-load condition to generate a COP rating.
Recommendation #9 of the ACUAC and ACUHP Working Group TP Term Sheet,
however, introduces several provisions with significant differences
from the existing DOE test procedure. First, the recommendation
includes required testing at 47 [deg]F and 17 [deg]F full load
conditions, aligning with those previously specified in AHRI 340/360-
2022. Additionally, the recommendation introduces optional part load
test conditions at both 47 [deg]F and 17 [deg]F temperature conditions
as well as test conditions for optional testing at a 5 [deg]F full load
condition. Finally, the recommendation includes test requirements for
optional boost tests at the 17 [deg]F and 5 [deg]F test conditions for
variable speed units. Additionally, the IVHE metric incorporates two
operating modes previously excluded from the DOE test procedure:
heating season ventilation mode and supplemental electric resistance
heat operation. Lastly, the IVHE test conditions rely on the same ESP
requirements per capacity bin as those specified for IVEC, as detailed
in Recommendation #12. The airflow provisions pertaining to IVEC
mentioned in section III.F.4 of this NOPR (i.e., a limit on minimum
airflow used for testing and no separate test provisions for MZVAV
units) apply to the test provisions for the IVHE metric as well.
The results from optional and required testing as well as the newly
included operating modes are included in the calculation of the IVHE
metric utilizing the weighting factors outlined in Recommendation #8
and calculation methods from appendix C of the ACUAC and ACUHP Working
Group TP Term Sheet. The calculation methods for IVHE that implement
these changes are further detailed in the paragraphs that follow.
The IVHE metric includes contributions from both mechanical and
resistance heating to meet building heating load. Similar to the IVEC
calculation approach, the IVHE metric is calculated by dividing the
total annual building heating load by the total annual energy use.
Recommendations #8, #9 and #10, as well as appendices B and C of
the ACUAC and ACUHP Working Group TP Term Sheet, provide the
calculation methods for the IVHE metric. The proposed hour-based
weighting factors and bin temperatures for IVHE are included in
Recommendation #8 of the ACUAC and ACUHP Working Group TP Term Sheet,
which specifies 10 distinct load-based bins alongside weighting factors
for heating season ventilation and operation of crankcase heat in
unoccupied no-load heating season hours. The calculation methods
outlined for the IVHE metric in the ACUAC and ACUHP Working Group TP
Term Sheet are specified as the following:
1. Building load calculation: Recommendation #8 includes the
calculation method for the building load in each load bin based on the
measured full-load cooling capacity.
2. Interpolation between temperatures: Appendix C of the ACUAC and
ACUHP Working Group TP Term Sheet specifies interpolation instructions
for the various test temperatures specified in Recommendation #8.
Interpolation instructions are specified for bins with temperatures
between 17 [deg]F and 47 [deg]F. Appendix C also includes the following
instructions for bins with temperatures less than 17 [deg]F: (1)
interpolation instructions to be used if the optional 5 [deg]F test is
conducted, and (2) extrapolation instructions utilizing the 47 [deg]F
and 17 [deg]F test data to be used if the 5 [deg]F test is not
conducted.
3. Determination of heating stage, auxiliary heat, and cyclic
degradation: For load bins in which the calculated building load
exceeds the highest-stage mechanical heating capacity determined for
the bin temperature, appendix C of the ACUAC and ACUHP Working Group TP
Term Sheet includes calculation methods for determining the power
required by auxiliary resistance heat and is included in the overall
IVHE calculation. For load bins in which the calculated building load
is lower than the lowest-stage mechanical heating capacity determined
for the bin temperature, appendix C of the ACUAC and ACUHP Working
Group TP Term Sheet includes calculation methodology for calculating
power and incorporating cyclic degradation with a cyclic degradation
factor of 0.25. This cyclic degradation methodology is consistent with
the methodology specified in appendix M1 to subpart B of 10 CFR part
430 for residential central heat pumps. For load bins in which the
calculated building load is in between the lowest-stage and highest-
stage mechanical heating capacities determined for the bin temperature,
appendix C of the ACUAC and ACUHP Working Group TP Term Sheet includes
calculations for determining power based on interpolation between
performance of mechanical heating stages.
4. Defrost degradation: The capacity calculations for all load bins
with temperatures less than 40 [deg]F include a defrost degradation
coefficient, with calculations specified in appendix C of the ACUAC and
ACUHP Working Group TP Term Sheet.
5. Cut-out factor: Recommendation #10 of the ACUAC and ACUHP
Working Group TP Term Sheet specifies that manufacturers will certify
cut-in and cut-out temperatures, or the lack thereof, to DOE to ensure
resistance-only operation is included at temperatures below which
mechanical heating would not operate. This restriction is implemented
in calculations through a cut-out factor included in appendix C. DOE is
not proposing to amend the certification or reporting requirements for
ACUHPs in this NOPR to require reporting cut-in and cut-out
temperatures. Instead, DOE may consider proposals to amend the
certification and reporting requirements for this equipment under a
separate rulemaking regarding appliance and equipment certification.
6. Crankcase heater power contribution: In alignment with the
inclusion of crankcase heater power contribution in IVEC, appendix C of
the ACUAC and ACUHP Working Group TP Term Sheet specifies a method for
incorporating crankcase heat power for all heating season operating
modes for ACUHPs. Specifically, for part-load heating tests, crankcase
heat is accounted for in power measurements of higher stage compressors
that are staged off during testing, while crankcase heat operation of
lower-stage compressors when cycled off as well as crankcase heat
operation in other operating modes is calculated using the certified
crankcase heater power.
Based on participation in the Working Group, DOE understands that
the changes recommended for the IVHE metric are intended to result in
an efficiency metric that is more representative of CUHP operation. As
discussed, DOE tentatively agrees with the approach recommended by the
Working Group and is proposing to adopt the IVHE metric in appendix A1,
as specified in the AHRI 1340-202X Draft (including the provisions
discussed in section III.F.6 of this NOPR
[[Page 56416]]
that were not included in the ACUAC and ACUHP Working Group TP Term
Sheet).
a. IVHE for Colder Climates
While stakeholder comments received (as discussed in section
III.F.1.h) indicate that the majority of current CUHP shipments are
concentrated in the south and southwestern regions of the country, it
is likely that in the future manufacturers will develop CUHPs that are
designed for operation in colder climates, and correspondingly that the
market for CUHPs in colder climates is expected to grow. Because the
IVHE metric is based on the US national average climate across all US
climate zones, the lowest bin temperature for calculating IVHE is 15.9
[deg]F, and a small fraction of heating hours are at colder
temperatures (i.e., 19 percent of heating hours are in a load bin with
a temperature colder than 32 [deg]F, and less than 1 percent of heating
hours are in a load bin with a temperature colder than 17 [deg]F).
As a result, the AHRI 1340-202X Draft includes provisions,
including weighting factors and temperature bins, for calculating a
colder climate-specific IVHE metric, designated as IVHEC,
which are distinct from the provisions used for IVHE. Specifically,
IVHEC was developed using the same building heating analysis
that was used to develop IVHE (as discussed in section III.F.5 of this
NOPR), but the IVHEC weighting factors and load bins were
developed using the results for climates zones 5 and above (i.e.,
climate zone 5 as well as all climate zones colder than climate zone
5), weighted by the share of the US population in each of those climate
zones. The use of only climate zones 5 and colder for IVHEC
results in the following, compared to IVHE: lower outdoor dry-bulb
temperature for each load bin, more heating season hours in all load
bins, and a higher heating season building load. Specifically, for
IVHEC, 56 percent of heating hours are in a load bin with a
temperature colder than 32 [deg]F, and 12 percent of heating hours are
in a load bin with a temperature colder than 17 [deg]F. Further,
because the defrost degradation coefficients specified in appendix C of
the ACUAC and ACUHP Working Group TP Term Sheet depend on the outdoor
temperature for each load bin (and IVHEC has colder bin
temperatures than IVHE), the AHRI 1340-202X Draft also specifies
separate defrost degradation coefficients for calculating
IVHEC. The temperatures and hours for each load bin for
calculating IVHE and IVHEC can be found in section 6.3.2 of
the AHRI 1340-202X Draft.
Given the potential for the development of CUHPs designed for
operation in colder climates and the expected increased number of
shipments of CUHPs into colder climates, DOE recognizes the utility in
having CUHP ratings for a separate IVHE metric that is specific to
colder climates. Correspondingly, DOE has tentatively concluded that
the IVHEC metric as specified in the AHRI 1340-202X Draft is
more representative of field conditions for CUHPs installed in colder
US climates. Therefore, DOE is proposing to adopt provisions for
determining the IVHEC metric in appendix A1 via reference to
the AHRI 1340-202X Draft, and to allow for optional representations of
IVHEC for CUHPs. Specifically, DOE is proposing that IVHE
would be the regulated metric when testing to appendix A1; therefore,
should DOE adopt amended standards for CUHPs in terms of IVEC and IVHE,
all CUHPs would be required to certify compliance with IVHE standards,
and additional representations of IVHEC would be optional.
6. Additions and Revisions to the IVEC and IVHE Metrics Not Included in
the Term Sheet
AHRI 1340-202X Draft includes several provisions regarding the new
IVEC and IVHE metrics that are not included in the ACUAC and ACUHP
Working Group TP Term Sheet. DOE notes that the ACUAC and ACUHP Working
Group TP Term Sheet includes provisions to allow changes to the
proposals in the term sheet if mistakes in the original recommendations
are identified through further analysis or discussion between
stakeholders. (See EERE-2022-BT-STD-0015-0065, Recommendations #2, #8,
#11) Further, the AHRI 1340-202X Draft includes a number of additional
test provisions that DOE has tentatively concluded are consistent with
the intent of the ACUAC and ACUHP Working Group TP Term Sheet, but
provide additional guidance for determining IVEC and IVHE. As
discussed, DOE is proposing to adopt AHRI 1340-202X Draft for
determining IVEC and IVHE in appendix A1, including these additional
provisions not specified in the ACUAC and ACUHP Working Group TP Term
Sheet. The following sections discuss these provisions in further
detail.
a. Cooling Weighting Factors Adjustment
Subsequent to the development of the ACUAC and ACUHP Working Group
TP Term Sheet, additional analysis of the building models used to
develop the weighting factors for the IVEC metric indicated that the
proposed weighting hours included in the ACUAC and ACUHP Working Group
TP Term Sheet are incorrect. Specifically, the weighting hour factors
in the ACUAC and ACUHP Working Group TP Term Sheet over-represent
mechanical-only cooling hours and underrepresent economizer-only and
integrated-economizer hours for all IVEC load bins. DOE presented
corrected weighting factors during the ACUAC and ACUHP standards
negotiations and no concerns were raised. (See EERE-2022-BT-STD-0015-
0078 at p. 8) These corrected IVEC weighting factors are included in
AHRI 1340-202X Draft. DOE is proposing to adopt AHRI 1340-202X Draft
for determining IVEC and IVHE in appendix A1, including these updated
IVEC weighting factors.
b. ESP Testing Target Calculation
Recommendation #12 of the ACUAC and ACUHP Working Group TP Term
Sheet includes an equation for determining adjusted ESP for cooling or
heating tests that use an airflow that differs from the full-load
cooling airflow. However, the equation specified in Recommendation #12
is missing a term for the full-load ESP. This equation is corrected in
AHRI 1340-202X Draft. DOE is proposing to adopt these provisions of
AHRI 1340-202X Draft for determining IVEC and IVHE in appendix A1,
including this corrected equation for determining adjusted ESP.
c. Test Instructions for Splitting ESP Between Return and Supply
Ductwork
As discussed previously, Recommendation #12 of the ACUAC and ACUHP
Working Group TP Term Sheet specifies that ESP shall be split between
return and supply ducts during testing, such that 25 percent of the ESP
is applied in the return ductwork. However, the ACUAC and ACUHP Working
Group TP Term Sheet does not contain explicit test setup instructions
specifying how to achieve the split in ESP between return and supply
ductwork. Section E11 of the AHRI 1340-202X Draft includes more
detailed instructions regarding the duct and pressure measurement
setup, the measurement and adjustment of the return static pressure,
and the restriction devices that can be used in the return ductwork to
achieve the required split of between 20 and 25 percent of the total
ESP applied to the return ductwork. The AHRI 1340-202X Draft also
includes test instructions for cases in which the ESP split is not
achieved in the first test as well as any exceptions to the specified
tolerance requirement. DOE has tentatively
[[Page 56417]]
concluded that these additional instructions will provide a more
consistent measurement of ESP and are aligned with the intent of
Recommendation #12 of the ACUAC and ACUHP Working Group TP Term Sheet.
Therefore, DOE is proposing to adopt these provisions of the AHRI 1340-
202X Draft for determining IVEC and IVHE.
d. Default Fan Power and Maximum Pressure Drop for Coil-Only Systems
DOE's current test procedure for CUACs and CUHPs references ANSI/
AHRI 340/360-2007, and section 6.1 of that test standard specifies
default fan power and corresponding capacity adjustment for ACUACs,
ACUHPs, ECUACs, and WCUACs with a coil-only configuration (i.e.,
without an integral indoor fan). Specifically, ANSI/AHRI 340/360-2007
requires that an indoor fan power of 365 Watts (W) per 1,000 standard
cubic feet per minute (scfm) be added to power input for coil-only
units and that the corresponding heat addition (i.e., 1,250 Btu/h per
1,000 scfm) be subtracted from measured cooling capacity (and added to
measured heating capacity), regardless of capacity of the unit under
test and regardless of full or part-load test conditions. In the July
2017 TP RFI, DOE requested comment on the prevalence of ACUACs, ACUHPs,
ECUACs, and WCUACs that are sold in coil-only configurations and
requested data on the typical efficiency or typical power use and
airflow of fans used with coil-only ACUACs, ACUHPs, WCUACs, and ECUACs
in field installations. 82 FR 34427, 34440 (July 25, 2017).
In response, Lennox and AHRI stated that the market for coil-only
ACUACs and ACUHPs is very small and that less than 1 percent of the
approximately 9,000 models listed in the AHRI directory are coil-only
models. In addition, Lennox and AHRI stated their expectation that the
coil-only configuration will become even less common or disappear from
the market by 2023 when new energy conservation standards become
effective. (Lennox, EERE-2017-BT-TP-0018-0008 at p. 3; AHRI, EERE-2017-
BT-TP-0018-0011 at pp. 23-24) Lennox recommended maintaining the
current default fan power because the market for these configurations
is very small and stated that the effect of any change in default fan
power associated with the difference in typical energy use would be de
minimis. (Lennox, EERE-2017-BT-TP-0018-0008 at p. 3)
Section 6.1.1.6 of AHRI 340/360-2022 has the same requirement as
ANSI/AHRI 340/360-2007 regarding default fan power and capacity
adjustment of coil-only systems. Additionally, both section 6.1.3.2(d)
of ANSI/AHRI 340/360-2007 and section 6.1.3.3.4 of AHRI 340/360-2022
specify that for coil-only systems, the pressure drop across the indoor
assembly shall not exceed 0.30 in H2O for the full-load
cooling test. If the measured pressure drop exceeds that value, then
the industry test standards specify that the indoor airflow rate be
reduced such that the measured pressure drop does not exceed the
specified maximum pressure drop.
The AHRI 1340-202X Draft includes different requirements for
testing coil-only units as compared to ANSI/AHRI 340/360-2007 and AHRI
340/360-2022. First, section 5.17.4 of the AHRI 1340-202X Draft
includes a higher maximum pressure drop across the indoor assembly of
1.0 in H2O when testing coil-only units, as compared to the
maximum pressure drop of 0.3 in H2O specified in ANSI/AHRI
340/360-2007 and AHRI 340/360-2022. Second, section 6.2.4.2 of the AHRI
1340-202X Draft includes higher default fan power values than specified
in ANSI/AHRI 340/360-2007 and AHRI 340/360-2022; these values were
updated to reflect the higher ESP requirements used for IVEC and IVHE.
Because the ACUAC and ACUHP Working Group TP Term Sheet and AHRI 1340-
202X Draft specify ESP requirements that vary by capacity bin, section
6.2.4.2 of the AHRI 1340-202X Draft specifies different default fan
power adders and capacity adjustments for each capacity bin, developed
based on fan power needed to overcome the ESP requirement for each bin.
Lastly, while ANSI/AHRI 340/360-2007 and AHRI 340/360-2022 specify
a single default fan power adder (and corresponding capacity
adjustment) to be used for all tests, the AHRI 1340-202X Draft includes
separate default fan power adders and capacity adjustments for full-
load tests and part-load tests (i.e., tests conducted at an airflow
lower than the full-load cooling airflow) to reflect that fan power
does not decrease linearly with airflow (i.e., reducing airflow in
part-load operation would reduce fan power in field operation by more
than would be calculated using a single power adder that is normalized
by airflow). These part-load fan power adders and capacity adjustments
were developed assuming a part-load airflow that is 67 percent of the
full-load airflow. The AHRI 1340-202X Draft does not specify what
values to use if the part-load airflow is higher than 67 percent of the
full-load airflow. In a test procedure final rule for CAC/HPs published
October 25, 2022, DOE adopted a part-load fan power adder and capacity
adjustment for coil-only systems based on 75 percent of the full-load
airflow, and specified that linear interpolation be used to determine
the default fan power coefficient between the part-load and full-load
default fan power coefficients when the specified part-load airflow is
between 75 and 100 percent of the full-load airflow. 87 FR 64550,
64558. DOE has tentatively concluded that similar linear interpolation
provisions would be appropriate for coil-only CUACs and CUHPs in the
case where the airflow specified by a manufacturer for a test is
between 67 and 100 percent of the full-load airflow. Therefore, DOE is
proposing to include similar provisions in appendix A1 that specify how
to calculate the default fan power coefficient and capacity adjustment
in such cases.
Consistent with the basis of part-load values in the AHRI 1340-202X
Draft on 67 percent of full-load cooling airflow, DOE is also proposing
to clarify that for tests in which the manufacturer-specified airflow
is less than the full-load cooling airflow, the target airflow for the
test must be the higher of: (1) the manufacturer-specified airflow for
the test; or (2) 67 percent of the airflow measured for the full-load
cooling test.
DOE tentatively concludes the changes to the coil-only test
procedure in the AHRI 1340-202X Draft represent industry consensus on
the most appropriate and representative way to test and determine IVEC
and IVHE of coil-only systems. Additionally, DOE has tentatively
concluded that provisions to address manufacturer-specified airflows
between 67 and 100 percent of full-load cooling airflow (via
interpolation between the specified full-load and part-load fan power
adders and capacity adjustments) would provide a representative means
to develop ratings for coil-only CUACs and CUHPs, consistent with the
CAC/HP test procedure at appendix M1. Lastly, these do not conflict
with any recommendations in the ACUAC and ACUHP Working Group TP Term
Sheet. DOE has tentatively concluded that these provisions provide a
representative method to test coil-only units that better aligns with
the test requirements for CUACs and CUHPs with integral fans specified
in the ACUAC and ACUHP Working Group TP Term Sheet and the AHRI 1340-
202X Draft. Therefore, DOE is proposing to reference the provisions for
testing coil-only units specified in sections 5.17.4 and 6.2.4.2 of the
AHRI 1340-202X Draft with additional instruction to use linear
interpolation for determining the fan power adder and capacity
[[Page 56418]]
adjustment for instances when manufacturers specify an airflow between
67 and 100 percent of full-load cooling airflow, and clarifying that
airflow for coil-only systems must not be lower than 67 percent of
full-load cooling airflow.
e. Component Power Measurement
Section E10 of AHRI 1340-202X Draft includes additional instruction
regarding how the total unit, indoor fan, controls, compressor,
condenser section, and crankcase heat power should be measured and
accounted for during a test. This includes details that were not
included in the ACUAC and ACUHP Working Group TP Term Sheet, as well as
updates to address issues such as unique model designs and power meter
precision that were identified after the term sheet was completed. For
example, although the ACUAC and ACUHP Working Group TP Term Sheet
specified that controls power be determined by subtracting all other
power measurements from the total unit power, sections E10.1 and E10.2
of AHRI 1340-202X Draft require that controls power be measured. This
is because controls power is a much smaller value than power consumed
by other components of a CUAC or CUHP and thus is more accurately
determined by measuring directly with a power meter of sufficient
precision. Section E10.2 of AHRI 1340-202X Draft also allows for
determination of compressor and condenser section power by measurement
together or by subtraction from total power (i.e., separate power
measurement of power consumed by the compressor and condenser section
is not required). These provisions address cases in which unique wiring
of certain models may make separate measurement of compressor and
condenser section power very difficult or impossible, in addition to
cases in which the laboratory does not have enough power meters to
measure all components separately. Section E10.3 also provides an
equation for calculating default value(s) for crankcase heater power to
address the case in which a manufacturer does not specify crankcase
heater wattage.\22\ DOE has tentatively concluded that these provisions
will provide more repeatable and representative test results and is
proposing to adopt them through reference to section E10 of the AHRI
1340-202X Draft.
---------------------------------------------------------------------------
\22\ As discussed, Recommendation # 13 of the ACUAC and ACUHP
Working Group TP Term Sheet requires that manufacturers certify
crankcase heater wattage for each heater. DOE is not proposing
amendments to certification requirements in this rulemaking, and
will instead address certification requirements in a separate
rulemaking for certification, compliance, and enforcement.
---------------------------------------------------------------------------
f. IVHE Equations
Section 6.3 of the AHRI 1340-202X Draft includes the following
changes regarding the heating metric equations that differ from the
provisions in appendix C of the ACUAC and ACUHP Working Group TP Term
Sheet.
1. Removal of the cut-out factor from certain equations: As
discussed in section III.F.5 of this NOPR, appendix C of the ACUAC and
ACUHP Working Group TP Term Sheet includes a cut-out factor in IVHE
calculations to reflect the dependence of unit performance on whether
compressors are cut-out at a given bin temperature. However, the cut-
out factor was inadvertently included in certain equations in appendix
C of the ACUAC and ACUHP Working Group TP Term Sheet where it should
not apply (i.e., equations to determine unit performance that should
not be impacted by the fraction of time in which compressors are cut
out). Therefore, in the AHRI 1340-202X Draft, the cut-out factor was
removed from those equations where it was incorrectly applied in the
ACUAC and ACUHP Working Group TP Term Sheet. DOE notes that these
changes would only affect IVHE calculation for models with a cut-out or
cut-in temperature higher than the temperature of the lowest load bin.
2. Accounting for auxiliary heat when compressors are cut out: When
compressors are cut-out, auxiliary heat would operate to meet the
building load. This auxiliary heat operation is addressed in section b
of appendix C of the ACUAC and ACUHP Working Group TP Term Sheet (i.e.,
when building load exceeds the highest stage unit heating capacity at a
given bin temperature), but was inadvertently excluded in sections c
and d of appendix C of the ACUAC and ACUHP Working Group TP Term Sheet
(i.e., when building load is between capacities of a unit tested with
multiple heating stages, or when building load is less than the
capacity for the lowest tested compressor stage). Therefore, the AHRI
1340-202X Draft includes corrections in these cases so that auxiliary
heat demand is applied to meet building load in all cases in which
compressors are cut out.
3. Fan power applied in auxiliary heat-only mode: In appendix C of
the Term Sheet, the equations do not subtract the heat gain in the
indoor airstream from the indoor fan (i.e., ``fan heat'') from the
auxiliary heat demand. The AHRI 1340-202X Draft addresses this issue by
subtracting fan heat from auxiliary heat demand. Additionally, sections
c and d of appendix C of the ACUAC and ACUHP Working Group TP Term
Sheet assume that the fan would be either cycling between airflows when
cycling between stages of compression or operating at the lowest
measured indoor airflow for any cooling or heating test when cycling on
and off at the lowest stage of compression; however, the indoor fan
would likely be operating at the airflow corresponding to the full-load
heating test when operating in auxiliary heat mode. The AHRI 1340-202X
Draft addresses this by applying fan power from the full-load heating
test for auxiliary heat-only mode. However, DOE notes that because both
fan heat and auxiliary heat apply heat to the indoor airstream with the
same efficiency (i.e., COP of 1), the airflow assumed for auxiliary
heat-only mode does not impact results, as the fan heat resulting from
an increase in fan power reduces the auxiliary heat needed to meet the
building load by the same amount, resulting in no net change to
calculated IVHE.
4. Interpolation for variable-speed compressor systems: When
building load is between capacities of a unit tested with multiple
heating stages, section c of appendix C of the term sheet includes a
separate method for interpolating between stages for variable-speed
compressor systems (i.e., a method that interpolates capacity divided
by power) from the method for all other units (i.e., a method that
linearly interpolates power). As part of development of the AHRI 1340-
202X Draft, it was determined that there were insufficient data to
support a separate interpolation method for variable-speed compressor
systems, and therefore the AHRI 1340-202X Draft applies the same linear
interpolation method based on power for all units.
5. Compressor operating levels for heating tests: Recommendation #9
of the Term Sheet includes details on the required and optional tests
based on configuration of the system (i.e., single-stage, two or more
stages, and variable-capacity). Required tests include a test at
``high'' operating level at 17 and 47 [deg] F; optional tests include
tests at low and intermediate operating levels at 17 and 47 [deg] F as
well as high and ``boost'' operating levels at 5 [deg] F. For variable-
capacity systems, the Term Sheet specifies that the high speed and low
speed at each temperature should be the normal maximum and minimum for
each ambient temperature. The AHRI 1340-202X Draft includes additional
explanation of which compressor speeds correspond to the low, medium,
[[Page 56419]]
high, and boost designations at each test temperature.
DOE has tentatively concluded that these updated IVHE equations as
described in the preceding paragraphs would provide for a more accurate
calculation of IVHE. Further, Recommendation #9 of the ACUAC and ACUHP
Working Group TP Term Sheet states that the equations in appendix C of
the term sheet are subject to quality control checking (``QC'') for
errors with the intent remaining the same as voted on. DOE has
tentatively concluded that the discussed deviations in the AHRI 1340-
202X Draft hold the same intent of the recommendations set forth in the
ACUAC and ACUHP Working Group TP Term Sheet. Therefore, DOE is
proposing to adopt the provisions of AHRI 1340-202X Draft for
determining IVHE in appendix A1, including the updated equations
discussed in this section.
DOE notes that appendix C of the Term Sheet includes a provision
that ``additional provisions, still TBD would apply for variable-speed
compressors for which pairs of full-speed or minimum-speed tests are
not run at the same speed.'' The AHRI 1340-202X Draft does not include
any provisions allowing for determination of capacity for a bin by
interpolating between tests conducted at different compressor operating
levels. DOE has tentatively concluded that this approach is appropriate
and that calculating IVHE with results from multiple tests at each
compressor operating level will provide representative ratings for
manufacturers that choose to include performance at operating levels
beyond the required high operating level tests at 47 and 17 [deg]F in
their representations of IVHE. Therefore, DOE is not proposing to
deviate from the approach in the AHRI 1340-202X Draft.
g. Non-Standard Low-Static Indoor Fan Motors
As discussed in section III.F.4, DOE is proposing to include higher
ESPs recommended by the Working Group and included in the AHRI 1340-
202X Draft in the Federal test procedure for CUACs and CUHPs. However,
individual models of CUACs and CUHPs with indoor fan motors intended
for installation in applications with a low ESP may not be able to
operate at the proposed full-load ESP requirements at the full-load
indoor rated airflow. To address this situation, section 3.25 of AHRI
1340-202X Draft defines ``non-standard low-static indoor fan motors''
as motors which cannot maintain ESP as high as specified in the test
procedure when operating at the full-load rated indoor airflow and that
are distributed in commerce as part of an individual model within the
same basic model that is distributed in commerce with a different motor
specified for testing that can maintain the required ESP. Section
5.19.3.3 of AHRI 1340-202X Draft includes test provisions for CUACs and
CUHPs with non-standard low-static indoor fan motors that cannot reach
the ESP within tolerance during testing, which require using the
maximum available fan speed that does not overload the motor or motor
drive, adjusting the airflow-measuring apparatus to maintain airflow
within tolerance, and operating with an ESP as close as possible to the
minimum ESP requirements for testing. This approach is consistent with
the industry test standard referenced by the DOE test procedure for DX-
DOASes (AHRI 920-2020).
As discussed in section III.I.3.b, DOE is proposing to clarify that
representations for a CUAC or CUHP basic model must be based on the
least efficient individual model(s) distributed in commerce within the
basic model (with the exception specified in 10 CFR 429.43(a)(3)(v)(A)
for certain individual models with the components listed in Table 6 to
10 CFR 429.43(a)(3)). DOE has tentatively concluded that the
combination of (1) the provisions in the AHRI 1340-202X Draft for
testing models with ``non-standard low-static indoor fan motors'' with
(2) the requirement that basic models be rated based on the least
efficient individual model (with certain exceptions, as discussed)
provides an appropriate approach for handling CUAC and CUHP models with
these motors--if an individual model with a non-standard low-static
indoor fan motor is tested, the test would be conducted at an indoor
airflow representative for that model. But because testing at the rated
airflow for such an individual model would result in testing at an ESP
lower than the requirement and thus a lower indoor fan power, the
representations for that basic model would be required to be based on
an individual model with an indoor fan motor that can achieve the ESP
requirements at the rated airflow. Consistent with the proposed
adoption of the AHRI 340/360-202X Draft in appendix A1, DOE is not
proposing any deviations from the provisions for testing models with
non-standard low-static indoor fan motors.
7. Efficiency Metrics for ECUACs and WCUACs
The current DOE test procedure for WCUACs and ECUACs is specified
at 10 CFR 431.96 and includes the EER metric. The ACUAC and ACUHP
Working Group TP Term Sheet does not include provisions for ECUACs and
WCUACs. However, AHRI 1340-202X Draft includes provisions for
determining the new IVEC and optional EER2 metric for ECUACs and
WCUACs. The AHRI 1340-202X Draft provisions for determining IVEC and
EER2 for ECUACs and WCUACs are largely the same as the provisions for
ACUACs and ACUHPs; however, there are several provisions unique to
ECUACs and WCUACs--specifically regarding (1) ESP requirements and (2)
test temperatures.
As discussed, the IVEC and EER2 metrics include higher ESP
requirements than the current DOE test procedures and AHRI 340/360-
2022. For ECUACs and WCUACs with cooling capacity greater than or equal
to 65,000 Btu/h, the AHRI 1340-202X Draft specifies the same ESP
requirements for determining IVEC and EER2 for ECUACs and WCUACs as for
ACUACs and ACUHPs (shown in Table III.1 in section III.F.4 of this
NOPR). As discussed in section III.F.1.e of this NOPR, the AHRI 1340-
202X Draft also includes an ESP requirement of 0.5 in H2O
for testing ECUACs and WCUACs with cooling capacity less than 65,000
Btu/h, which is consistent with the ESP requirement specified in AHRI
210/240-2023 for comparable air-cooled equipment (i.e., air-cooled,
three-phase CUACs and CUHPs with cooling capacity less than 65,000 Btu/
h.
ECUACs and WCUACs use different types of test temperatures than
ACUACs and ACUHPs, and AHRI 1340-202X Draft includes test temperature
requirements for full-load and part-load test points for determining
IVEC for ECUACs and WCUACs. Table III.3 and Table III.4 show the test
temperatures included in the AHRI 1340-202X Draft for determining IVEC
for ECUACs and WCUACs.
[[Page 56420]]
Table III.3--IVEC Test Temperatures for ECUACs
--------------------------------------------------------------------------------------------------------------------------------------------------------
AHRI 340/360-2022 IEER test temperatures AHRI 1340-202X draft IVEC test temperatures
-----------------------------------------------------------------------------------------------
Test point Outdoor air Outdoor air Outdoor air Outdoor air
dry-bulb wet-bulb Make-up water dry-bulb wet-bulb Make-up water
([deg]F) ([deg]F) ([deg]F) ([deg]F) ([deg]F) ([deg]F)
--------------------------------------------------------------------------------------------------------------------------------------------------------
A....................................................... 95 75 85 95 75 85
B....................................................... 81.5 66.2 77 85 65 77
C....................................................... 68 57.5 77 75 57 77
D....................................................... 65 52.8 77 65 52 77
--------------------------------------------------------------------------------------------------------------------------------------------------------
Table III.4--IVEC Test Temperatures for WCUACs
----------------------------------------------------------------------------------------------------------------
AHRI 340/360-2022 IEER test AHRI 1340-202X draft IVEC test
temperatures temperatures
Test point ---------------------------------------------------------------------------
Entering water Leaving water Entering water Leaving water
([deg]F) ([deg]F) * ([deg]F) ([deg]F) *
----------------------------------------------------------------------------------------------------------------
A................................... 85 95 85 95
B................................... 73.5 ................. 72 .................
C................................... 62 ................. 62 .................
D................................... 55 ................. 55 .................
----------------------------------------------------------------------------------------------------------------
* AHRI 340/360-2022 and the AHRI 1340-202X Draft include a leaving water temperature condition only for the A
test. Testing with the specified entering and leaving water temperature test determines the water flow rate
used for the A test. For part-load tests, AHRI 340/360-2022 and the AHRI 1340-202X Draft specify that the part-
load water flow rate be set per the manufacturer's installation instructions; and for any full-load tests
conducted at B, C, or D rating points (i.e., for interpolation to reach the target percent load), that the
water flow rate used match the flow rate measured for the A test. Therefore, a leaving water temperature is
not specified for the B, C, and D tests.
DOE understands that the provisions for determining IVEC and EER2
for ECUACs and WCUACs included in the AHRI 1340-202X Draft (including
higher ESP requirements and revised test temperature requirements)
reflect industry consensus that the IVEC metric (and optional EER2
metric) provide a more representative measure of energy efficiency for
ECUACs and WCUACs. Therefore, DOE tentatively concludes that the IVEC
metric specified in the AHRI 1340-202X Draft (including ESP
requirements and test temperatures) is more representative than the EER
metric specified in the current DOE test procedure. Accordingly, DOE is
proposing to adopt the IVEC metric (as well as the optional EER2
metric) specified in the AHRI 1340-202X Draft into appendix A1 of the
Federal test procedure for ECUACs and WCUACs. At this time, DOE does
not have sufficient evidence to propose alternate test conditions, but
requests comment on whether alternate test conditions are appropriate
for determining IVEC for ECUACs and WCUACs.
As mentioned previously, the current energy conservation standards
of ECUACs and WCUACs are in terms of EER. Were DOE to adopt the
appendix A1 test procedure for determining IVEC for ECUACs and WCUACs
as proposed, testing to the IVEC metric would not be required until DOE
adopts energy conservation standards for ECUACs and WCUACs in terms of
that metric. As discussed, DOE is also proposing to update the current
test procedure for all CUACs and CUHPs, including ECUACs and WCUACs, in
appendix A to reference AHRI 340/360-2022, maintaining the current EER
metric until DOE adopts energy conservation standards for ECUACs and
WCUACs in terms of the proposed IVEC metric.
Issue 3: DOE requests comment in its proposal to adopt the IVEC
metric for ECUACs and WCUACs in appendix A1 as specified in the AHRI
1340-202X Draft, including the test temperature requirements.
a. Heat Rejection Components for WCUACs
WCUACs are typically installed in the field with separate heat
rejection components \23\ that reject heat from the water loop to
outdoor ambient air, but these separate heat rejection components are
not accounted for in the testing of WCUACs under the current DOE test
procedure. These heat rejection components typically consist of a
circulating water pump (or pumps) and a cooling tower. To account for
the power that would be consumed by these components in field
installations, section 6.1.1.7 of AHRI 340/360-2022 specifies that
WCUACs with cooling capacities less than 135,000 Btu/h shall add 10.0 W
to the total power of the unit for every 1,000 Btu/h of cooling
capacity.
---------------------------------------------------------------------------
\23\ Separate heat rejection components (e.g., a cooling tower
or circulating water pump) are not used with ACUACs or ECUACs.
---------------------------------------------------------------------------
The industry test procedure for dedicated outdoor air systems
(DOASes)--AHRI 920-2020, ``2020 Standard for Performance Rating of
Direct Expansion-Dedicated Outdoor Air System Units''--includes a
different method to account for the additional power consumption of
water pumps, with a pump power adder referred to as the ``water pump
effect'' being added to the calculated total unit power. Specifically,
section 6.1.6 of AHRI 920-2020 specifies that the water pump effect is
calculated with an equation dependent on the water flow rate and liquid
pressure drop across the heat exchanger, including a term that assumes
a liquid ESP of 20 ft of water column. In the May 2022 RFI, DOE
requested comment on the representativeness of the AHRI 920-2020
approach to account for power consumption of external heat rejection
components as compared to the approach in AHRI 340/360-2022. 87 FR
31743, 31752 (May 25, 2022).
On this topic, AHRI stated that its members are still evaluating
the applicability of the AHRI 920 approach but have some concerns
regarding the applicability to air-cooled equipment. (AHRI, EERE-2022-
BT-STD-0015-0008 at p. 6) DOE notes that the provisions discussed in
this section pertain only to WCUACs and not to air-cooled equipment.
[[Page 56421]]
The CA IOUs recommended DOE adopt the approach used in AHRI 920-
2020 for adding power due to water pumps. The CA IOUs concurred with
DOE that WCUAC and ECUAC equipment are niche products with a small
market, and contended that a simple power adder or alignment with AHRI
920-2020 would be a good solution. (CA IOUs, EERE-2022-BT-STD-0015-0012
at p. 7)
Carrier commented that neither the AHRI 340/360-2022 nor the AHRI
920-2020 approach is appropriate, because both methods rely on fixed
constants that may not give an accurate representation of each system
in the field and ignore any opportunities for improvements and
optimization of the building design. However, Carrier did not suggest
an alternative method to accounting for the power consumption of water
pumps or a cooling tower. Additionally, Carrier stated that both AHRI
920 and AHRI 340/360 ignore the impact of fouling,\24\ and recommended
fouling be considered for water-cooled and evaporatively-cooled
equipment. (Carrier, EERE-2022-BT-STD-0015-0010 at pp. 15-16)
---------------------------------------------------------------------------
\24\ ``Fouling'' refers to the formation of unwanted material
deposits on heat transfer surfaces.
---------------------------------------------------------------------------
Section 6.2.4.3 of the AHRI 1340-202X Draft includes similar
provisions for accounting for the power of heat rejection components
for WCUACs to those in AHRI 340/360-2022. However, unlike AHRI 340/360-
2022, the heat rejection component power addition is not limited to
units with cooling capacities less than 135,000 Btu/h in the AHRI 1340-
202X Draft, and instead applies to WCUACs of all cooling capacities.
In response to comments from stakeholders, DOE does not have any
data to indicate that the approaches to account for the power required
by heat rejection components in AHRI 340/360-2022, AHRI 920-2020, or
the AHRI 1340-202X Draft are inaccurate. Despite expressing concerns
regarding the representativeness of the methods in AHRI 340/360-2022
and AHRI 920-2020, Carrier did not suggest any alternative test method.
While the CA IOUs expressed a preference for use of the method in AHRI
920, DOE has tentatively concluded that the latest approach presented
in the AHRI 1340-202X Draft is representative of industry consensus to
account for the power of heat rejection components in WCUACs, such as
circulating water pumps and cooling towers. Therefore, consistent with
the proposed adoption of the AHRI 340/360-202X Draft in appendix A1,
DOE is not proposing any deviations from the provisions for accounting
for the power of heat rejection components for WCUACs specified in
section 6.2.4.3 of the AHRI 1340-202X Draft.
As previously indicated, water-cooled air conditioners and heat
pumps rely on pumps to circulate the water that transfers heat to or
from refrigerant in the water-to-refrigerant coil. Most water-cooled
units rely on external circulating water pumps; however, some water-
cooled units in other equipment categories (e.g., water-source heat
pumps and DOASes) have integral pumps included within the unit that
serve this function. For such units with integral pumps, test
provisions are warranted to specify how to test with the integral pump
(e.g., provisions specifying the liquid ESP at which to operate the
integral pump). AHRI 340/360-2022 does not contain provisions specific
to testing WCUACs with integral pumps. In contrast, DOE recently
adopted provisions requiring that water-source DOASes with integral
pumps be tested with a target external head pressure of 20 ft of water
column (consistent with AHRI 920-2020). 87 FR 45164, 45181 (July 27,
2022). DOE requested comment on the prevalence of WCUACs with integral
pumps in the May 2022 RFI, as it was not aware of any WCUACs on the
market with integral pumps. DOE also sought comment on what liquid ESP
would be representative for testing, if WCUACs with integral pumps do
exist on the market. 87 FR 31743, 31752 (May 25, 2022).
AHRI and Carrier stated that they are not aware of any WCUACs on
the market that contain integral pumps. (AHRI, EERE-2022-BT-STD-0015-
0008 at p. 6; Carrier, EERE-2022-BT-STD-0015-0010 at p. 16) Carrier
noted that typically, WCUACs are installed in buildings with multiple
units and then connected to a central cooling tower system; Carrier
asserted that it would not make sense to put pumps in each of the units
because multiple units use a common cooling tower system. (Carrier,
EERE-2022-BT-STD-0015-0010 at p. 16)
Based on commenter responses indicating a lack of WCUACs on the
market with integral pumps and lack of provisions addressing WCUACs
with integral pumps in AHRI 340/360-2022 and the AHRI 1340-202X Draft,
DOE is not proposing to include test provisions for WCUACs with
integral pumps.
8. Efficiency Metrics for Double-Duct Systems
As discussed in section III.B.3 of this NOPR, double-duct systems
are equipment classes of ACUACs and ACUHPs, either single package or
split, designed for indoor installation in constrained spaces, such
that outdoor air must be ducted to and from the outdoor coil. DOE is
proposing revisions to the definition for double-duct systems that
align with the updated definition in AHRI 340/360-2022 and the AHRI
1340-202X Draft.
Pursuant to the current DOE test procedure (which references ANSI/
AHRI 340/360-2007), double-duct systems are tested and rated under the
same test conditions at zero outdoor air ESP as conventional ACUACs and
ACUHPs (i.e., that are not double-duct systems). AHRI 340/360-2022
added a test method in appendix I that specifies an outdoor air ESP
requirement of 0.50 in. H2O for double-duct systems. When
testing with 0.50 in. H2O outdoor air ESP, ratings are
designated with the subscript ``DD'' (e.g., EERDD,
COPDD, and IEERDD) to distinguish them from the
ratings determined by testing at zero outdoor air ESP.
The ACUAC and ACUHP Working Group TP Term Sheet does not include
provisions for double-duct systems. However, the AHRI 1340-202X Draft
includes provisions for determining the new IVEC and IVHE metrics for
double-duct systems. Specifically, similar to appendix I of AHRI 340/
360-2022, the AHRI 1340-202X Draft applies a 0.50 in. H2O
outdoor air ESP requirement for determining IVEC and IVHE for double-
duct systems. Other than this outdoor air ESP requirement, the AHRI
1340-202X Draft specifies no differences in determining IVEC and IVHE
for double-duct systems as compared to conventional ACUACs and ACUHPs.
Because double-duct systems are installed indoors with ducting of
outdoor air to and from the outdoor coil, DOE has tentatively concluded
that testing at a non-zero outdoor air ESP (as specified in AHRI 1340-
202X Draft) would be more representative of field applications than
testing at zero outdoor air ESP (as specified in the current Federal
test procedure). Further, DOE has tentatively concluded that the IVEC
and IVHE metrics specified in the AHRI 1340-202X Draft are more
representative than the EER, IEER, and COP metrics specified in the
current DOE test procedure, for the reasons discussed throughout this
NOPR (e.g., sections III.F.4 and III.F.5 of this NOPR) for ACUACs and
ACUHPs more generally. Further, DOE has tentatively concluded that the
application of the IVEC and IVHE metrics in the AHRI 1340-202X Draft to
double-duct systems reflect industry consensus that these metrics
provide a more representative
[[Page 56422]]
measure of energy efficiency for double-duct systems.
Therefore, DOE proposes to include provisions in appendix A1 for
determining IVEC and IVHE for double-duct systems. Although DOE is
proposing generally to incorporate by reference AHRI 340/360-2022 in
appendix A, DOE has tentatively determined not to reference in appendix
A the modified testing requirements for double-duct systems specified
in appendix I of AHRI 340/360-2022 because the modified ESP
requirements would alter the measured efficiency of double-duct
systems. Instead, DOE proposes to maintain the current metrics for
double-duct systems in appendix A. As proposed, an outdoor air ESP
requirement of 0.50 in. H2O for double-duct systems would
only apply when determining the new IVEC and IVHE metrics per appendix
A1.
As mentioned previously, the current energy conservation standards
for double-duct systems are in terms of EER and COP. Were DOE to adopt
the test procedures for IVEC and IVHE for double-duct systems as
proposed, testing to those metrics would not be required until DOE
adopts energy conservation standards for double-duct systems in terms
of those metrics.
Issue 4: DOE requests comment on its proposal to adopt the IVEC and
IVHE metrics for double-duct systems in appendix A1 as specified in the
AHRI 1340-202X Draft.
G. Test Method Changes in AHRI Standard 340/360
In the July 2017 TP RFI, DOE requested and received comments on a
number of topics related to the current DOE test procedure for CUACs
and CUHPs, and the most up-to-date version of AHRI 340/360 that was
available at the time (i.e., AHRI 340/360-2015). 82 FR 34427, 34439-
34445 (July 25, 2017). With the publication of AHRI 340/360-2022 and
the development of the AHRI 1340-202X Draft, many of these topics have
been addressed in the updated and draft versions of the standard. DOE
is not proposing any deviations from AHRI 340/360-2022 for appendix A.
As discussed later in this document, DOE has tentatively determined,
based upon clear and convincing evidence, that the updated industry
test procedures in AHRI 340/360-2022 and the AHRI 1340-202X Draft, as
proposed to be adopted by DOE in appendix A and appendix A1, would more
fully comply with the EPCA requirements for the test procedures to be
reasonably designed to produce test results that reflect the energy
efficiency or energy use of CUACs and CUHPs during a representative
average use cycle (as determined by the Secretary), and not be unduly
burdensome to conduct. (42 U.S.C. 6314(a)(2)) In the following
sections, DOE summarizes the comments received in response to the July
2017 TP RFI, and discusses changes in the industry test standard update
that are related to comments received, as well as other changes to the
industry test standard AHRI 340/360 that are relevant to DOE's test
procedure for CUACs and CUHPs.
1. Vertical Separation of Indoor and Outdoor Units
In the July 2017 TP RFI, DOE noted that ANSI/AHRI 340/360-2007 does
not limit the vertical separation of indoor and outdoor units when
testing split systems. 82 FR 34427, 34442 (July 25, 2017). In contrast,
section 6.1.3.5 of AHRI 340/360-2015 (the relevant revision of that
industry test standard at the time of the July 2017 RFI) specifies that
the maximum allowable vertical separation of the indoor and outdoor
units be no more than 10 feet, presumably because separation greater
than 10 feet can adversely affect measured performance. If test
facilities use indoor and outdoor environmental chambers that are
stacked vertically, the limitation on vertical separation may make it
impractical or impossible to test split systems. As part of the July
2017 TP RFI, DOE requested comment on whether a maximum of 10 feet of
vertical separation of indoor and outdoor units would limit the ability
of existing facilities to test split-system CUACs and CUHPs and
requested comment on the impact that vertical separation of split
systems has on efficiency and capacity. Id.
On this topic, AHRI commented that if the vertical separation is
too high, there will be a large negative impact on capacity and
efficiency, and that if separation approaches 15 feet, intermediate
traps may be needed. AHRI also commented that this requirement does not
limit the ability of laboratories to test units. (AHRI, EERE-2017-BT-
TP-0018-0011 at p. 26) Similarly, Lennox commented that greater
separation would negatively impact results, and that they were also not
aware of any test laboratories that had difficulty with this
requirement. (Lennox, EERE-2017-BT-TP-0018-0008 at p. 5) Carrier stated
that vertical separation can impact performance but that the 10-foot
maximum separation should not be an issue as long as the length of the
interconnecting line in the outdoor section does not exceed 5 feet.
(Carrier, EERE-2017-BT-TP-0018-0006 at p. 13) Goodman stated that a
maximum of 10 feet of vertical separation of the indoor and outdoor
units is appropriate. Goodman also stated that the 10-feet maximum
allowable vertical separation ensures minimal impact of suction line
losses and oil return problems, and that greater vertical separation
will adversely impact cooling capacity and efficiency. (Goodman, EERE-
2017-BT-TP-0018-0014 at p. 5) DOE received no other comments on this
issue.
AHRI 340/360-2022 and the AHRI 1340-202X Draft do not include any
specifications regarding the maximum allowable vertical separation of
the indoor and outdoor units. DOE understands that the approach
provided in both AHRI 340/360-2022 and the AHRI 1340-202X Draft
represents industry consensus regarding setup for testing of CUACs and
CUHPs, and surmises that the commenters' original positions on this
provision changed during the course of developing the industry
consensus standard. Consistent with the proposed adoption of AHRI 340/
360-2022 (in appendix A) and AHRI 1340-202X Draft (in appendix A1), DOE
is not proposing specifications regarding the maximum allowable
vertical separation of the indoor and outdoor units.
2. Measurement of Air Conditions
In the July 2017 TP RFI, DOE requested comment on condenser inlet
air size and uniformity using the criteria in appendix C of AHRI 340/
360-2015. DOE also requested comment on whether the requirements of
appendix C are sufficient to ensure reproducibility of results and/or
any test data that demonstrate sufficient reproducibility. 82 FR 34427,
34442 (July 25, 2017).
Regarding this matter, AHRI and Lennox stated that alterations to
the laboratory have been required to ensure the air in the room is
uniform. (AHRI, EERE-2017-BT-TP-0018-0011 at p. 25; Lennox, EERE-2017-
BT-TP-0018-0008 at p. 5) Lennox stated that these alterations typically
include adjustment to conditioning equipment supply ducts, air mixers
within the test room, and temporary partitions to prevent air
stratification surrounding the unit under test. (Lennox, EERE-2017-BT-
TP-0018-0008 at p. 5) Carrier commented that the current method is
well-proven and used on rooftop units and chillers. However, Carrier
stated that airflow stratification is an area of concern; it requires
not just measurement, but also good test facilities that provide
uniform airflow. (Carrier, EERE-2017-BT-TP-0018-0006 at p. 12) In
response to DOE asking specifically about ECUACs, AHRI commented that
the air sampling tree
[[Page 56423]]
requirements in appendix C of AHRI 340/360-2015 are feasible for all
ECUACs, and that adding more wet-bulb measurements than what is
currently in appendix C would not benefit test reproducibility. (AHRI,
EERE-2017-BT-TP-0018-0011 at p. 25)
Appendix C of AHRI 340/360-2022 and AHRI 1340-202X Draft contains a
number of changes, including certain changes related to temperature
uniformity, as well as provisions regarding air condition measurement
for indoor air and outdoor outlet air. These changes would improve test
representativeness and repeatability. DOE understands that the approach
provided in appendix C of AHRI 340/360-2022 and the AHRI 1340-202X
Draft represents industry consensus regarding the most appropriate
method of measuring air conditions. Consistent with the proposed
adoption of AHRI 340/360-2022 (in appendix A) and AHRI 1340-202X Draft
(in appendix A1), DOE is not proposing any deviations from the
provisions in appendix C of AHRI 340/360-2022 and AHRI 1340-202X Draft
regarding measuring air conditions.
3. Refrigerant Charging Instructions
As part of the July 2017 TP RFI, DOE requested comment on whether
it would be appropriate to adopt an approach regarding refrigerant
charging requirements for ACUACs and ACUHPs that is similar or
identical to the approach used in the DOE test procedure for central
air conditioners and heat pumps (CACs and HPs). DOE also sought data to
determine how sensitive the performance of ACUACs, ECUACs, and WCUACs
is relative to changes in the various charge indicators used for
different charging methods, specifically the method based on sub-
cooling. 82 FR 34427, 34441 (July 25, 2017).
On this topic, AHRI and Lennox commented that charging instructions
should first be determined from the supplemental PDF test instructions
that are certified to DOE. If instructions are not found there, AHRI
and Lennox stated that charging should be conducted in accordance with
the manufacturer installation instructions provided with the unit.
(AHRI, EERE-2017-BT-TP-0018-0011 at p. 24; Lennox, EERE-2017-BT-TP-
0018-0008 at p. 4) Lennox further stated that if neither the certified
supplemental test instructions (STI) nor the installation instructions
shipped with the unit provide charging information, then a
predetermined method to set the refrigerant charge should be employed,
consistent with the approach for CACs. Lennox also commented that
charging methods should consider a consistent setup method in the test
laboratories to account for charge adjustments for pressure transducers
and any loss of charge in the application of transducers, and that
charge verification is required when visible damage on the equipment is
spotted, even if damage is minor. (Lennox, EERE-2017-BT-TP-0018-0008 at
p. 4) Trane encouraged DOE to require the certification of detailed
manufacturer instructions for setting up CUACs for unique test standard
conditions, including the method that the manufacturer uses to vary
refrigerant charge and the refrigerant charging instructions that are
unique to that unit design. (Trane, EERE-2017-BT-TP-0018-0012 at p. 2)
Carrier commented that DOE currently requires charging instructions
to be included in the certified supplemental test instructions for
CUACs. Further, Carrier stated that if the manufacturer's charging
instructions for a CUAC unit provide a specified range for superheat,
sub-cooling, or refrigerant pressure, then DOE's test procedure should
specify to use the average of the range to determine the refrigerant
charge, consistent with AHRI 340/360-2015. (Carrier, EERE-2017-BT-TP-
0018-0006 at p. 11) Goodman stated that while CUACs are sensitive to
changes in charge, regardless of the charging method, manufacturers
typically provide a range of target values for charging to allow for
typical accuracy of pressure and temperature measurement equipment used
in the field. Goodman further commented that it can provide a specific
charging point in the supplemental testing instructions certified to
DOE, but that adding specific charge points to certified instructions
would be an added burden. (Goodman, EERE-2017-BT-TP-0018-0014 at p. 4)
Section 5.8 of AHRI 340/360-2022 and section 5.12 of the AHRI 1340-
202X Draft include a comprehensive set of provisions regarding
refrigerant charging for CUACs and CUHPs that is generally consistent
with the approach for CACs/HPs. Specifically, they require that units
be charged at conditions specified by the manufacturer in accordance
with the manufacturer's installation instructions. If no manufacturer-
specified charging conditions are provided, the test standards specify
charging at the standard rating conditions (as defined in Table 6 of
AHRI 340/360-2022 and Table 7 of the AHRI 1340-202X Draft). These
provisions also provide additional charging instructions to be used if
the manufacturer does not provide instructions or if the provided
instructions are unclear or incomplete (e.g., specifying default
charging targets to use if none are provided by the manufacturer;
specifying an instruction priority to be used in the event of
conflicting information between multiple manufacturer-provided charging
instructions).
DOE is proposing to adopt the charging instructions in AHRI 340/
360-2022 and the AHRI 1340-202X Draft, which are consistent with the
charging conditions DOE has established for CACs/HPs. Additionally,
given the inclusion of these provisions in AHRI 340/360-2022 and AHRI
1340-202X Draft, DOE understands that the approach provided in section
5.8 of AHRI 340/360-2022 and section 5.12 of the AHRI 1340-202X Draft
represents industry consensus regarding the most appropriate and
representative approach for refrigerant charging when testing CUACs and
CUHPs.
4. Primary and Secondary Methods for Capacity Measurements
DOE's current test procedure references ANSI/ASHRAE 37-2009 which
includes requirements on how to perform the primary and secondary
methods of capacity measurement, and further specifies which secondary
method can be used when testing certain equipment classes. ASHRAE 37-
2009 lists applicable test methods in Table 1 of that industry
standard, but the table does not indicate that the outdoor air enthalpy
method is applicable for any configuration of evaporatively-cooled
equipment. Therefore, the secondary method for ECUACs is limited to use
of the refrigerant enthalpy method or compressor calibration method for
split systems and only the compressor calibration method for single-
package equipment. As part of the July 2017 RFI, DOE requested comment
and test data on whether there is difficulty in achieving a match
between primary and secondary capacity measurements when testing ECUACs
with rated capacities less than 135,000 Btu/h and whether the
difficulty level is higher, lower, or the same when testing the unit at
full-load conditions as compared to part-load conditions. 82 FR 34427,
34444 (July 25, 2017). DOE also requested comment on whether there
would be a benefit in allowing the outdoor air enthalpy method as a
secondary method of capacity measurement for ECUACs or whether there
are other alternative approaches that could be considered for
mitigating the potential test burden. Id.
In response to the July 2017 RFI, AHRI commented that it does not
have
[[Page 56424]]
data on whether there is difficulty with matching primary and secondary
capacity measurements for ECUACs. AHRI added that it appreciates DOE's
investigation of less burdensome secondary capacity measurements, but
that its members are following ASHRAE 37 and, therefore, have not used
the outdoor enthalpy method for ECUACs. (AHRI, EERE-2017-BT-TP-0018-
0011 at pp. 28-29)
Appendix E of AHRI 340/360-2022 and the AHRI 1340-202X Draft
include requirements related to the method of testing CUACs and CUHPs.
These appendices include requirements for measuring capacity with the
primary method (i.e., the indoor air enthalpy method) and with a
secondary method (e.g., outdoor air enthalpy method, compressor
calibration method, refrigerant enthalpy method). More specifically,
AHRI 340/360-2022 and the AHRI 1340-202X Draft reference the primary
and secondary methods for capacity measurements listed in ANSI/ASHRAE
37-2009 and specify that testing shall comply with all of the
requirements in ANSI/ASHRAE 37-2009.
Additionally, section E6 of AHRI 340/360-2022 and the AHRI 1340-
202X Draft specify secondary capacity measurement for all capacities of
CUACs and CUHPs, including equipment with cooling capacity greater than
or equal to 135,000 Btu/h. Correspondingly, section E6.2 of AHRI 340/
360-2022 and the AHRI 1340-202X Draft allow use of the cooling
condensate method (detailed in section E6.6 of AHRI 340/360-2022 and
the AHRI 1340-202X Draft) as an acceptable secondary capacity
measurement for (1) ECUACs with cooling capacity greater than or equal
to 135,000 Btu/h and (2) single package ACUACs and ACUHPs with outdoor
airflow rates above 9,000 scfm.\25\
---------------------------------------------------------------------------
\25\ This provision of section E6.2 of AHRI 340/360-2022 and the
AHRI 1340-202X Draft regarding the cooling condensate method only
applies to units that do not reject condensate to the condenser
coil. Section E6.2.1.1 of AHRI 340/360-2022 and the AHRI 1340-202X
Draft specify that no secondary measurements are required for
cooling or heating tests for equipment that reject condensate in the
following groups: single package ACUACs with outdoor airflow rates
above 9,000 scfm and (2) single package ECUACs with cooling capacity
greater than or equal to 135,000 Btu/h.
---------------------------------------------------------------------------
DOE has tentatively concluded that requiring secondary capacity
measurement for CUACs and CUHPs with cooling capacity greater than or
equal to 135,000 Btu/h would provide more repeatable test results by
ensuring that there is confirmation of accurate capacity measurements
for testing all units, without adding substantive burden to testing.
Further, DOE understands that many test laboratories are limited in
their ability to measure outdoor airflow rates greater than 9,000 scfm
(and thus limited in their ability to conduct the outdoor air enthalpy
method for units with such outdoor airflow rates; \26\) therefore, DOE
has tentatively concluded that use of the cooling condensate method for
single package CUACs with outdoor airflow rates above 9,000 scfm would
allow for sufficient confirmation of capacity measurement without
making the test procedure unduly burdensome.
---------------------------------------------------------------------------
\26\ DOE understands the most commonly used secondary capacity
measurement method for single package ACUACs to be the outdoor air
enthalpy method. Measurement of outdoor airflow is required for
conducting the outdoor air enthalpy method; therefore, the outdoor
air enthalpy method cannot be conducted if the outdoor airflow
cannot be measured.
---------------------------------------------------------------------------
DOE understands that the approach provided in appendix E of AHRI
340/360-2022 and the AHRI 1340-202X Draft regarding primary and
secondary methods of capacity measurement represents industry consensus
regarding the most appropriate method for testing CUACs and CUHPs.
Absent any data indicating that an alternative secondary method would
reduce test burden while still providing representative and repeatable
test results, DOE is proposing to adopt the provisions in appendix E of
AHRI 340/360-2022 and the AHRI 1340-202X Draft regarding primary and
secondary methods of capacity measurement.
5. Atmospheric Pressure
a. Adjustment for Different Atmospheric Pressure Conditions
The current DOE test procedures for CUACs and CUHPs do not include
an adjustment for different atmospheric pressure conditions. Appendix D
of AHRI 340/360-2015 includes an adjustment for indoor fan power and
corresponding fan heat to address potential differences in measured
results conducted at different atmospheric pressure conditions.
As part of the July 2017 TP RFI, DOE requested test data validating
the supply fan power correction used in AHRI 340/360-2015. 82 FR 34427,
34442 (July 25, 2017). DOE also sought test data showing the impact
that variations in atmospheric pressure have on the performance (i.e.,
capacity and component power use) of ACUACs and ACUHPs. Id.
AHRI stated that it was planning to remove the atmospheric pressure
corrections from AHRI Standard 340/360 until further industry research
was completed. (AHRI, EERE-2017-BT-TP-0018-0011 at p. 25) Carrier also
stated that AHRI was planning on removing the atmospheric pressure
correction and supported keeping a lower limit of 13.7 psia for the
barometric pressure, because a lower value can result in degradation of
performance. (Carrier, EERE-2017-BT-TP-0018-0006 at p. 12) Lennox
commented that the adjustment method presented in AHRI 340/360-2015 is
theoretically sound but recognized the need for additional research to
verify the impacts of testing due to the nature of uncertainty and test
repeatability of calorimeter room testing. (Lennox, EERE-2017-BT-TP-
0018-0008 at p. 4)
Since publication of the July 2017 TP RFI, the atmospheric pressure
correction has been removed from the industry test procedure and is not
included AHRI 340/360-2022 or the AHRI 1340-202X Draft. DOE is not
proposing any deviations from the provisions in AHRI 340/360-2022 or
the AHRI 1340-202X Draft regarding an atmospheric pressure correction.
b. Minimum Atmospheric Pressure
Section 6.1.3.2 of AHRI 340/360-2015 specifies a minimum
atmospheric pressure of 13.7 psia for testing equipment to address the
potential impact of atmospheric pressure on the airflow rate and power
of the outdoor fan(s). This differs from the current DOE test procedure
in which there is no minimum atmospheric pressure requirement.
As part of the July 2017 TP RFI, DOE requested comment on whether
the minimum atmospheric pressure of 13.7 psia specified in section
6.1.3.2 of AHRI 340/360-2015 would prevent any existing laboratories
from testing equipment, and what burden, if any, would be imposed by
such a requirement. 82 FR 34427, 34442.
AHRI commented it intends to keep the lower limit of 13.7 psia in
AHRI Standard 340/360, and that the lower limit represents
approximately 1900 ft above sea level, and that all known third party
testing laboratories meet this requirement. (AHRI, EERE-2017-BT-TP-
0018-0011 at p. 25) Lennox and Carrier recommended that DOE adopt the
lower limit of 13.7 psia. (Lennox, EERE-2017-BT-TP-0018-0008 at p. 4;
Carrier, EERE-2017-BT-TP-0018-0006 at p. 12)
Section 6.1.3.2 of AHRI 340/360-2022 and section E2 of the AHRI
1340-202X Draft include the 13.7 psia minimum atmospheric pressure
requirement. DOE is not proposing any deviations from the minimum
atmospheric pressure provisions specified in section 6.1.3.2 of
[[Page 56425]]
AHRI 340/360-2022 and section E2 of the AHRI 1340-202X Draft.
c. Atmospheric Pressure Measurement
The accuracy of atmospheric pressure measurements required by
section 5.2.2 of ANSI/ASHRAE 37-2009 (which is referenced in AHRI 340/
360-2015) is 2.5 percent. As part of the July 2017 TP RFI,
DOE estimated that under certain circumstances, atmospheric pressure
measurements at the extremes of this ANSI/ASHRAE 37-2009 tolerance can
result in variation in capacity measurement of 1 to 2 percent. 82 FR
34427, 34443 (July 25, 2017). In the July 2017 TP RFI, DOE requested
comment on the typical accuracy of the atmospheric pressure sensors
used by existing test laboratories. Id.
In response, AHRI commented that the third-party laboratory used by
AHRI for certification testing uses sensors with accuracy better than
0.15 psia.\27\ (AHRI, EERE-2017-BT-TP-0018-0011 at p. 27)
Carrier commented that the brand of pressure sensors that are currently
used have an accuracy of 0.001 inches of mercury (in.
Hg).\28\ (Carrier, EERE-2017-BT-TP-0018-0006 at p. 15)
---------------------------------------------------------------------------
\27\ At standard atmospheric pressure (14.696 psia), an accuracy
of 0.15 psia is equivalent to an accuracy of 1.0 percent.
\28\ At standard atmospheric pressure (29.92 in. Hg), an
accuracy of 0.001 in. Hg is equivalent to an accuracy of
0.003 percent.
---------------------------------------------------------------------------
Section 5.12.1 of AHRI 340/360-2022 and section 5.16.2 of the AHRI
1340-202X Draft specify a minimum accuracy of atmospheric pressure
measurement of 0.50 percent, which is less stringent than
the accuracy suggested by Carrier but more stringent than the accuracy
suggested by AHRI. Because the committees to develop these standards
include manufacturers and third-party test laboratory representatives,
DOE has tentatively determined that this accuracy specification
appropriately represents the capability of atmospheric pressure
measuring instruments and DOE is not proposing any deviations from the
minimum accuracy specified in section 5.12.1 of AHRI 340/360-2022 and
section 5.16.2 of the AHRI 1340-202X Draft.
6. Condenser Head Pressure Controls
Condenser head pressure controls regulate the flow of refrigerant
through the condenser and/or adjust operation of condenser fans to
prevent condenser pressures from dropping too low during low-ambient
operation. When employed, these controls ensure that the refrigerant
pressure is high enough to maintain adequate flow through refrigerant
expansion devices such as thermostatic expansion valves. The use of
condenser head pressure controls influences a unit's performance when
operating in the field.
Section F7.1 of AHRI 340/360-2015 includes a time average test
procedure to be used in case head pressure controls cause cycling of
the condenser fans and unsteady operation of the unit under test.
Specifically, the provisions require two one-hour tests be run: one at
the upper bound of the tolerance on outdoor ambient temperature, and
one at the lower bound. The test results for both one-hour tests are
averaged to determine the capacity and efficiency for the rating point
that is used in the IEER calculation. This issue was reviewed by DOE in
the context of ACUACs in the December 2015 CUAC TP final rule. In that
final rule, DOE clarified that head pressure controls must be active
during the test, but DOE did not adopt the time-averaged head pressure
control test specified in AHRI 340/360-2015, indicating that AHRI 340/
360-2015 was a draft document at the time and that DOE would reconsider
adoption of the provisions for testing units with head pressure control
in a future rulemaking. 80 FR 79655, 79660 (Dec. 23, 2015).
As part of the July 2017 TP RFI, DOE requested information and data
regarding testing of CUACs and CUHPs with head pressure controls that
would require the special test provisions described in section F7.1 of
AHRI 340/360-2015, including: (1) whether such units can be tested in
compliance with the relaxed stability requirements of these test
provisions; (2) whether the test results accurately represent field
use; and (3) whether the test burden associated with these tests is
appropriate. 82 FR 34427, 34441 (July 25, 2017).
AHRI, Lennox, and Carrier stated that the time-average test method
outlined in appendix F of AHRI 340/360-2015 is appropriate and that no
problems have been encountered thus far. (AHRI, EERE-2017-BT-TP-0018-
0011 at p. 24; Lennox, EERE-2017-BT-TP-0018-0008 at p. 3; Carrier,
EERE-2017-BT-TP-0018-0006 at p. 11) AHRI also commented that the burden
of the time average test method is appropriate. (AHRI, EERE-2017-BT-TP-
0018-0011 at p. 24)
Section E7.2 of AHRI 340/360-2022 and the AHRI 1340-202X Draft also
specify provisions for a time average test procedure, consistent with
AHRI 340/360-2015. Further, sections E7.3 and E7.4 of AHRI 340/360-2022
and the AHRI 1340-202X Draft provide additional direction for achieving
stability to be used if the tolerances for the head pressure control
time average test cannot be met. In light of the head pressure control
provisions in AHRI 340/360-2022 and the AHRI 1340-202X Draft, DOE
understands that the approach provided in sections E7.2, E7.3, and E7.4
of AHRI 340/360-2022 and the AHRI 1340-202X Draft represent industry
consensus regarding the most appropriate and representative approach
for testing CUACs and CUHPs with head pressure controls. DOE has
tentatively determined the approach in AHRI 340/360-2022 and the AHRI
1340-202X Draft appropriately represents the impact of head pressure
controls and DOE is not proposing any deviations from the head pressure
control provisions specified in these industry test standards.
7. Length of Refrigerant Line Exposed to Outdoor Conditions
ANSI/AHRI 340/360-2007, AHRI 340/360-2015, and AHRI 210/240-2008
require at least 25 feet of interconnecting refrigerant line when
testing split systems. ANSI/AHRI 340/360-2007 and AHRI 340/360-2015
require at least 5 feet of the interconnecting refrigerant line to be
exposed to outdoor test chamber conditions, whereas AHRI 210/240-2008
requires at least 10 feet to be exposed to outdoor test chamber
conditions. As part of the July 2017 TP RFI, DOE requested comment and
data regarding the typical length of refrigerant line that is exposed
to outdoor conditions on split-system ACUAC, ECUAC, or WCUAC
installations and whether this length varies depending on the capacity
of the unit. 82 FR 34427, 34443 (July 25, 2017). DOE also requested
comment and data on any measurements or calculations that have been
made of the losses associated with refrigerant lines exposed to outdoor
conditions. Id. DOE also estimated an upper bound of the capacity loss
to be approximately 1 percent of the capacity of the unit per 10 feet
of refrigerant line exposed to outdoor conditions and approximately 0.5
percent for 5 feet and requested comment on this estimate. Id.
AHRI commented that the length of refrigerant line that is exposed
is entirely dependent on the building in which the unit is being
installed, and that AHRI chose 25 feet as a standard value to ensure
consistent testing. (AHRI, EERE-2017-BT-TP-0018-0011 at p. 27) Lennox
stated that DOE's calculation of capacity losses from refrigerant lines
exposed to outdoor conditions is probably too high and that losses can
be minimized with insulation. (Lennox, EERE-2017-BT-
[[Page 56426]]
TP-0018-0008 at p. 6) Carrier acknowledged the difference in exposure
to outdoor conditions across test standards and initially suggested to
change the requirement for commercial equipment (e.g., equipment with a
rated cooling capacity greater than or equal to 65,000 Btu/h) from 5
feet to 10 feet. Carrier requested more time to determine the length
typically exposed to outdoor conditions in actual installations.
Carrier also stated that DOE's loss estimate is probably reasonable,
but that they need more time to develop a more accurate estimate.
(Carrier, EERE-2017-BT-TP-0018-0006 at p. 15)
Since publication of the July 2017 TP RFI, the industry
specification has been changed in AHRI 340/360. Section 5.7 of AHRI
340/360-2022 and section 5.11 of the AHRI 1340-202X Draft require that
at least 10 feet of interconnected tubing be exposed to outdoor
conditions. Therefore, DOE is not proposing any deviations from the
provisions regarding length of refrigerant line exposed to outdoor
conditions in section 5.7 of AHRI 340/360-2022 and section 5.11 of the
AHRI 1340-202X Draft in appendix A and appendix A1, respectively.
8. Indoor Airflow Condition Tolerance
DOE's current test procedure for ACUACs and ACUHPs with a rated
cooling capacity greater than or equal to 65,000 Btu/h specifies in
section (6)(i) of appendix A that the indoor airflow for the full-load
cooling test must be within 3 percent of the rated airflow.
DOE adopted a 3 percent tolerance on indoor airflow for testing ACUACs
and ACUHPs to limit variation in EER and cooling capacity, based on
test data and feedback provided by industry commenters. 80 FR 79655,
79659-79660 (Dec. 23, 2015). As part of the July 2017 RFI, DOE
requested comment and data showing whether variations in indoor airflow
impact the measured efficiency or capacity of ECUACs and WCUACs more or
less than ACUACs and ACUHPs and whether the 3 percent
tolerance is appropriate for ECUACs and WCUACs. 82 FR 34427, 34442
(July 25, 2017).
In commenting on this issue, AHRI stated that the indoor airflow
rate should not be influenced by the condenser heat rejection medium
(i.e., air-cooled, water-cooled, or evaporatively-cooled) and that the
3 percent tolerance should be appropriate for testing
ECUACs and WCUACs. (AHRI, EERE-2017-BT-TP-0018-0011 at p. 26)
Similarly, Goodman stated that ACUACs and WCUACs include similar indoor
fans, and therefore, the test procedure provisions for setting indoor
airflow for WCUACs should match the existing provisions for ACUACs.
(Goodman, EERE-2017-BT-TP-0018-0014 at p. 5)
Section 6.1.3.5.2.1 of AHRI 340/360-2022 and section 5.19.13.1 of
AHRI 1340-202X Draft specify that the indoor airflow for the full-load
cooling test must be within 3 percent of the rated airflow
for all CUACs and CUHPs. Accordingly, DOE is proposing to adopt a 3-
percent tolerance for ECUACs and WCUACs consistent with the requirement
for ACUACs and ACUHPs, through adoption of AHRI 340/360-2022 into
appendix A and AHRI 1340-202X Draft into appendix A1.
9. ECUACs and WCUACs With Cooling Capacity Less Than 65,000 Btu/h
As part of the July 2017 RFI, DOE requested comment on whether
there are differences between ECUACs and WCUACs with cooling capacities
less than 65,000 Btu/h and those with cooling capacities greater than
or equal to 65,000 Btu/h that justify the incorporation by reference of
different industry test standards for the different cooling capacity
ranges. DOE also asked whether there are differences in field
installations and field use of this equipment and the extent to which
these differences impact performance. 82 FR 34427, 34444 (July 25,
2017).
In response, DOE received comments from Carrier and AHRI that
supported testing of ECUACs and WCUACs with cooling capacities less
than 65,000 Btu/h according to AHRI Standard 340/360 and stated that
this equipment is not considered residential and is not subject to the
residential efficiency metric, seasonal energy efficiency ratio (SEER).
(Carrier, EERE-2017-BT-TP-0018-0006 at pp. 15-16; AHRI, EERE-2017-BT-
TP-0018-0011 at p. 28) Carrier added that field installations are
similar for these types of equipment regardless of capacity. (Carrier,
EERE-2017-BT-TP-0018-0006 at p. 16)
As previously discussed, the current industry standard referenced
in DOE's test procedure for ECUACs and WCUACs with cooling capacities
less than 65,000 Btu/h is ANSI/AHRI 210/240-2008. However, AHRI
published an updated version of AHRI 210/240 (i.e., AHRI 210/240-2023),
in which ECUACs and WCUACs with cooling capacities less than 65,000
Btu/h were removed from the scope of AHRI 210/240-2023. Instead, ECUACs
and WCUACs with cooling capacities less than 65,000 Btu/h were included
in the scope of AHRI 340/360-2022. Furthermore, DOE did not identify
any substantive differences between AHRI 210/240-2017 and AHRI 340/360-
2022 with respect to the test procedure for ECUACs and WCUACs with
cooling capacities less than 65,000 Btu/h. Therefore, based on its
review, DOE has tentatively determined that the test procedure in AHRI
340/360-2022 for ECUACs and WCUACs with cooling capacities less than
65,000 Btu/h is comparable to the current Federal test procedure for
such equipment (which references ANSI/AHRI 210/240-2008). In January
2023, ASHRAE published ASHRAE Standard 90.1-2022, which included
updates to the test procedure references for ECUACs and WCUACs with
capacities less than 65,000 Btu/h to reference AHRI 210/240-2023.
However, as discussed earlier in this paragraph, ECUACs and WCUACs with
capacities less than 65,000 Btu/h are outside of the scope of AHRI 210/
240-2023 and are instead included in AHRI 340/360-2022. Given these
changes to the relevant industry test standards, DOE believes that such
reference was an oversight. Therefore, in appendix A DOE is proposing
to reference AHRI 340/360-2022 for ECUACs and WCUACs with cooling
capacities less than 65,000 Btu/h. DOE has tentatively concluded that
this proposal would not require retesting solely as a result of DOE's
adoption of this proposed amendment to the test procedure, if made
final.
As discussed in section III.F.6.d of this NOPR, DOE is proposing to
reference the AHRI 1340-202X Draft in appendix A1 for measuring IVEC
for ECUACs and WCUACs with cooling capacity less than 65,000 Btu/h.
Measuring IVEC pursuant to appendix A1 would not be required until such
time as compliance is required with any amended energy conservation
standards for ECUACs and WCUACs in terms of IVEC.
10. Additional Test Method Topics for ECUACs
a. Outdoor Air Entering Wet-Bulb Temperature
In the July 2017 RFI, DOE requested comment on why the full-load
outdoor air entering wet-bulb temperature test condition for the 100-
percent capacity test point used to calculate IEER was changed from
75.0 [deg]F in ANSI/AHRI 340/360-2007 (the industry standard referenced
in the current DOE test procedure) to 74.5 [deg]F in AHRI 340/360-2015,
which differs from the outdoor air entering wet-bulb temperature test
condition (75.0 [deg]F) for the standard rating conditions. DOE
requested comment on whether the outdoor air entering wet-bulb
temperature should be 75.0 [deg]F for both the standard rating
conditions and the 100-percent capacity
[[Page 56427]]
test point used to calculate IEER. DOE also requested comment on
whether the outdoor air entering dry-bulb temperatures for air-cooled
units in Table 6 of AHRI 340/360-2015 apply to evaporatively-cooled
units. 82 FR 34427, 34442 (July 25, 2017).
AHRI, Carrier, and Lennox all commented that the different rating
conditions reflect an error in AHRI 340/360-2015 which will be
corrected, and that the requirement should be 75.0 [deg]F for both
purposes. (AHRI, EERE-2017-BT-TP-0018-0011 at p. 26; Carrier, EERE-
2017-BT-TP-0018-0006 at p. 13; Lennox, EERE-2017-BT-TP-0018-0008 at p.
5) Additionally, AHRI stated that outdoor air entering dry-bulb
temperature is not a significant factor for ECUAC performance because
heat transfer is driven by the outdoor air entering wet-bulb
temperature. (AHRI, EERE-2017-BT-TP-0018-0011 at p. 26) AHRI stated
that it plans to add outdoor air entering dry-bulb temperature
requirements for evaporatively-cooled units in an addendum to AHRI 340/
360-2015, without specifying whether these new dry-bulb temperature
requirements would be the same as the dry-bulb temperatures currently
specified for air-cooled units. (Id.)
Since publication of the July 2017 RFI, this identified error has
been corrected in AHRI 340/360-2022. The outdoor air entering wet-bulb
temperature for the 100-percent capacity test point used to calculate
IEER in Table 9 of AHRI 340/360-2022 is now set at 75.0 [deg]F, which
aligns with the outdoor air entering wet-bulb temperature requirement
for the standard rating conditions. DOE is proposing to adopt the test
conditions in Table 9 of AHRI 340/360-2022 in appendix A. The proposal
would maintain the full-load outdoor air entering wet-bulb temperature
test condition for the 100-percent capacity test point at 75.0 [deg]F
as required under the current DOE test procedure, which is consistent
with the condition specified in AHRI 340/360-2022.
b. Make-Up Water Temperature
In the July 2017 RFI, DOE noted that neither ANSI/AHRI 340/360-2007
nor AHRI 340/360-2015 provide any specifications on the make-up water
temperature for full-load or part-load tests for ECUACs. 82 FR 34427,
34444 (July 25, 2017). Therefore, DOE requested comment and data
regarding the impact that the make-up water temperature has on the
performance of ECUACs. Id. AHRI responded that the heat rejection
caused by differences in the condenser make-up water temperature is
insignificant in comparison to the heat rejected from the unit, and
that, therefore, the impact on unit performance is negligible. (AHRI,
EERE-2017-BT-TP-0018-0011 at p. 28)
Both AHRI 340/360-2019 and AHRI 340/360-2022 specify make-up water
temperatures of 85 [deg]F for the full-load cooling test, but the
standards differ in the make-up water temperatures specified for part-
load cooling tests. Specifically, Table 8 of AHRI 340/360-2019
specifies make-up water temperatures of 81.5 [deg]F, 68 [deg]F, and 65
[deg]F for the 75-percent, 50-percent, and 25-percent part-load cooling
tests, respectively. In contrast, Table 9 of AHRI 340/360-2022
specifies a make-up water temperature of 77 [deg]F for all part-load
cooling tests, which aligns with the make-up water temperature
specified in AHRI 210/240-2017 for ECUACs with cooling capacity less
than 65,000 Btu/h.
DOE does not have data or information to indicate that the make-up
water temperature specifications in AHRI 340/360-2022 are
inappropriate. DOE understands that the make-up water temperatures
specified in Table 9 of AHRI 340/360-2022 represent the prevailing
industry consensus regarding the most appropriate method for testing
ECUACs of all cooling capacities. Therefore, DOE has tentatively
concluded that, consistent with comments from AHRI, the difference
between part-load make-up water temperature conditions specified in
AHRI 340/360-2019 and AHRI 340/360-2022 would have a negligible effect
on the measured IEER for ECUACs. Additionally, DOE does not specify
standards for ECUACs in terms of IEER, so the part-load make-up water
temperature does not affect the efficiency (i.e., EER) certified to
DOE. For these reasons, DOE is not proposing any deviations from the
provisions regarding make-up water temperature in Table 9 of AHRI 340/
360-2022 for adoption in appendix A.
c. Piping Evaporator Condensate to Condenser Sump
As part of the July 2017 RFI, DOE requested comment on whether
ECUACs that allow piping of evaporator condensate to the condenser sump
(a variation not addressed in either the DOE or industry test
procedures) present any complications (e.g., maintaining proper slope
in the piping from the evaporator to the outdoor unit and test
repeatability issues) when testing in a laboratory. DOE also requested
comment and data indicating what kind of impact piping the evaporator
condensate to the condenser sump has on the efficiency and/or capacity
of ECUACs. 82 FR 34427, 34444 (July 25, 2017).
In response, AHRI indicated that reusing the evaporator condensate
would have a negligible impact on performance. AHRI also stated it was
extremely important to follow the manufacturer's supplemental PDF
instructions when setting up a unit for test to avoid complications.
(AHRI, EERE-2017-BT-TP-0018-0011 at p. 29)
Section E8.3 of AHRI 340/360-2022 and the AHRI 1340-202X Draft
specify that if such a feature is an option for an ECUAC unit and the
manufacturer's installation instructions do not require the unit to be
set up with this option, then the unit should be tested without it.
In light of the provisions in AHRI 340/360-2022 and the AHRI 1340-
202X Draft, DOE surmises that the provisions regarding testing with
such a feature represent the prevailing industry consensus regarding
the most appropriate and representative approach for testing ECUACs.
Further, DOE has tentatively concluded that this provision would
improve the repeatability of the test procedure by ensuring that any
given ECUAC model is tested consistently with regards to this feature.
Therefore, DOE is not proposing any deviations from the provisions
regarding testing with this feature in section E8.3 of AHRI 340/360-
2022 and the AHRI 1340-202X Draft.
d. Purge Water Settings
Some ECUACs require, as indicated in product literature, that the
sump water be continuously or periodically purged to reduce mineral and
scale build-up on the condenser heat exchanger. If an ECUAC either
continuously or periodically purges during the test, the purge rate may
affect measured test results. DOE's current test procedure for ECUACs
does not address purge water settings.
As part of the July 2017 RFI, DOE requested comment on how the
purge water rate should be set for laboratory testing if the
manufacturer's instructions do not contain information on this topic.
82 FR 34427, 34444 (July 25, 2017). AHRI responded that the length of a
typical laboratory test is not long enough for there to be significant
scale or fouling build-up; therefore, purge should not be necessary.
(AHRI, EERE-2017-BT-TP-0018-0011 at p. 29)
Section E8.4 of AHRI 340/360-2022 and the AHRI 1340-202X Draft
specify that purge water settings shall be set per the manufacturer's
installation instructions, and also detail what purge rate to use in
the case that the
[[Page 56428]]
manufacturer's instructions do not provide sufficient guidance.
In light of the provisions in AHRI 340/360-2022 and the AHRI 1340-
202X Draft, DOE understands that the purge water provisions in section
E8.4 of AHRI 340/360-2022 and the AHRI 1340-202X Draft represent the
prevailing industry consensus regarding the most appropriate and
representative approach for testing these ECUACs. Further, DOE has
tentatively concluded that this provision would improve the
repeatability of the test procedure by ensuring ECUACs are tested
consistently with regards to purge water settings, particularly when
the manufacturer's instructions do not provide sufficient guidance.
Therefore, DOE is not proposing any deviations from the provisions in
section E8.4 of AHRI 340/360-2022 and the AHRI 1340-202X Draft
regarding purge water settings.
e. Condenser Spray Pumps
As discussed in the July 2017 RFI, the rate that water is sprayed
on the condenser coil may have an impact on the performance of an
ECUAC. 82 FR 34427, 34445 (July 25, 2017). For units with sumps, this
rate may be affected by the pump set-up, and, for units without sumps,
the incoming water pressure may have an impact. DOE noted that neither
DOE's current test procedures nor the industry test standards for
ECUACs address these potential variations. Id. As part of the July 2017
RFI, DOE requested comment on whether the pump flow can be adjusted on
any ECUACs on the market that have circulation pumps. DOE also
requested comment on whether ECUACs without a sump exist and, if so,
whether there are requirements on the incoming water pressure to ensure
proper operation of the spray nozzles. DOE also requested comment and
data regarding the sensitivity of performance test results to these
adjustments. Id.
In response, AHRI indicated that it was not aware of any ECUACs
with adjustable circulator pumps, but that if there are such units,
they should be tested in accordance with the manufacturer's certified
supplemental test instructions. (AHRI, EERE-2017-BT-TP-0018-0011 at p.
30)
Subsequent to the July 2017 RFI, AHRI made relevant updates to AHRI
340/360. Section 5.2 of AHRI 340/360-2022 and section XX of the AHRI
1340-202X Draft both generally state that units shall be installed per
the manufacturer's installation instructions, which would include
condenser spray pump settings in the manufacturer's supplemental test
instructions. In the case of conflicting information, section 5.2 of
AHRI 340/360-2022 and section 5.4 of the AHRI 1340-202X Draft specify
that priority shall be given to installation instructions on the unit's
label over installation instructions shipped with the unit. DOE
believes that using manufacturer instructions provides a repeatable
test set-up that is representative of the installation and operation of
equipment in the field. Therefore, DOE is not proposing any deviations
from the provisions in section 5.2 of AHRI 340/360-2022 and section 5.4
of the AHRI 1340-202X Draft regarding installation of units per the
manufacturer's installation instructions.
f. Additional Steps To Verify Proper Operation
As discussed in the July 2017 RFI, some ECUACs may use spray
nozzles with very small diameter openings that may become easily
clogged, thereby reducing the effectiveness of the heat exchanger. DOE
requested comment on whether there are any additional steps that should
be taken to verify proper operation of ECUACs during testing, such as
ensuring nozzles are not blocked. 82 FR 34427, 34445 (July 25, 2017).
AHRI responded that additional steps, if any, should be outlined in the
manufacturer's supplemental test instructions. (AHRI, EERE-2017-BT-TP-
0018-0011 at p. 30)
Section 5.2 of AHRI 340/360-2022 and section 5.4 of the AHRI 1340-
202X Draft both generally state that units shall be installed per the
manufacturer's installation instructions, which would include
additional steps to verify proper spray nozzle operation in the
manufacturer's supplemental test instructions. Therefore, DOE is not
proposing any deviations from the provisions in section 5.2 of AHRI
340/360-2022 and section 5.4 of the AHRI 1340-202X Draft regarding
installation of units per the manufacturer's installation instructions.
H. General Comments Received in Response to the July 2017 TP RFI
In response to the July 2017 TP RFI, DOE received several general
comments not specific to any one equipment category or test procedure
provision. This section discusses those general comments received.
NCI recommended that DOE follow the development of ASHRAE 221P,
``Test Method to Measure and Score the Operating Performance of an
Installed Constant Volume Unitary HVAC System,'' and consider where it
may be appropriately applied within EPCA test procedures. (NCI, EERE-
2017-BT-TP-0018-0004 at pp. 1-2) NCI stated that it has collected data
indicating that typical split systems and packaged units serving
residential and small commercial buildings typically deliver 50 percent
to 60 percent of the rated capacity to the occupied zone, thereby
making laboratory tests unrepresentative of field performance. Id.
As noted in section I.A, EPCA prescribes that if an industry
testing procedure or rating procedure developed or recognized by
industry (as referenced in ASHRAE Standard 90.1) is amended, DOE must
update its test procedure to be consistent with the amended industry
test procedure, unless DOE determines, by rule published in the Federal
Register and supported by clear and convincing evidence, that such
amended test procedure would not meet the requirements in 42 U.S.C.
6314(a)(2) and (3) related to representative use and test burden. (42
U.S.C. 6314(a)(4)(A) and (B)) DOE notes that ASHRAE Standard 90.1 does
not reference ANSI/ASHRAE Standard 221-2020, ``Test Method to Field-
Measure and Score the Cooling and Heating Performance of an Installed
Unitary HVAC System'' \29\ (ASHRAE 221-2020) as the applicable test
procedure for CUACs and CUHPs. NCI also did not provide data on field
performance or any correlations between field performance and
laboratory test performance for CUACs and CUHPs for DOE to consider.
Furthermore, ASHRAE 221-2020 does not provide a method to determine the
efficiency of CUACs and CUHPs. As discussed, DOE is proposing to
incorporate by reference AHRI 340/360-2022, the most recently published
version of the industry test procedure recognized by ASHRAE Standard
90.1 for CUACs and CUHPs, consistent with EPCA requirements.
Additionally, DOE is proposing to incorporate the testing requirements
and efficiency metric calculation method outlined in the ACUAC and
ACUHP Working Group TP Term Sheet in appendix A1.
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\29\ Found online at webstore.ansi.org/Standards/ASHRAE/ANSIASHRAEStandard2212020.
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The CA IOUs commented that while the July 2017 TP RFI expressed
interest in reducing burden to manufacturers, DOE already took steps to
reduce this burden by allowing alternative energy efficiency or energy
use determination methods (AEDMs). (CA IOUs, EERE-2017-BT-TP-0018-0007
at pp. 1-2) The CA IOUs stated that there are no further opportunities
to streamline test procedures to limit testing burden. Id.
Additionally, the CA IOUs stressed the importance of accurate
efficiency ratings for its incentive programs and for
[[Page 56429]]
customer knowledge, referencing the statutory provision that test
procedures must produce results that are representative of the
product's energy efficiency. Id.
Lennox stated that it generally supports DOE's proposal to meet the
statutory requirements for designing test procedures that measure
energy efficiency during an average use cycle, but requested that DOE
also consider overall impacts to consumers and manufacturers. (Lennox,
EERE-2017-BT-TP-0018-0008 at pp. 1-2) Lennox stated that in commercial
applications, predicting actual energy use from a single metric is
difficult and that a metric better serves as a point of comparison
rather than a measure of energy use. Id. Lennox suggested that DOE
strike a balance between evaluating equipment in a meaningful way
without introducing unwarranted regulatory burden from overly complex
test procedures or calculations that provide little value to consumers.
Id.
In response to the CA IOUs and Lennox, DOE notes that its approach
to test procedures is dictated by the requirements of EPCA. As
discussed, EPCA prescribes that the test procedures for commercial
package air conditioning and heating equipment must be those generally
accepted industry testing procedures or rating procedures developed or
recognized by industry as referenced in ASHRAE Standard 90.1. (42
U.S.C. 6314(a)(4)(A)) If such an industry test procedure is amended,
DOE must update its test procedure to be consistent with the amended
industry test procedure, unless DOE determines, by rule published in
the Federal Register and supported by clear and convincing evidence,
that the amended test procedure would not meet the requirements in 42
U.S.C. 6314(a)(2) and (3) related to representative use and test
burden. (42 U.S.C. 6314(a)(4)(B) and (C)) In establishing or amending
its test procedures, DOE must develop test procedures that are
reasonably designed to produce test results reflecting energy
efficiency, energy use, and estimated operating costs of a type of
industrial equipment during a representative average use cycle and that
are not unduly burdensome to conduct. (42 U.S.C 6314(a)(2)) DOE's
considerations of these requirements in relation to individual test
method issues are discussed within the relevant sections of this NOPR.
ASAP, ASE, et al. stated that there are a number of ambiguities in
industry test procedures and that DOE should address these ambiguities
in order to provide a level playing field for manufacturers and to
ensure that any verification or enforcement testing is consistent with
manufacturers' own testing. (ASAP, ASE, et al., EERE-2017-BT-TP-0018-
0009 at p. 2)
DOE notes that ASAP, ASE, et al. did not identify any specific test
provisions that were the cause of their concern. In the context of the
test procedure for CUACs and CUHPs, DOE has evaluated the industry test
standard in the context of the statutory criteria regarding
representativeness of the measured energy efficiency and test burden.
To the extent that existing provisions in the relevant industry test
procedure may benefit from further detail, such provisions are
discussed in the following sections of this document.
I. Configuration of Unit Under Test
1. Summary
CUACs and CUHPs 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. The following sections address
the required configuration of units under test. In all cases, these
components are distributed in commerce with the CUAC and CUHP but can
be packaged or shipped in different ways from the point of manufacture
for ease of transportation. Each optional component may or may not
affect a model's measured efficiency when tested to the DOE test
procedure proposed in this NOPR. For certain components not directly
addressed in the DOE test procedure, this NOPR proposes more specific
instructions on how each component should be handled for the purposes
of making representations in 10 CFR part 429. Specifically, these
proposed instructions would provide manufacturers with clarity on how
components should be treated and how to group individual models with
and without optional components for the purposes of representations to
reduce burden. DOE is proposing these provisions in 10 CFR part 429 to
allow for testing of certain individual models that can be used as a
proxy to represent the performance of equipment with multiple
combinations of components.
In this NOPR, DOE is proposing to handle CUAC and CUHP components
in two distinct ways to help manufacturers better understand their
options for developing representations for their differing product
offerings. First, DOE proposes that the treatment of certain components
be specified by the test procedure, such that their impact on measured
efficiency is limited. For example, a fresh air damper must be set in
the closed position and sealed during testing, resulting in a measured
efficiency that would be similar or identical to the measured
efficiency for a unit without a fresh air damper. Second, DOE is
proposing provisions expressly allowing certain models to be grouped
together for the purposes of making representations and allowing the
performance of a model without certain optional components to be used
as a proxy for models with any combinations of the specified
components, even if such components would impact the measured
efficiency of a model. A steam/hydronic coil is an example of such a
component. The efficiency representation for a model with a steam/
hydronic coil is based on the measured performance of the CUAC and CUHP
as tested without the component installed because the steam/hydronic
coil is not easily removed from the CUAC and CUHP for testing.\30\
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\30\ Note that in certain cases, as explained further in section
III.I.3.b of this document, the representation may have to be based
on an individual model with a steam/hydronic coil.
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2. Background
In 2013, ASRAC formed the Commercial HVAC Working Group to engage
in a negotiated rulemaking effort regarding the certification of
certain commercial heating, ventilating, and air conditioning
equipment, including CUACs and CUHPs. (See 78 FR 15653 (March 12,
2013)) This Commercial HVAC Working Group submitted a term sheet
(Commercial HVAC Term Sheet) providing the Commercial HVAC Working
Group's recommendations. (See EERE-2013-BT-NOC-0023-0052) \31\ The
Commercial HVAC Working Group recommended that DOE issue guidance under
current regulations on how to test certain equipment features when
included in a basic model, until such time as the testing of such
features can be addressed through a test procedure rulemaking. The
Commercial HVAC Term Sheet listed the subject features under the
heading ``Equipment Features Requiring Test Procedure Action.'' (Id at
pp. 3-9) The Commercial HVAC Working Group also recommended that DOE
issue an enforcement policy stating that DOE would exclude certain
equipment with specified features from DOE testing, but only when the
manufacturer offers for sale at all times a model that is identical in
all other features; otherwise, the model with that feature would be
eligible for DOE testing. These features were listed under the heading
[[Page 56430]]
``Equipment Features Subject to Enforcement Policy.'' (Id. at pp. 9-15)
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\31\ Available at www.regulations.gov/document/EERE-2013-BT-NOC-0023-0052.
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On January 30, 2015, DOE issued a Commercial HVAC Enforcement
Policy addressing the treatment of specific features during DOE testing
of commercial HVAC equipment. (See www.energy.gov/gc/downloads/commercial-equipment-testing-enforcement-policies) The Commercial HVAC
Enforcement Policy stated that--for the purposes of assessment testing
pursuant to 10 CFR 429.104, verification testing pursuant to 10 CFR
429.70(c)(5), and enforcement testing pursuant to 10 CFR 429.110--DOE
would not test a unit with one of the optional features listed for a
specified equipment type if a manufacturer distributes in commerce an
otherwise identical unit that does not include that optional feature.
(Commercial HVAC Enforcement Policy at p. 1) The objective of the
Commercial HVAC Enforcement Policy is to ensure that each basic model
has a commercially-available version eligible for DOE testing. That is,
each basic model includes a model either without the optional
feature(s) listed in the policy or that is eligible for testing with
the feature(s). Id. The features in the Commercial HVAC Enforcement
Policy for CUACs and CUHPs (Id. at pp. 1-3 and 5-6) align with the
Commercial HVAC Term Sheet's list designated ``Equipment Features
Subject to Enforcement Policy.'' (EERE-2013-BT-NOC-0023-0052, pp. 9-15)
By way of comparison, AHRI 340/360-2022 and AHRI 1340-202X Draft
include appendix D, ``Unit Configuration for Standard Efficiency
Determination--Normative.'' Section D3 to appendix D of AHRI 340/360-
2022 and AHRI 1340-202X Draft includes a list of features that are
optional for testing, and it further specifies the following general
provisions regarding testing of units with optional features:
If an otherwise identical model (within the basic model)
without the feature is not distributed in commerce, conduct tests with
the feature according to the individual provisions specified in section
D3 to appendix D of AHRI 340/360-2022 and AHRI 1340-202X Draft.
For each optional feature, section D3 to appendix D of
AHRI 340/360-2022 and AHRI 1340-202X Draft includes explicit
instructions on how to conduct testing for equipment with the optional
feature present.
The optional features provisions in AHRI 340/360-2022 and AHRI
1340-202X Draft are generally consistent with DOE's Commercial HVAC
Enforcement Policy, but the optional features in section D3 to appendix
D of AHRI 340/360-2022 and AHRI 1340-202X Draft do not entirely align
with the list of features included for CUACs and CUHPs in the
Commercial HVAC Enforcement Policy.
DOE notes that the list of features and provisions in section D3 to
appendix D of AHRI 340/360-2022 and AHRI 1340-202X Draft conflate
components that can be addressed by testing provisions with components
that, if present on a unit under test, could have a substantive impact
on test results and that cannot be disabled or otherwise mitigated.
This differentiation was central to the Commercial HVAC Term Sheet,
which as noted previously, included separate lists for ``Equipment
Features Requiring Test Procedure Action'' and ``Equipment Features
Subject to Enforcement Policy,'' and remains central to providing
clarity in DOE's regulations. Therefore, DOE has tentatively determined
that provisions more explicit than those included in section D3 of
appendix D of AHRI 340/360-2022 and AHRI 1340-202X Draft are warranted
to clarify treatment of models that include more than one optional
component.
In order to provide clarity between test procedure provisions
(i.e., how to test a specific unit) and certification and enforcement
provisions (e.g., which model to test), DOE is not proposing to adopt
appendix D of AHRI 340/360-2022 or AHRI 1340-202X Draft and instead is
proposing related provisions in 10 CFR 429.43, 10 CFR 429.134, and 10
CFR part 431, subpart F, appendices A and A1.
3. Proposed Approach for Exclusion of Certain Components
DOE's proposals for addressing treatment of certain components are
discussed in the following sub-sections. Were DOE to adopt the
provisions in 10 CFR 429.43, 10 CFR 429.134, and 10 CFR part 431,
subpart F, appendices A and A1 as proposed, DOE would rescind the
Commercial HVAC Enforcement Policy to the extent it is applicable to
CUACs and CUHPs.
Issue 5: DOE seeks comment on its proposals regarding specific
components in 10 CFR 429.43, 10 CFR 429.134, and 10 CFR part 431,
subpart F, appendices A and A1.
a. Components Addressed Through Test Provisions of 10 CFR Part 431,
Subpart F, Appendices A and A1
In 10 CFR part 431, subpart F, appendices A and A1, DOE proposes
test provisions for specific components, including all of the
components listed in section D3 to appendix D of AHRI 340/360-2022 and
AHRI 1340-202X Draft, for which there is a test procedure action that
limits the impacts on measured efficiency (i.e., test procedure
provisions specific to the component that are not addressed by general
provisions in AHRI 340/360-2022 or AHRI 1340-202X Draft that negate the
component's impact on performance). These provisions would specify how
to test a unit with such a component (e.g., for a unit with hail
guards, remove hail guards for testing). These proposed test provisions
are consistent with the provision in section D3 to appendix D of AHRI
340/360-2022 and AHRI 1340-202X Draft but include revisions for further
clarity and specificity (e.g., adding clarifying provisions for how to
test units with modular economizers as opposed to units shipped with
economizers installed). Specifically, DOE is proposing to require in
appendices A and A1 that steps be taken during unit set-up and testing
to limit the impacts on the measurement of these components:
Air Economizers
Barometric Relief Dampers
Desiccant Dehumidification Components
Evaporative Pre-cooling of Air-cooled Condenser Intake Air
Fire/Smoke/Isolation Dampers
Fresh Air Dampers
Hail Guards
High-Effectiveness Indoor Air Filtration
Power Correction Capacitors
Process Heat Recovery/Reclaim Coils/Thermal Storage
Refrigerant Reheat Coils
Steam/Hydronic Heat Coils
UV Lights
Ventilation Energy Recovery Systems (VERS)
The components are listed and described in Table 1 in section 4 of
the amendments proposed for appendix A, and Table 1 in section 4 of the
amendments proposed for appendix A1. Test provisions for the components
are provided in the tables.
b. Components Addressed Through Representation Provisions of 10 CFR
429.43
Consistent with the Commercial HVAC Term Sheet and the Commercial
HVAC Enforcement Policy, DOE is proposing provisions that explicitly
allow representations for individual models with certain components to
be based on testing for individual models without those components. DOE
is proposing a table (Table 6 to 10 CFR 429.43) at 10 CFR
429.43(a)(3)(v)(A) listing the components for which these provisions
would apply. DOE is proposing the following components be listed in
Table 6 to 10 CFR 429.43:
[[Page 56431]]
Air Economizers
Desiccant Dehumidification Components
Evaporative Pre-cooling of Air-cooled Condenser Intake Air
Fire/Smoke/Isolation Dampers
Indirect/Direct Evaporative Cooling of Ventilation Air
Non-Standard Ducted Condenser Fans
Non-Standard Indoor Fan Motors
Powered Exhaust/Powered Return Air Fans
Process Heat Recovery/Reclaim Coils/Thermal Storage
Refrigerant Reheat Coils
Sound Traps/Sound Attenuators
Steam/Hydronic Heat Coils
Ventilation Energy Recovery Systems (VERS)
In this NOPR, DOE is proposing to specify that the basic model
representation must be based on the least efficient individual model
that comprises a basic model, and clarifying how this long-standing
basic model provision interacts with the proposed component treatment
in 10 CFR 429.43. DOE believes that regulated entities may benefit from
clarity in the regulatory text as to how the least efficient individual
model within a basic model provision works in concert with the
component treatment for CUACs and CUHPs. The amendments in this NOPR
explicitly state that excluding the specified components from
consideration in determining basic model efficiency in certain
scenarios is an exception to basing representations on the least-
efficient individual model within a basic model. In other words, the
components listed in 10 CFR 429.43 are not being considered as part of
the representation under DOE's regulatory framework if certain
conditions are met as discussed in the following paragraphs, and, thus,
their impact on efficiency is not reflected in the representation. In
this case, the basic model's representation is generally determined by
applying the testing and sampling provisions to the least efficient
individual model in the basic model that does not have a component
listed in 10 CFR 429.43.
DOE is proposing clarifying instructions for instances when
individual models within a basic model may have more than one of the
specified components and there may be no individual model without any
of the specified components. DOE is proposing the concept of an
``otherwise comparable model group'' (OCMG). An OCMG is a group of
individual models within the basic model that do not differ in
components that affect energy consumption as measured according to the
applicable test procedure other than the specific components listed in
Table 6 to 10 CFR 429.43 but may include individual models with any
combination of such specified components. Therefore, a basic model can
be composed of multiple OCMGs, each representing a unique combination
of components that affect energy consumption as measured according to
the applicable test procedure, other than the specified excluded
components listed in Table 6 to 10 CFR 429.43. For example, a
manufacturer might include two tiers of control systems within the same
basic model, in which one of the control systems has sophisticated
diagnostics capabilities that require a more powerful control board
with a higher wattage input. CUAC and CUHP individual models with the
``standard'' control system would be part of OCMG A, while individual
models with the ``premium'' control system would be part of a different
OCMG B, because the control system is not one of the specified exempt
components listed in Table 6 to 10 CFR 429.43. However, both OCMGs may
include different combinations of specified exempt components. Also,
both OCMGs may include any combination of characteristics that do not
affect the efficiency measurement, such as paint color.
An OCMG identifies which individual models are to be used to
determine a represented value. Specifically, when identifying the
individual model within an OCMG for the purpose of determining a
representation for the basic model, only the individual model(s) with
the least number (which could be zero) of the specific components
listed in Table 6 to 10 CFR 429.43 is considered. This clarifies which
individual models are exempted from consideration for determination of
represented values in the case of an OCMG with multiple specified
components and no individual models with zero specific components
listed in Table 6 to 10 CFR 429.43 (i.e., models with a number of
specific components listed in Table 6 to 10 CFR 429.43 greater than the
least number in the OCMG are exempted). In the case that the OCMG
includes an individual model with no specific components listed in
Table 1 to 10 CFR 429.43, then all individual models in the OCMG with
specified components would be exempted from consideration. The least
efficient individual model across the OCMGs within a basic model would
be used to determine the representation of the basic model. In the case
where there are multiple individual models within a single OCMG with
the same non-zero least number of specified components, the least
efficient of these would be considered.
DOE relies on the term ``comparable'' as opposed to ``identical''
to indicate that, for the purpose of representations, the components
that impact energy consumption as measured by the applicable test
procedure are the relevant components to consider. In other words,
differences that do not impact energy consumption, such as unit color
and presence of utility outlets, would not warrant separate OCMGs.
The use of the OCMG concept results in the represented values of
performance that are representative of the individual model(s) with the
lowest efficiency found within the basic model, excluding certain
individual models with the specific components listed in Table 6 to 10
CFR 429.43. Specifically with regard to basic models of CUACs and CUHPs
distributed in commerce with multiple different heating capacities of
furnaces, the individual model with the lowest efficiency found within
the basic model (with the aforementioned exception) would likely
include the furnace with the highest offered heating capacity.
Additionally, selection of the individual model with the lowest
efficiency within the basic model would be required to consider all
options for factory-installed components and manufacturer-supplied
field-installed components (e.g., electric resistance supplementary
heat), excluding the specific components listed in Table 6 to 10 CFR
429.43. If manufacturers were to want to represent more efficient
models within the same group, they would be able to establish those
units as new basic models and test and report the results accordingly.
Further, the approach, as proposed, is structured to more explicitly
address individual models with more than one of the specific components
listed in Table 6 to 10 CFR 429.43, as well as instances in which there
is no comparable model without any of the specified components. DOE
developed a document of examples to illustrate the approach proposed in
this NOPR for determining represented values for CUACs and CUHPs with
specific components, and in particular the OCMG concept (see EERE-2023-
BT-TP-0014).
DOE's proposed provisions in 10 CFR 429.43(a)(3)(v)(A) include each
of the components specified in section D3 to appendix D of AHRI 340/
360-2022 for which the test provisions for a unit with these components
may result in differences in ratings compared to
[[Page 56432]]
testing a unit without these components. Non-standard indoor fan motors
and coated coils are discussed in the following sub-sections.
(1) High-Static Non-Standard Indoor Fan Motors
The Commercial HVAC Enforcement Policy includes high-static indoor
blowers or oversized motors as an optional feature for CUACs and CUHPs,
among other equipment. The Commercial HVAC Enforcement Policy states
that when selecting a unit of a basic model for DOE[hyphen]initiated
testing, if the basic model includes a variety of high-static indoor
blowers or oversized motor options,\32\ DOE will test a unit that has a
standard indoor fan assembly (as described in the STI that is part of
the manufacturer's certification, including information about the
standard motor and associated drive that was used in determining the
certified rating). This policy only applies where: (a) the manufacturer
distributes in commerce a model within the basic model with the
standard indoor fan assembly (i.e., standard motor and drive), and (b)
all models in the basic model have a motor with the same or better
relative efficiency performance as the standard motor included in the
test unit, as described in a separate guidance document discussed
subsequently. If the manufacturer does not offer models with the
standard motor identified in the STI or offers models with high-static
motors that do not comply with the comparable efficiency guidance, DOE
will test any indoor fan assembly offered for sale by the manufacturer.
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\32\ The Commercial HVAC Enforcement Policy defines ``high
static indoors blower or oversized motor'' as an indoor fan
assembly, including a motor, that drives the fan and can deliver
higher external static pressure than the standard indoor fan
assembly sold with the equipment. (See www.energy.gov/sites/default/files/2019/04/f62/Enforcement_Policy-Commercial_HVAC.pdf at p.6)
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DOE subsequently issued a draft guidance document (Draft Commercial
HVAC Guidance Document) on June 29, 2015 to request comment on a method
for comparing the efficiencies of a standard motor and a high-static
indoor blower/oversized motor.\33\ As presented in the Draft Commercial
HVAC Guidance Document, the relative efficiency of an indoor fan motor
would be determined by comparing the percent losses of the standard
indoor fan motor to the percent losses of the non-standard (oversized)
indoor fan motor. The percent losses would be determined by comparing
each motor's wattage losses to the wattage losses of a corresponding
reference motor. Additionally, the draft method contains a table that
includes a number of situations with different combinations of
characteristics of the standard motor and oversized motor (e.g.,
whether each motor is subject to Federal standards for motors; whether
each motor can be tested to the Federal test procedure for motors;
whether each motor horsepower is less than 1 and specifies for each
combination whether the non-standard fan enforcement policy would apply
(i.e., whether DOE would not test a model with an oversized motor, as
long as the relative efficiency of the oversized motor is at least as
good as performance of the standard motor)). DOE has not issued a final
guidance document and is instead addressing the issue for CUACs and
CUHPs in this test procedure rulemaking.
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\33\ Available at www1.eere.energy.gov/buildings/appliance_standards/pdfs/draft-commercial-hvac-motor-faq-2015-06-29.pdf.
---------------------------------------------------------------------------
The current Federal test procedure does not address this issue.
Section D4.1 of appendix D of AHRI 340/360-2022 and AHRI 1340-202X
Draft provide an approach for including an individual model with a non-
standard indoor fan motor as part of the same basic model as an
individual model with a standard indoor fan motor. Under the approach
in section D4.1 of appendix D of AHRI 340/360-2022 and AHRI 1340-202X
Draft, the non-standard indoor fan motor efficiency must exceed the
minimum value calculated using equation D1 in appendix D of AHRI 340/
360-2022 and AHRI 1340-202X Draft. This minimum non-standard motor
efficiency calculation is dependent on the efficiency of the standard
fan motor and the reference efficiencies (determined per Table D1 of
appendix D of AHRI 340/360-2022 and AHRI 1340-202X Draft) of the
standard and non-standard fan motors.
Section D4.2 of appendix D of AHRI 340/360-2022 and AHRI 1340-202X
Draft contain a method for how to compare performance for integrated
fans and motors (IFMs). Because the fan motor in an IFM is not
separately rated from the fan, this method compares the performance of
the entire fan-motor assemblies for the standard and non-standard IFMs,
rather than just the fan motors. This approach enables comparing
relative performance of standard and non-standard IFMs, for which motor
efficiencies could otherwise not be compared using the method specified
in section D4.1 of appendix D of AHRI 340/360-2022 or AHRI 1340-202X
Draft. Specifically, this method determines the ratio of the input
power of the non-standard IFM to the input power of the standard IFM at
the same duty point as defined in section D4.2 of appendix D of AHRI
340/360-2022 and AHRI 1340-202X Draft (i.e., operating at the maximum
ESP for the standard IFM at the rated airflow). If the input power
ratio does not exceed the maximum ratio specified in Table D3 of
appendix D of AHRI 340/360-2022 and AHRI 1340-202X Draft, the
individual model with the non-standard IFM may be included within the
same basic model as the individual model with the standard IFM. Section
D4.2 of appendix D of AHRI 340/360-2022 and AHRI 1340-202X Draft allow
these calculations to be conducted using either test data or simulated
performance data.
The approaches in section D4 of appendix D of AHRI 340/360-2022 and
AHRI 1340-202X Draft for high-static non-standard indoor fan motors and
non-standard indoor IFMs generally align with the approaches of the
Commercial HVAC Term Sheet, the Commercial HVAC Enforcement Policy, and
the Draft Commercial HVAC Guidance Document, while providing greater
detail and accommodating a wider range of fan motor options. For the
reasons presented in the preceding paragraphs, DOE proposes to adopt in
Table 6 to 10 CFR 429.43 the provisions for comparing performance of
standard and high-static non-standard indoor fan motors/IFMs in section
D4 of appendix D of AHRI 340/360-2022 and AHRI 1340-202X Draft \34\ for
the determination of the represented efficiency value for CUACs and
CUHPs at 10 CFR 429.43(a)(3). Were DOE to adopt the provisions of
section D4 of appendix D of AHRI 340/360-2022 and AHRI 1340-202X Draft
as proposed, the Commercial HVAC Enforcement Policy and draft guidance
document, to the extent applicable to indoor fan motors for CUACs and
CUHPs, would no longer apply.
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\34\ Per DOE's existing certification regulations, if a
manufacturer were to use the proposed approach to certify a basic
model, the manufacturer would be required to maintain documentation
of how the relative efficiencies of the standard and non-standard
fan motors or the input powers of the standard and non-standard IFMs
were determined, as well as the supporting calculations. See 10 CFR
429.71.
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(2) Coated Coils
DOE is proposing to exclude coated coils from the specific
components list specified in 10 CFR 429.43 because DOE has tentatively
concluded that the presence of coated coils does not result in a
significant impact to performance of CUACs and CUHPs, and, therefore,
models with coated coils should be rated based on performance of models
with coated coils present (rather than
[[Page 56433]]
based on performance of an individual model within an OCMG without
coated coils).
c. Enforcement Provisions of 10 CFR 429.134
Consistent with the Commercial HVAC Term Sheet and the Commercial
HVAC Enforcement Policy, DOE is proposing provisions in 10 CFR
429.134(g)(2) regarding how DOE would assess compliance for basic
models of CUACs and CUHPs that include individual models distributed in
commerce if DOE cannot obtain for testing individual models without
certain components consistent with the model that served as the basis
of representation. Specifically, DOE proposes that if a basic model
includes individual models with components listed at Table 6 to 10 CFR
429.43 and DOE is not able to obtain an individual model with the least
number of those components within an OCMG (as defined in 10 CFR
429.43(a)(3)(v)(A)(1) and discussed in section III.I.3.b of this NOPR),
DOE may test any individual model within the OCMG.
d. Testing Specially Built Units That Are Not Distributed in Commerce
Unlike section D3 to appendix D of AHRI 340/360-2022 and AHRI 1340-
202X Draft, DOE's Commercial HVAC Enforcement Policy does not allow a
manufacturer to test a model that is specially built for testing
without a feature if models without that feature are not actually
distributed in commerce. Because testing such specially built models
would not provide ratings representative of equipment distributed in
commerce, DOE has tentatively concluded that this approach is not
appropriate. Therefore, consistent with the Commercial HVAC Enforcement
Policy, DOE is not proposing to allow testing of specially built units
in its representation and enforcement provisions.
J. Represented Values
In the following sections, DOE discusses requirements regarding
represented values. To the extent DOE is proposing changes to the
requirements specified in 10 CFR 429 regarding representations of CUACs
and CUHPs, such amendments to 10 CFR part 429, if made final, would be
required starting 360 days after publication in the Federal Register of
the test procedure final rule. Prior to 360 days after publication in
the Federal Register of the test procedure final rule, the current
requirements would apply.
1. Cooling Capacity
For CUACs and CUHPs, cooling capacity determines equipment class,
which in turn determines the applicable energy conservation standard.
10 CFR 431.97. Cooling capacity also dictates the minimum ESP test
condition applicable under Table 7 of AHRI 340/360-2022 (i.e., larger
capacity units are required to be tested at higher ESPs), which in turn
affects the performance of the unit. Cooling capacity is a required
represented value for all CUACs and CUHPs, but the requirements
currently specified in 10 CFR 429.43(a)(1)(iv) regarding how the
represented value of cooling capacity is determined only apply to
ACUACs and ACUHPs.
DOE proposes to the make certain modifications to these provisions
and expand the applicability of these provisions as amended to all of
the CUACs and CUHPs that are the subject of this NOPR. DOE proposes
that the represented value of cooling capacity must be between 95 and
100 percent of the mean of the total cooling capacities measured for
the units in the sample. DOE also proposes to require for units where
the represented value is determined through an AEDM that the
represented value of cooling capacity must be between 95 and 100
percent of the total cooling capacity output simulated by the AEDM.
Additionally, DOE proposes to remove the existing requirement in 10 CFR
429.43(a)(1)(iv) that the represented value of cooling capacity
correspond to the nearest appropriate Btu/h multiple according to Table
4 of ANSI/AHRI 340/360-2007 in order to allow manufacturers flexibility
in certifying a rated value that provides a representation of cooling
capacity that may be more meaningful for commercial consumers.
DOE currently outlines product-specific enforcement provisions at
10 CFR 429.134(g) for ACUACs and ACUHPs, specifically that the mean of
cooling capacity measurements will be used to determine the applicable
standards (which depend on cooling capacity) for purposes of
compliance. First, DOE proposes to expand the scope of this requirement
to include ECUACs and WCUACs. Second, DOE proposes for all CUACs and
CUHPs that are the subject of this NOPR that if the mean of the cooling
capacity measurements exceeds by more than 5 percent the cooling
capacity certified by the manufacturer, the mean of the measurement(s)
will be used to select the applicable minimum ESP test condition from
Table 7 of AHRI 340/360-2022 in appendix A or from Table 5 of the AHRI
1340-202X Draft in appendix A1.
These proposals would ensure the rated capacity is representative
of the unit's performance, that the unit is being tested to the
appropriate ESP, and that the unit is being evaluated against the
appropriate standard. The proposals would allow manufacturers to
conservatively rate capacity if the manufacturer deemed such
conservative rating necessary to ensure that equipment is capable of
performing at the cooling capacity for which it is represented to
consumers. This flexibility was requested by manufacturers of CUACs and
CUHPs as summarized in a test procedure final rule published on
December 23, 2015. 80 FR 79655, 79662-79663. In addition to the
flexibility these proposals would provide to manufacturers, DOE has
also tentatively determined that they would ensure enforcement testing
is based on representative cooling capacities.
Issue 6: DOE requests comment on its proposals related to
represented values and verification testing of cooling capacity.
In response to the May 2022 TP/ECS RFI, the CA IOUs expressed
concern that manufacturers are marketing equipment using the ``nominal
capacity'' while rating it to a potentially substantially different
``rated capacity'' for compliance with DOE energy conservation
standards. (CA IOUs, EERE-2022-BT-STD-0015-0012 at p. 5) The CA IOUs
included an example of a 40-ton CUAC with a nominal capacity of 40 tons
and 480,000 Btu/h, but was only rated at 35.4 tons and 425,000 Btu/h.
Id. The CA IOUs recommended that DOE address this potential issue, and
suggested that DOE should require nominal and rated capacity to align
within a certain percentage. Id. The CA IOUs included an example of
AHRI Standard 1230-2014, an older edition of the VRF test procedure
which had a requirement that the nominal capacity not be greater than
105 percent of the rated capacity. Id.
DOE surmises that there is benefit in allowing manufacturers to
group capacities nominally, such that some rounding of capacity values
may be involved. DOE has not found sufficient evidence that any
differences between nominal and rated capacity are problematic for
consumers of this equipment, and notes that product literature provides
specific ratings for each unit and is publicly accessible.
Additionally, DOE notes that the CA IOUs were involved in the Working
Group meetings, and that no mention of the issue between nominal and
rated capacity was included in the ACUAC
[[Page 56434]]
and ACUHP Working Group TP Term Sheet. DOE does not have sufficient
evidence to warrant any changes regarding this issue; therefore, DOE is
not proposing any provisions regarding nominal capacity of CUACs and
CUHPs.
2. Single-Zone Variable-Air-Volume and Multi-Zone Variable-Air-Volume
AHRI 340/360-2015 added definitions and test provisions for SZVAV
and MZVAV equipment. Specifically, AHRI 340/360-2015 (and the
subsequent editions of AHRI 340/360) defines MZVAV units as those
designed to vary the indoor air volume and refrigeration capacity/
staging at a controlled discharge air temperature and static pressure
as a means of providing space temperature control to independent
multiple spaces with independent thermostats. AHRI 340/360-2015 (and
the subsequent editions of AHRI 340/360) defines SZVAV units as those
with a control system designed to vary the indoor air volume and
refrigeration capacity/staging as a means to provide zone control to a
single or common zones. The SZVAV definition further provides that the
capacity, as well as the supply air shall be controlled either through
modulation, discrete steps or combinations of modulation and step
control based on the defined control logic.
As part of the July 2017 TP RFI, DOE requested comment on whether a
CUAC model that could operate as both a SZVAV unit and a MZVAV unit
should be tested both ways, representing two separate basic models. If
tested as one basic model, DOE requested information regarding how to
determine which of the two test methods would apply. DOE also requested
comment on whether status as a proportionally controlled unit would be
the appropriate indication of whether a CUAC can be used as a MZVAV
unit, or whether some other characteristics regarding variable capacity
control would have to be satisfied. 82 FR 34427, 34443.
Carrier, Goodman, and Lennox indicated that SZVAV and MZVAV models
should be certified as different basic models. (Carrier, EERE-2017-BT-
TP-0018-0006 at p. 14; Goodman, EERE-2017-BT-TP-0018-0014 at p. 5;
Lennox, EERE-2017-BT-TP-0018-0008 at p. 5) Lennox also stated that it
has different model numbers for the two product types characterizing
SZVAV and MZVAV models. (Lennox, EERE-2017-BT-TP-0018-0008 at p. 5)
Carrier stated that typically a MZVAV model has fully variable speed
fans and more stages of capacity than a SZVAV model. (Carrier, EERE-
2017-BT-TP-0018-0006 at p. 14) Goodman commented that SZVAV and MZVAV
models are capable of having different ratings based on control
strategy. (Goodman, EERE-2017-BT-TP-0018-0014 at p. 5) Lennox also
stated that SZVAV and MZVAV models have different control algorithms
and performance ratings. (Lennox, EERE-2017-BT-TP-0018-0008 at p. 5)
AHRI stated that while some models are built to be specifically SZVAV
or MZVAV units, other models can operate as both. AHRI further
commented that if a unit can operate as both, it is possible for the
IEER to be slightly different in each configuration. AHRI also stated
that it is important to follow the STI when performing the test. (AHRI,
EERE-2017-BT-TP-0018-0011 at p. 27)
AHRI 340/360-2022 includes definitions for SZVAV and MZVAV that
align with AHRI 340/360-2015, and includes revised provisions for
setting airflow for SZVAV and MZVAV equipment. However, Recommendation
#12 of the ACUAC and ACUHP Working Group TP Term Sheet specifies that
for determining the IVEC and IVHE metrics there would be no separate
test provisions for MZVAV units. Consistent with the ACUAC and ACUHP
Working Group TP Term Sheet, AHRI 1340-202X Draft does not specify
separate test provisions for testing MZVAV units--instead the
provisions for setting airflow apply for all units, including those
classified as MZVAV units in AHRI 340/360-2015 and AHRI 340/360-2022.
As discussed, DOE is proposing to incorporate by reference AHRI
340/360-2022 for determining the current metrics for CUACs and CUHPs in
appendix A, and to adopt the AHRI 1340-202X Draft for determining IVEC
and IVHE in appendix A1. DOE has tentatively concluded that the
proposed test procedure in appendix A (referencing AHRI 340/360-2022)
is sufficient for determining ratings for SZVAV and MZVAV equipment,
and because provisions for MZVAV equipment are not included in the AHRI
1340-202X Draft, DOE has tentatively determined that additional
provisions for determining represented values for SZVAV and MZVAV
equipment are not warranted for appendix A1.
3. Confidence Limit
In response to the July 2017 TP RFI, Lennox recommended that DOE
harmonize the certification criteria in 10 CFR 429.43 applicable to
commercial heating, ventilating, and air conditioning (HVAC) equipment,
with that for central air conditioners, a consumer product, in 10 CFR
429.16. In particular, Lennox stated that commercial equipment
currently has a more stringent confidence limit of 95 percent (as
compared to 90 percent for residential CACs) and stated that current
testing technology does not support this level of precision. (Lennox,
EERE-2017-BT-TP-0018-0008 at p. 6)
Other manufacturers did not raise concerns regarding the confidence
limit required for sampling commercial package air conditioners and
heat pumps (including CUACs and CUHPs). DOE also notes that Lennox did
not provide any data to support its view regarding the alleged
variability of units in production and testing to support a difference
confidence limit. Absent such data, DOE is unable to determine whether
the more stringent confidence level for commercial heating,
ventilating, and air conditioning equipment presents an actual problem.
Consequently, DOE is not proposing a change to its confidence level at
this time.\35\
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\35\ DOE notes that it has previously requested data regarding
the variability of units in production and testing to enable DOE to
review and make any necessary adjustments to the specified
confidence levels. 80 FR 79655, 79659. DOE did not receive any
relevant data in response to that request.
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4. AEDM Tolerance for IVEC and IVHE
As discussed previously, DOE's existing testing regulations allow
the use of an AEDM, in lieu of testing, to simulate the efficiency of
CUACs and CUHPs. 10 CFR 429.43(a). For models certified with an AEDM,
results from DOE verification tests are subject to certain tolerances
when compared to certified ratings. In Table 2 to paragraph
(c)(5)(vi)(B) at 10 CFR 429.70, DOE is proposing to specify a tolerance
of 10 percent for CUAC and CUHP verification tests for IVEC and IVHE.
This is identical to the current tolerance specified for IEER (for
ACUACs and ACUHPs) and for integrated metrics for other categories of
commercial air conditioners and heat pumps (e.g., integrated seasonal
coefficient of performance 2 and integrated seasonal moisture removal
efficiency 2 for DX-DOASes). DOE is also proposing to specify a
tolerance of 5 percent for CUAC and CUHP verification testing for the
optional EER2 and COP2 metrics. This is identical to the current
tolerances specified for EER and COP for CUACs and CUHPs.
5. Minimum Part-Load Airflow
As previously discussed in sections III.F.1.d, III.F.4, and
III.F.5, the IVEC and IVHE metrics account for energy consumed
(specifically that of the indoor fan) in mechanical cooling and heating
as well as modes other than mechanical cooling and heating (e.g.,
[[Page 56435]]
economizer-only cooling, cooling season ventilation, heating season
ventilation). IVEC and IVHE do not include separate tests or airflow
rates for ventilation hours or economizer-only cooling (only applicable
to IVEC). For example, for the economizer-only cooling hours in the D
bin, the indoor fan power measured when operating at the lowest
manufacturer-specified part-load airflow for a given load bin is
applied for economizer-only cooling hours in that bin. Section 6.2.7 of
the AHRI 1340-202X Draft requires that the lowest indoor fan power
measured for all cooling or heating tests is applied for cooling-season
ventilation hours in IVEC and heating-season ventilation hours in IVHE.
Therefore, considering mechanical cooling and heating as well as other
operating modes (economizer-only cooling, ventilation), the indoor fan
power measured at the lowest manufacturer-specified part-load cooling
and heating airflow rates represents a significant fraction of the
power included in the IVEC and IVHE metrics (i.e., indoor fan power
measured at these airflow rates is weighted by a significant number of
hours), and differences in the lowest manufacturer-specified part-load
airflow can significantly impact IVEC and IVHE ratings.
Based on examination of publicly-available product literature, DOE
understands that many basic models of a CUAC or CUHP have controls that
allow for modulation of the minimum airflow used across a wide range of
airflow turndown. DOE's research suggests that many models are
distributed in commerce with an ``as-shipped'' minimum airflow and/or a
default minimum airflow setting recommended in manufacturer
installation instructions. However, in many cases DOE observed that the
unit controls allow the installer to change this minimum airflow
setting during installation to reflect any constraints specific to a
particular installation. DOE understands that such constraints may
include the duct distribution system, the thermostat the CUAC or CUHP
is paired with, and the minimum ventilation rate for the conditioned
space served by the CUAC or CUHP. To ensure that IVEC and IVHE ratings
reflect indoor fan power that is generally representative of airflow
rates that would be used in the field for a given basic model, DOE
considered two options for requirements related to minimum part-load
airflow used for representations of IVEC and IVHE:
1. Representations of IVEC and IVHE (including IVHEc, as
applicable) must be based on setting the lowest stage of airflow to the
highest part-load airflow allowable by the basic model's system
controls. For example, if fan control settings for a basic model allow
its lowest stage of airflow to range from 40 to 60 percent, the basic
model would need to be represented based on the lowest stage of airflow
set to 60 percent of the full-load airflow.
2. Representations of IVEC and IVHE (including IVHEc, as
applicable) must be determined using minimum part-load airflow that is
no lower than the highest of the following: (1) the minimum part-load
airflow obtained using the as-shipped system control settings; (2) the
minimum part-load airflow obtained using the default system control
settings specified in the manufacturer installation instructions (as
applicable); and (3) the minimum airflow rate specified in Section
5.18.2 of AHRI 1340-202X Draft.
DOE has tentatively concluded that option 1, which requires
representations based on the highest minimum part-load airflow
allowable by system controls, may result in unrepresentatively high
airflow rates in cases in which a basic model allows configuration of
minimum airflow to a very high percentage to accommodate a small
fraction of installations in which minimum part-load airflow must be
high (e.g., in applications with very high minimum ventilation rates).
In this NOPR, DOE is proposing option 2 as the default settings or as-
shipped settings would provide IVEC and IVHE ratings representative of
how the basic model is most typically installed in field applications.
However, DOE welcomes comment on the approach laid out in option 1 or
other alternative approaches not listed here.
As discussed, DOE is not proposing amendments to certification
requirements for CUACs and CUHPs in this rulemaking, but DOE may
consider such amendments in a separate rulemaking for certification,
compliance, and enforcement. As part of that rulemaking, DOE may
consider certification requirements pertaining to this minimum airflow
issue, such as requiring certification of the range of minimum part-
load airflow allowed by system controls for each basic model.
Issue 7: DOE requests comment on its proposal to require that a
basic model's representation(s) of IVEC and IVHE (including IVHEc, as
applicable) must be determined using a minimum part-load airflow that
is no lower than the highest of the following: (1) the minimum part-
load airflow obtained using the as-shipped system control settings; (2)
the minimum part-load airflow obtained using the default system control
settings specified in the manufacturer installation instructions (as
applicable); and (3) the minimum airflow rate specified in section
5.18.2 of AHRI 1340-202X Draft. DOE also seeks feedback on the
alternate option listed or any alternate options not listed that would
ensure representations of IVEC and IVHE are based on minimum part-load
airflow that is representative of field installations.
K. Enforcement Procedure for Verifying Cut-In and Cut-Out Temperatures
Recommendation #10 of the ACUAC and ACUHP Working Group TP Term
Sheet states that DOE will adopt product-specific enforcement
provisions for ACUHPs that include a method to verify certified cut-out
and cut-in temperatures based on the test method outlined in the
Residential Cold-Climate Heat Pump Technology Challenge (``CCHP
Challenge'').\36\ Therefore, in this NOPR, DOE proposes to adopt a
method for verifying certified cut-out and cut-in temperatures at 10
CFR 429.134(g) consistent with Recommendation #10 of the ACUAC and
ACUHP Working Group TP Term Sheet. Specifically, consistent with the
CCHP Challenge method and the ACUAC and ACUHP Working Group TP Term
Sheet, the proposed method involves gradually ramping down outdoor air
temperature until the unit cuts out and gradually ramping back up
outdoor air temperature until the cuts back on, with the temperature
ramp-up and ramp-down conducted at 1.0 [deg]F every 5 minutes. DOE will
address certification requirements for CUACs and CUHPs, including the
potential requirement for certification of cut-out and cut-in
temperatures, in a separate rulemaking for certification, compliance,
and enforcement.
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\36\ See www.energy.gov/sites/default/files/2021-10/bto-cchp-tech-challenge-spec-102521.pdf.
---------------------------------------------------------------------------
L. Proposed Organization of the Regulatory Text for CUACs and CUHPs
In addition to the substantive changes discussed previously in this
document, DOE proposes to make organizational changes to Table 1 to 10
CFR 431.96(b) and Tables 1 through 6 to 10 CFR 431.97. These proposed
changes are not substantive and are intended to reflect terminology
changes proposed in this document and to improve the overall
readability of the tables. Specifically, in Table 1 to 10 CFR 431.96
(regarding test procedures for commercial air conditioners and heat
pumps), DOE proposes to revise terminology to reflect the proposed
definition for commercial unitary air conditioners with a rated
[[Page 56436]]
cooling capacity greater than or equal to 65,000 Btu/h (CUACs) and
commercial unitary heat pumps with a rated cooling capacity greater
than or equal to 65,000 Btu/h (CUHPs), discussed further in section
III.B.1 of this NOPR. Tables 1 through 6 to 10 CFR 431.97 currently
specify cooling and heating standards for CUACs, CUHPs and water-source
heat pumps (WSHPs). DOE proposes to revise terminology to reflect the
proposed definition for CUACs and CUHPs, remove outdated standards no
longer in effect, combine cooling and heating standards into the same
tables, and create separate tables for standards for ACUACs and ACUHPs
(in Table 1), WCUACs (in Table 2), ECUACs (in Table 3), double-duct
systems (in Table 4), and WSHPs (in Table 5). In the proposed
regulatory text, Tables 1 and 2 to 10 CFR 431.97 would specify cooling
and heating standards, respectively, for ACUACs and ACUHPs with cooling
capacity greater than 65,000 Btu/h (other than double-duct systems),
ECUACs, and WCUACs; Tables 3 and 4 to 10 CFR 431.97 would specify
cooling and heating standards, respectively, for WSHPs; and Tables 5
and 6 to 10 CFR 431.97 would specify cooling and heating standards,
respectively, for double-duct systems.
M. Compliance Date
EPCA prescribes that, if DOE amends a test procedure, all
representations of energy efficiency and energy use, including those
made on marketing materials and product labels, must be made in
accordance with that amended test procedure, beginning 360 days after
publication of such a test procedure final rule in the Federal
Register. (42 U.S.C. 6314(d)(1)) To the extent the modified test
procedure proposed in this document is required only for the evaluation
and issuance of updated efficiency standards, use of the modified test
procedure, if finalized, would not be required until the compliance
date of updated energy conversation standards. 10 CFR part 430, subpart
C, appendix A, section 8(e); 10 CFR 431.4.
N. Test Procedure Costs and Impact
EPCA requires that the test procedures for commercial package air
conditioning and heating equipment, which includes CUACs and CUHPs, be
those generally accepted industry testing procedures or rating
procedures developed or recognized by AHRI or by ASHRAE, as referenced
in ASHRAE Standard 90.1. (42 U.S.C. 6314(a)(4)(A)) Further, if such an
industry test procedure is amended, DOE must amend its test procedure
to be consistent with the amended industry test procedure, unless DOE
determines, by rule published in the Federal Register and supported by
clear and convincing evidence, that such amended test procedure would
not meet the requirements in 42 U.S.C. 6314(a)(2) and (3) related to
representative use and test burden. (42 U.S.C. 6314(a)(4)(B))
As discussed, DOE is proposing to revise the existing test
procedure for CUACs and CUHPs (consolidating for ACUACs and ACUHPs,
ECUACs, and WCUACs) at appendix A and to adopt an amended test
procedure at appendix A1. These proposals are discussed in the
following sub-sections. DOE also proposes to amend its representation
and enforcement provisions for CUACs and CUHPs.
1. Appendix A
In this NOPR, DOE proposes to amend the existing Federal test
procedure for CUACs and CUHPs (including double-duct systems), which is
currently located at appendix A for ACUACs and ACUHPs and 10 CFR 431.96
for ECUACs and WCUACs. Specifically, DOE proposes to consolidate the
test procedures for ACUACs and ACUHPs, ECUACs, and WCUACs at appendix A
and to update the test procedure to incorporate by reference an updated
version of the applicable industry test method, AHRI 340/360-2022. The
proposed revisions to appendix A would retain the current efficiency
metrics--EER, IEER, and COP. The proposed testing requirements in
appendix A are generally consistent with those in AHRI 340/360-2022,
which in turn references ANSI/ASHRAE 37-2009.
DOE has tentatively determined that the proposed amendments to
appendix A would improve the representativeness, accuracy, and
reproducibility of the test results and would not be unduly burdensome
for manufacturers to conduct or result in increased testing cost as
compared to the current test procedure. The proposed revisions to the
test procedure in appendix A for measuring EER, IEER, and COP per AHRI
340/360-2022 would not increase third-party laboratory testing costs
per unit relative to the current DOE test procedure. DOE estimates the
current costs of physical testing to the current required metrics to be
$10,500 for ACUACs, $12,000 for ACUHPs, $6,800 for double-duct air
conditioners, $8,500 for double-duct heat pumps, and $6,800 for ECUACs
and WCUACs. Further, DOE has tentatively concluded that the proposed
revisions to the test procedure in appendix A would not change
efficiency ratings for CUACs and CUHPs, and therefore would not require
retesting solely as a result of DOE's adoption of this proposed
amendment to the DOE test procedure, if made final.\37\
---------------------------------------------------------------------------
\37\ Manufacturers are not required to perform laboratory
testing on all basic models. In accordance with 10 CFR 429.70, CUAC
and CUHP manufacturers may elect to use AEDMs. An AEDM is a computer
modeling or mathematical tool that predicts the performance of non-
tested basic models. These computer modeling and mathematical tools,
when properly developed, can provide a means to predict the energy
usage or efficiency characteristics of a basic model of a given
covered product or equipment and to reduce the burden and cost
associated with testing.
---------------------------------------------------------------------------
2. Appendix A1
DOE is proposing to amend the existing test procedure for CUACs and
CUHPs (including double-duct equipment) by adopting a new appendix A1
that utilizes the most recent draft version of the applicable industry
consensus test procedure, AHRI 1340-202X Draft, including the IVEC and
IVHE energy efficiency metrics. To the extent that AHRI 1340 is
finalized consistent with the draft standard, DOE intends to
incorporate the industry test standard by reference. If there are
substantive changes between the draft and published versions of AHRI
1340, DOE may adopt the substance of the AHRI 1340-202X Draft or
provide additional opportunity for comment.
Should DOE adopt standards in a future energy conservation
standards rulemaking in terms of the new metrics, the proposed test
procedure in appendix A1 (which DOE proposes to be substantively the
same as AHRI 1340-202X Draft) would be required. DOE has tentatively
determined that these proposed amendments would be representative of an
average use cycle and would not be unduly burdensome for manufacturers
to conduct. The proposed test procedure in appendix A1 would lead to an
increase in test cost from the current Federal test procedure, as
discussed in the following paragraphs. The following paragraphs include
estimates for increases in cost of testing at a third-party laboratory.
The change in ESP requirements discussed in section III.F.4 that
apply to measuring the IVEC and IVHE metrics would require additional
test setup that DOE expects would increase test costs. DOE has
tentatively concluded that metal ductwork would need to be fabricated
for testing to withstand the higher ESP requirements (as compared to
foamboard ductwork typically used for testing to the current test
procedure). DOE estimates a test cost increase ranging from $500 to
$1500 per unit, depending on the unit size/cooling capacity, associated
with this transition
[[Page 56437]]
to metal ductwork. To meet the return/supply duct ESP requirement, DOE
estimates an increase of $200 per unit for the time required to apply
return duct restrictions. In combination, DOE estimates a total test
cost increase of between $700 and $1700 per unit to meet the proposed
ESP requirements.
For determining IVEC, DOE has tentatively concluded that there
would not be an increase in testing cost as compared to measuring IEER
per the current Federal test procedure, beyond the costs associated
with the proposed ESP requirements discussed previously.
For determining IVHE, there are two required heating tests and
several additional optional heating tests. The required heating tests
are full-load tests at 47 [deg]F and 17 [deg]F. The full-load test at
47 [deg]F is already required for the current Federal test procedure
for determining COP. The full-load test at 17 [deg]F which is currently
required for the AHRI certification program. Because most CUHP
manufacturers are AHRI members and participate in the AHRI
certification program, DOE expects that that the required heating tests
for IVHE would not increase test cost as compared to testing that is
typically already conducted, beyond the costs associated with the
proposed ESP requirements discussed previously.
Optional heating tests for CUHPs would increase the cost of heating
testing if conducted. The optional tests for IVHE are outlined in
section III.F.5 of this NOPR, which include: (1) an additional full-
load test at 5 [deg]F; (2) part-load tests at 17 [deg]F and 47 [deg]F
(including up to 2 part-load tests at each temperature); and (3) for
variable-speed units, boost tests at 17 [deg]F and 5 [deg]F. DOE
estimates that each optional test conducted would increase the cost of
heating testing by $2,000 to $4,000 depending on the test condition.
For ECUACs, WCUACs, and double-duct systems, the current Federal
test procedure requires testing to EER for cooling tests--testing to
IEER is not currently required for ECUACs, WCUACs, or double-duct
systems. Because measuring EER requires only a single test, DOE expects
that measuring IVEC for ECUACs, WCUACs, and double-duct systems would
increase the cost of cooling testing. Specifically, DOE estimates the
cost of additional cooling tests to be $3,700 per unit. Further, the
previously discussed costs associated with the proposed indoor air ESP
requirements ($700 to $1,700 depending on unit size) would also apply
to ECUACs, WCUACs, and double-duct systems. In addition, for double-
duct systems DOE expects that testing to appendix A1 would require an
additional $2000 per unit for setup to meet the proposed non-zero
outdoor air ESP requirement. Otherwise, DOE expects similar test burden
for determining IVHE for double-duct systems as for determining IVHE
for conventional ACUHPs as discussed in the preceding paragraphs.
Table III.6 shows DOE's estimates for testing to the current
Federal test procedure and the proposed test procedure in appendix A1.
Table III.5--Test Cost Estimates for the Proposed Test Procedure in
Appendix A1
------------------------------------------------------------------------
Test cost for
Test cost for proposed test
Equipment type current federal procedure in
test procedure appendix A1
------------------------------------------------------------------------
ACUACs........................ $10,500 $11,200-$12,200.
ACUHPs........................ 12,000 $12,700-$13,700 (plus
$2,000-$4,000 per
optional heating
test).
Double-duct air conditioners.. 6,800 $13,200-$14,200.
Double-duct heat pumps........ 8,300 $14,700-$15,700 (plus
$2,000-$4,000 per
optional heating
test).
ECUACs and WCUACs............. 6,800 $11,200-$12,200.
------------------------------------------------------------------------
DOE has tentatively concluded that that the potential adoption of
standards denominated in terms of IVEC and IVHE (and corresponding
requirement to use the proposed test procedure in appendix A1) would
alter the measured energy efficiency of CUACs and CUHPs. Consequently,
manufacturers would not be able to rely on data generated under the
current test procedure and would therefore be required to re-rate CUAC
and CUHP models. In accordance with 10 CFR 429.70, CUAC and CUHP
manufacturers may elect to use AEDMs to rate models, which
significantly reduces costs to industry. DOE estimates the cost to
develop and validate an AEDM for determining IVEC (and IVHE as
applicable) for CUACs and CUHPs (including double-duct systems) to be
$19,000 per AEDM. Once the AEDM is developed, DOE estimates that it
would take 1 hour of an engineer's time (calculated based upon an
engineering technician wage of $41 per hour) to determine efficiency
for each basic model using the AEDM.
Issue 8: DOE requests comment on its tentative understanding of the
impact of the test procedure proposals in this NOPR, particularly
regarding DOE's initial estimates of the cost impacts associated with
the proposed appendix A1.
IV. Procedural Issues and Regulatory Review
A. Review Under Executive Orders 12866, 13563 and 14094
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) and amended by E.O. 14094, ``Modernizing Regulatory Review,''
88 FR 21879 (April 11, 2023), 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
[[Page 56438]]
Information and Regulatory Affairs (OIRA) in the Office of Management
and Budget (OMB) has emphasized that such techniques may include
identifying changing future compliance costs that might result from
technological innovation or anticipated behavioral changes. For the
reasons stated in the preamble, this proposed regulatory action is
consistent with these principles.
Section 6(a) of E.O. 12866 also requires agencies to submit
``significant regulatory actions'' to OIRA for review. OIRA has
determined that this proposed regulatory action does not constitute a
``significant regulatory action'' under section 3(f) of E.O. 12866.
Accordingly, this action was not submitted to OIRA for review under
E.O. 12866.
B. Review Under the Regulatory Flexibility Act
The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) requires
preparation of an initial regulatory flexibility analysis (IRFA) for
any rule that by law must be proposed for public comment, unless the
agency certifies that the rule, if promulgated, will not have a
significant economic impact on a substantial number of small entities.
As required by 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 proposed rule under the provisions of the Regulatory
Flexibility Act and the procedures and policies published on February
19, 2003.
The following sections detail DOE's IRFA for this test procedure
proposed rulemaking.
1. Description of Reasons Why Action Is Being Considered
DOE is proposing to amend the existing DOE test procedures for air-
cooled unitary air conditioners (ACUACs) and air-cooled unitary heat
pumps (ACUHPs) with cooling capacity greater than or equal to 65,000
Btu/h, as well as evaporatively-cooled commercial package air
conditioners (ECUACs) and water-cooled commercial package air
conditioners (WCUACs) of all capacities (referred to collectively as
CUACs and CUHPs) to reflect updates to the relevant industry test
standard. DOE is proposing amendments to the test procedures for CUACs
and CUHPs 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))
2. Objectives of, and Legal Basis for, Rule
EPCA, as amended, requires that the test procedures for commercial
package air conditioning and heating equipment, which includes CUACs
and CUHPs, be those generally accepted industry testing procedures or
rating procedures developed or recognized by AHRI or by ASHRAE, as
referenced in ASHRAE Standard 90.1. (42 U.S.C. 6314(a)(4)(A)) Further,
if such an industry test procedure is amended, DOE must amend its test
procedure to be consistent with the amended industry test procedure,
unless DOE determines, by rule published in the Federal Register and
supported by clear and convincing evidence, that such amended test
procedure would not meet the requirements in 42 U.S.C. 6314(a)(2) and
(3) related to representative use and test burden. (42 U.S.C.
6314(a)(4)(B))
EPCA also requires that, at least once every seven years, DOE
evaluate test procedures for each type of covered equipment, including
CUACs and CUHPs, 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. 614(a)(1)(A))
DOE is publishing this NOPR proposing amendments to the test
procedure for CUACs and CUHPs in satisfaction of the aforementioned
obligations under EPCA.
3. Description and Estimated Number of Small Entities Regulated
For manufacturers of CUACs and CUHPs, the Small Business
Administration (SBA) has set a size threshold, which defines those
entities classified as ``small businesses'' for the purposes of the
statute. DOE used the SBA's small business size standards to determine
whether any small entities would be subject to the requirements of the
rule. See 13 CFR part 121. The equipment covered by this rule is
classified under North American Industry Classification System (NAICS)
code 333415,\38\ ``Air-Conditioning and Warm Air Heating Equipment and
Commercial and Industrial Refrigeration Equipment Manufacturing.'' In
13 CFR 121.201, the SBA sets a threshold of 1,250 employees or fewer
for an entity to be considered as a small business for this category.
---------------------------------------------------------------------------
\38\ 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 Apr. 4, 2023).
---------------------------------------------------------------------------
DOE reviewed the test procedures proposed in this NOPR under the
provisions of the Regulatory Flexibility Act and the procedures and
policies published on February 19, 2003. DOE utilized DOE's Compliance
Certification Database (CCD) \39\ and manufacturer websites to identify
potential small businesses that manufacture CUACs and CUHPs covered by
this rulemaking. DOE identified 18 companies that are original
equipment manufacturers (OEMs) of CUACs and CUHPs covered by this
rulemaking. Next, DOE screened out companies that do not meet the
definition of a ``small business'' or are foreign-owned and operated.
Ultimately, DOE identified three small, domestic OEMs for
consideration. All three companies are AHRI members. DOE used
subscription-based business information tools (e.g., reports from Dun &
Bradstreet \40\) to determine headcount and revenue of the small
business.
---------------------------------------------------------------------------
\39\ Certified equipment in the CCD is listed by equipment class
and can be accessed at www.regulations.doe.gov/certification-data/#q=Product_Group_s%3A* (Last accessed Apr. 4, 2023).
\40\ Market research is available through the Dun & Bradstreet
Hoovers login page at: app.dnbhoovers.com (Last accessed April 3,
2023).
---------------------------------------------------------------------------
Issue 9: DOE requests comment on the number of small business OEMs
of CUACs and CUHPs.
4. Description and Estimate of Compliance Requirements
In this NOPR, DOE is proposing to revise the existing test
procedure for CUACs and CUHPs (consolidating for ACUACs and ACUHPs,
ECUACs, and WCUACs) at appendix A of subpart F of part 431 (appendix A)
by adopting sections of AHRI 340/360-2022. DOE is also proposing an
amended test procedure for CUACs and CUHPs at appendix A1 to subpart F
of part 431 (appendix A1) that adopts the draft industry test standard
AHRI 1340-202X Draft. Additionally, this NOPR seeks to amend
representation and enforcement provisions for CUACs and CUHPs in 10 CFR
part 429 and certain definitions for CUACs and CUHPs in 10 CFR part
431. Specific cost and compliance associated with each proposed
appendix are discussed in the subsections that follow.
[[Page 56439]]
a. Cost and Compliance Associated With Appendix A
In appendix A, DOE proposes to amend the existing test procedure
for CUACs and CUHPs (relocated to appendix A for ECUACs and WCUACs, for
which the current test procedure is located at 10 CFR 431.96) by
incorporating by reference an updated version of the applicable
industry test method, AHRI 340/360-2022, which includes the energy
efficiency metrics IEER (required metric for ACUACs and ACUHPs), EER
(required metric for ECUACs, WCUACs, and double-duct systems), and COP
(required metric for ACUHPs and double-duct heat pumps) and maintaining
an existing reference to industry test method ANSI/ASHRAE 37-2009. The
proposed test procedure at appendix A would not change efficiency
ratings as compared to the current Federal test procedure, and
therefore would not require retesting nor increase third-party
laboratory testing costs per unit solely as a result of DOE's adoption
of this proposed amendment to the test procedure, if made final. DOE
estimates the current costs of physical testing to the current required
metrics to be: $10,500 for ACUACs; $12,000 for ACUHPs; $6,800 for
ECUACs, WCUACs, and double-duct air conditioners; and $8,300 for
double-duct heat pumps. In accordance with 10 CFR 429.70, CUAC and CUHP
manufacturers may elect to use AEDMs to rate models which significantly
reduces costs to industry.
b. Cost and Compliance Associated With Appendix A1
In appendix A1, DOE is proposing to adopt the test conditions and
procedures in AHRI 1340-202X Draft and ANSI/ASHRAE 37-2009. The
proposed test procedure in appendix A1 includes provisions for
measuring CUAC and CUHP energy efficiency using the IVEC and IVHE
metrics to be consistent with the updated draft industry test
procedure. Should DOE adopt amended energy conservation standards in
the future denominated in terms of IVEC and IVHE, the Department
expects there would be an increase in third-partly lab testing cost
relative to the current Federal test procedure, outlined in the
following paragraphs:
The proposed change in external static pressure (ESP) requirements
discussed that apply to measuring the IVEC and IVHE metrics would
require additional test setup that DOE expects would increase test
costs. DOE has tentatively concluded that metal ductwork would need to
be fabricated for testing to withstand the higher ESP requirements (as
compared to foamboard ductwork typically used for testing to the
current test procedure). DOE estimates a test cost increase ranging
from $500 to $1500 per unit, depending on the unit size/cooling
capacity, associated with this transition to metal ductwork. To meet
the proposed requirement regarding split of ESP between return and
supply ductwork, DOE estimates an increase of $200 per unit for the
time required to apply return duct restrictions. In combination, DOE
estimates a total test cost increase of between $700 and $1700 per unit
to meet the proposed ESP requirements.
For determining IVEC, DOE has tentatively concluded that there
would not be an increase in testing cost as compared to measuring IEER
per the current Federal test procedure, beyond the costs associated
with the proposed ESP requirements discussed previously.
For determining IVHE, there are two required heating tests and
several additional optional heating tests. The required heating tests
are full-load tests at 47 [deg]F and 17 [deg]F. The full-load test at
47 [deg]F is already required for the current Federal test procedure
for determining COP. The full-load test at 17 [deg]F which is currently
required for the AHRI certification program. Because most CUHP
manufacturers are AHRI members and participate in the AHRI
certification program, DOE expects that that the required heating tests
for IVHE would not increase test cost as compared to testing that is
typically already conducted, beyond the costs associated with the
proposed ESP requirements discussed previously.
Optional heating tests for CUHPs would increase the cost of heating
testing if conducted. The optional tests for IVHE are outlined in
section III.F.5, which include: (1) an additional full-load test at 5
[deg]F; (2) part-load tests at 17 [deg]F and 47 [deg]F (including up to
2 part-load tests at each temperature); and (3) for variable-speed
units, boost tests at 17 [deg]F and 5 [deg]F. DOE estimates that each
optional test conducted would increase the cost of heating testing by
$2,000 to $4,000 depending on the test condition.
For ECUACs, WCUACs, and double-duct systems, the current Federal
test procedure requires testing to EER for cooling tests--testing to
IEER is not currently required for ECUACs, WCUACs, and double-duct
systems. Because measuring EER requires only a single test while IVEC
requires testing at four different test conditions, DOE expects that
measuring IVEC for WCUACs, ECUACs, and double-duct systems would
increase the cost of cooling testing. Specifically, DOE estimates the
cost of additional cooling tests to be $3,700 per unit. Further, the
previously discussed costs associated with the proposed indoor air ESP
requirements ($700 to $1,700 depending on unit size) would also apply
to ECUACs, WCUACs, and double-duct systems. In addition, for double-
duct systems DOE expects that testing to appendix A1 would require an
additional $2,000 per unit for setup to meet the proposed non-zero
outdoor air ESP requirement associated with the IVEC and IVHE metrics.
Otherwise, DOE expects similar test burden for determining IVHE for
double-duct systems as for determining IVHE for conventional ACUHPs as
discussed in the preceding paragraphs.
Table IV.1 shows DOE's estimates for testing to the current Federal
test procedure and the proposed test procedure in appendix A1.
Table IV.1--Test Cost Estimates for the Proposed Test Procedure in
Appendix A1
------------------------------------------------------------------------
Test cost for
Test cost for proposed test
Equipment type current federal procedure in appendix
test procedure A1
------------------------------------------------------------------------
ACUACs........................ $10,500 $11,200-$12,200.
ACUHPs........................ 12,000 $12,700-$13,700 (plus
$2,000-$4,000 per
optional heating
test).
Double-duct air conditioners.. 6,800 $13,200-$14,200.
Double-duct heat pumps........ 8,300 $14,700-$15,700 (plus
$2,000-$4,000 per
optional heating
test).
ECUACs and WCUACs............. 6,800 $11,200-$12,200.
------------------------------------------------------------------------
[[Page 56440]]
Testing in accordance with appendix A1 would not be required until
such time as compliance is required with amended energy conservation
standards for CUACs and CUHPs based on the proposed new IVEC and IVHE
metrics, should DOE adopt such standards.
If CUAC and CUHP manufacturers conduct physical testing to certify
a basic model, two units are required to be tested per basic model.
However, manufacturers are not required to perform laboratory testing
on all basic models, as manufacturers may elect to use AEDMs.\41\ An
AEDM is a computer modeling or mathematical tool that predicts the
performance of non-tested basic models. These computer modeling and
mathematical tools, when properly developed, can provide a means to
predict the energy usage or efficiency characteristics of a basic model
of a given covered product or equipment and reduce the burden and cost
associated with testing.
---------------------------------------------------------------------------
\41\ In accordance with 10 CFR 429.70.
---------------------------------------------------------------------------
Small businesses would be expected to have different potential
regulatory costs depending on whether they are a member of AHRI. DOE
understands that all AHRI members and all manufacturers currently
certifying to the AHRI Directory will be testing their CUAC and CUHP
models in accordance with the final version of the AHRI 1340-202X
Draft, the industry test procedure DOE is proposing to adopt (if
finalized and consistent with the AHRI 1340-202X Draft), and using
AHRI's certification program.
The proposed test procedure amendments would not add any additional
testing burden to manufacturers which are members of AHRI. As
discussed, DOE did not identify any small, domestic OEMs that are not
AHRI members. Therefore, DOE has tentatively concluded that the
proposed test procedure amendments would not add additional testing
burden, as those members soon will be using the finalized version of
the AHRI 1340-202X draft test procedure.
Issue 10: DOE seeks comment on its estimate of the potential
impacts of its proposed amendments to the test procedure for CUACs and
CUHPs on small business manufacturers.
5. Duplication, Overlap, and Conflict With Other Rules and Regulations
DOE is not aware of any rules or regulations that duplicate,
overlap, or conflict with the rule being considered today.
6. Significant Alternatives to the Rule
DOE proposes to reduce burden on manufacturers, including small
businesses, by allowing AEDMs in lieu of physically testing all basic
models. The use of an AEDM is less costly than physical testing of CUAC
and CUHP models, including double-duct systems. DOE estimates the cost
to develop an AEDM to be $19,000 per AEDM. The development of the AEDM
would reduce the need for physical testing if the manufacturer expands
its model offerings. Once the AEDM is developed, DOE estimates that it
would take 1 hour of an engineer's time (calculated based upon an
engineering technician's fully-burdened wage of $41 per hour) to
determine efficiency for each basic model using the AEDM.
Additionally, DOE considered alternative test methods and
modifications to the proposed test procedures in appendices A and A1
for CUACs and CUHPs, referencing AHRI 340/360-2022 and the AHRI 1340-
202X Draft, respectively. However, DOE has tentatively determined that
there are no better alternatives than the proposed test procedures, in
terms of both meeting the agency's objectives and reducing burden on
manufacturers. Therefore, DOE is proposing to amend the existing DOE
test procedure for CUACs and CUHPs through incorporation by reference
of AHRI 340/360-2022 in appendix A, and adoption of AHRI 1340-202X
Draft in appendix A1.
In addition, individual manufacturers may petition for a waiver of
the applicable test procedure. (See 10 CFR 431.401) Also, section 504
of the Department of Energy Organization Act, 42 U.S.C. 7194, provides
authority for the Secretary to adjust a rule issued under EPCA in order
to prevent ``special hardship, inequity, or unfair distribution of
burdens'' that may be imposed on that manufacturer as a result of such
rule. Manufacturers should refer to 10 CFR part 1003 for additional
details.
C. Review Under the Paperwork Reduction Act of 1995
Manufacturers of CUACs and CUHPs 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 CUACs and CUHPs.
(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.
DOE is not proposing to amend the certification or reporting
requirements for CUACs and CUHPs in this NOPR. Instead, DOE may
consider proposals to amend the certification requirements and
reporting for CUACs and CUHPs under a separate rulemaking regarding
appliance and equipment certification. DOE will address changes to OMB
Control Number 1910-1400 at that time, as necessary.
Notwithstanding any other provision of the law, no person is
required to respond to, nor shall any person be subject to a penalty
for failure to comply with, a collection of information subject to the
requirements of the PRA, unless that collection of information displays
a currently valid OMB Control Number.
D. Review Under the National Environmental Policy Act of 1969
In this NOPR, DOE proposes test procedure amendments that it
expects will be used to develop and implement future energy
conservation standards for CUACs and CUHPs. DOE has determined that
this proposed rule falls into a class of actions that are categorically
excluded from review under the National Environmental Policy Act of
1969 (42 U.S.C. 4321 et seq.) and DOE's implementing regulations at 10
CFR part 1021. Specifically, DOE has determined that adopting test
procedures for measuring energy efficiency of consumer products and
industrial equipment is consistent with activities identified in 10 CFR
part 1021, subpart D, appendix A, sections A5, and A6. Accordingly,
neither an environmental assessment nor an environmental impact
statement is required.
E. Review Under Executive Order 13132
Executive Order 13132, ``Federalism,'' 64 FR 43255 (August 4, 1999)
imposes certain requirements for agencies formulating and implementing
policies or regulations that preempt State law or that have federalism
implications. The
[[Page 56441]]
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 has examined this proposed rule and has determined that it
would not have a substantial direct effect on the States, on the
relationship between the national government and the States, or on the
distribution of power and responsibilities among the various levels of
government. EPCA governs and prescribes Federal preemption of State
regulations as to energy conservation for the products that are the
subject of this proposed rule. States can petition DOE for exemption
from such preemption to the extent, and based on criteria, set forth in
EPCA. (42 U.S.C. 6297(d)) No further action is required by Executive
Order 13132.
F. Review Under Executive Order 12988
Regarding the review of existing regulations and the promulgation
of new regulations, section 3(a) of Executive Order 12988, ``Civil
Justice Reform,'' 61 FR 4729 (Feb. 7, 1996), imposes on Federal
agencies the general duty to adhere to the following requirements: (1)
eliminate drafting errors and ambiguity, (2) write regulations to
minimize litigation, (3) provide a clear legal standard for affected
conduct rather than a general standard, and (4) promote simplification
and burden reduction. Section 3(b) of Executive Order 12988
specifically requires that Executive agencies make every reasonable
effort to ensure that the regulation (1) clearly specifies the
preemptive effect, if any, (2) clearly specifies any effect on existing
Federal law or regulation, (3) provides a clear legal standard for
affected conduct while promoting simplification and burden reduction,
(4) specifies the retroactive effect, if any, (5) adequately defines
key terms, and (6) addresses other important issues affecting clarity
and general draftsmanship under any guidelines issued by the Attorney
General. Section 3(c) of Executive Order 12988 requires Executive
agencies to review regulations in light of applicable standards in
sections 3(a) and 3(b) to determine whether they are met or it is
unreasonable to meet one or more of them. DOE has completed the
required review and determined that, to the extent permitted by law,
the proposed rule meets the relevant standards of Executive Order
12988.
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 proposed regulatory action likely to result in a rule that may
cause the expenditure by State, local, and Tribal governments, in the
aggregate, or by the private sector of $100 million or more in any one
year (adjusted annually for inflation), section 202 of UMRA requires a
Federal agency to publish a written statement that estimates the
resulting costs, benefits, and other effects on the national economy.
(2 U.S.C. 1532(a), (b)) The UMRA also requires a Federal agency to
develop an effective process to permit timely input by elected officers
of State, local, and Tribal governments on a proposed ``significant
intergovernmental mandate,'' and requires an agency plan for giving
notice and opportunity for timely input to potentially affected small
governments before establishing any requirements that might
significantly or uniquely affect small governments. On March 18, 1997,
DOE published a statement of policy on its process for
intergovernmental consultation under UMRA. 62 FR 12820; also available
at www.energy.gov/gc/office-general-counsel. DOE examined this proposed
rule according to UMRA and its statement of policy and determined that
the rule contains neither an intergovernmental mandate, nor a mandate
that may result in the expenditure of $100 million or more in any year,
so these requirements do not apply.
H. Review Under the Treasury and General Government Appropriations Act,
1999
Section 654 of the Treasury and General Government Appropriations
Act, 1999 (Pub. L. 105-277) requires Federal agencies to issue a Family
Policymaking Assessment for any rule that may affect family well-being.
This proposed rule would not have any impact on the autonomy or
integrity of the family as an institution. Accordingly, DOE has
concluded that it is not necessary to prepare a Family Policymaking
Assessment.
I. Review Under Executive Order 12630
DOE has determined, under Executive Order 12630, ``Governmental
Actions and Interference with Constitutionally Protected Property
Rights'' 53 FR 8859 (March 18, 1988), that this proposed regulation
would not result in any takings that might require compensation under
the Fifth Amendment to the U.S. Constitution.
J. Review Under Treasury and General Government Appropriations Act,
2001
Section 515 of the Treasury and General Government Appropriations
Act, 2001 (44 U.S.C. 3516 note) provides for agencies to review most
disseminations of information to the public under guidelines
established by each agency pursuant to general guidelines issued by
OMB. OMB's guidelines were published at 67 FR 8452 (Feb. 22, 2002), and
DOE's guidelines were published at 67 FR 62446 (Oct. 7, 2002). Pursuant
to OMB Memorandum M-19-15, Improving Implementation of the Information
Quality Act (April 24, 2019), DOE published updated guidelines which
are available at www.energy.gov/sites/prod/files/2019/12/f70/DOE%20Final%20Updated%20IQA%20Guidelines%20Dec%202019.pdf. DOE has
reviewed this proposed rule under the OMB and DOE guidelines and has
concluded that it is consistent with applicable policies in those
guidelines.
K. Review Under Executive Order 13211
Executive Order 13211, ``Actions Concerning Regulations That
Significantly Affect Energy Supply, Distribution, or Use,'' 66 FR 28355
(May 22, 2001), requires Federal agencies to prepare and submit to OMB
a Statement of Energy Effects for any proposed significant energy
action. A ``significant energy action'' is defined as any action by an
agency that promulgated or is expected to lead to promulgation of a
final rule, and that (1) is a significant regulatory action under
Executive Order 12866, or any successor order; and (2) is likely to
have a significant adverse effect on the supply, distribution, or use
of energy; or (3) is designated by the Administrator of OIRA as a
significant energy action. For any proposed significant energy action,
the agency must give a detailed statement of any adverse effects on
energy supply, distribution, or use should the proposal be implemented,
and of reasonable alternatives to the action and their expected
benefits on energy supply, distribution, and use.
The proposed regulatory action to amend the test procedure for
measuring
[[Page 56442]]
the energy efficiency of CUACs and CUHPs 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 proposed modifications to the test procedure for CUACs and
CUHPs would incorporate testing methods contained in certain sections
of the following commercial standards: AHRI 340/360-2022 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 will
consult with both the Attorney General and the Chairman of the FTC
concerning the impact of these test procedures on competition prior to
prescribing a final rule.
M. Description of Materials Incorporated by Reference
In this NOPR, DOE proposes to incorporate by reference the
following test standards:
AHRI Standard 340/360-2022. This test standard is an industry-
accepted test procedure for measuring the performance of air-cooled,
evaporatively-cooled, and water-cooled unitary air-conditioning and
heat pump equipment.
Copies of AHRI Standard 340/360-2022 can be obtained from AHRI,
2311 Wilson Blvd., Suite 400, Arlington, VA 22201, (703) 524-8800, or
found online at: www.ahrinet.org.
AHRI Standard 1340-202X Draft. This test standard is in draft form
and its text was provided to DOE for the purposes of review only during
the drafting of this NOPR. DOE intends to update the reference to the
final published version of AHRI 1340 in the subsequent final rule. If
there are substantive changes between the draft and published versions
for which DOE receives stakeholder comments in response to this NOPR
recommending that DOE adopt provisions consistent with the published
version of AHRI 1340-202X, then DOE may consider adopting those
provisions. If there are substantive changes between the draft and
published versions for which stakeholder comments do not express
support, DOE may adopt the substance of the AHRI 1340-202X Draft or
provide additional opportunity for comment on the changes to the
industry consensus test procedure.
ANSI/ASHRAE 37-2009. This test standard is an industry-accepted
test procedure that provides a method of test for many categories of
air conditioning and heating equipment.
Copies of ANSI/ASHRAE 37-2009 is available on ASHRAE's website at
www.ashrae.org.
The following standards included in the proposed regulatory text
were previously approved for incorporation by reference for the
locations where they appear in this proposed rule: AHRI 210/240-2008
and AHRI 340/360-2007.
V. Public Participation
A. Participation in the Webinar
The time and date of the webinar meeting are listed in the DATES
section at the beginning of this document. Webinar registration
information, participant instructions, and information about the
capabilities available to webinar participants will be published on
DOE's website: www.energy.gov/eere/buildings/public-meetings-and-comment-deadlines. Participants are responsible for ensuring their
systems are compatible with the webinar software.
B. Procedure for Submitting Prepared General Statements for
Distribution
Any person who has an interest in the topics addressed in this
NOPR, or who is representative of a group or class of persons that has
an interest in these issues, may request an opportunity to make an oral
presentation at the webinar. Such persons may submit to
[email protected]. Persons who wish to speak
should include with their request a computer file in WordPerfect,
Microsoft Word, PDF, or text (ASCII) file format that briefly describes
the nature of their interest in this rulemaking and the topics they
wish to discuss. Such persons should also provide a daytime telephone
number where they can be reached.
DOE requests persons selected to make an oral presentation to
submit an advance copy of their statements at least two weeks before
the webinar. At its discretion, DOE may permit persons who cannot
supply an advance copy of their statement to participate, if those
persons have made advance alternative arrangements with the Building
Technologies Office. As necessary, requests to give an oral
presentation should ask for such alternative arrangements.
C. Conduct of the Webinar
DOE will designate a DOE official to preside at the webinar and may
also use a professional facilitator to aid discussion. The meeting will
not be a judicial or evidentiary-type public hearing, but DOE will
conduct it in accordance with section 336 of EPCA (42 U.S.C. 6306). A
court reporter will be present to record the proceedings and prepare a
transcript. DOE reserves the right to schedule the order of
presentations and to establish the procedures governing the conduct of
the webinar. There shall not be discussion of proprietary information,
costs or prices, market share, or other commercial matters regulated by
U.S. anti-trust laws. After the webinar and until the end of the
comment period, interested parties may submit further comments on the
proceedings and any aspect of the proposed rulemaking.
The webinar will be conducted in an informal conference style. DOE
will a general overview of the topics addressed in this proposed
rulemaking, allow time for prepared general statements by participants,
and encourage all interested parties to share their views on issues
affecting this proposed rulemaking. Each participant will be allowed to
make a general statement (within time limits determined by DOE) before
the discussion of specific topics. DOE will permit, as time permits,
other participants to comment briefly on any general statements.
At the end of all prepared statements on a topic, DOE will permit
participants to clarify their statements briefly. Participants should
be prepared to answer questions by DOE and by other participants
concerning these issues. DOE representatives may also ask
[[Page 56443]]
questions of participants concerning other matters relevant to this
proposed rulemaking. The official conducting the webinar will accept
additional comments or questions from those attending, as time permits.
The presiding official will announce any further procedural rules or
modification of the above procedures that may be needed for the proper
conduct of the webinar.
A transcript of the webinar will be included in the docket, which
can be viewed as described in the Docket section at the beginning of
this NOPR. In addition, any person may buy a copy of the transcript
from the transcribing reporter.
D. Submission of Comments
DOE will accept comments, data, and information regarding this
proposed rule before or after the public meeting, but no later than the
date provided in the DATES section at the beginning of this proposed
rule. Interested parties may submit comments using any of the methods
described in the ADDRESSES section at the beginning of this document.
Submitting comments via www.regulations.gov. The
www.regulations.gov web page will require you to provide your name and
contact information. Your contact information will be viewable to DOE
Building Technologies staff only. Your contact information will not be
publicly viewable except for your first and last names, organization
name (if any), and submitter representative name (if any). If your
comment is not processed properly because of technical difficulties,
DOE will use this information to contact you. If DOE cannot read your
comment due to technical difficulties and cannot contact you for
clarification, DOE may not be able to consider your comment.
However, your contact information will be publicly viewable if you
include it in the comment or in any documents attached to your comment.
Any information that you do not want to be publicly viewable should not
be included in your comment, nor in any document attached to your
comment. Otherwise, persons viewing comments will see only first and
last names, organization names, correspondence containing comments, and
any documents submitted with the comments.
Do not submit to www.regulations.gov information for which
disclosure is restricted by statute, such as trade secrets and
commercial or financial information (hereinafter referred to as
Confidential Business Information (CBI)). Comments submitted through
www.regulations.gov cannot be claimed as CBI. Comments received through
the website will waive any CBI claims for the information submitted.
For information on submitting CBI, see the Confidential Business
Information section.
DOE processes submissions made through www.regulations.gov before
posting. Normally, comments will be posted within a few days of being
submitted. However, if large volumes of comments are being processed
simultaneously, your comment may not be viewable for up to several
weeks. Please keep the comment tracking number that www.regulations.gov
provides after you have successfully uploaded your comment.
Submitting comments via email, hand delivery/courier, or postal
mail. Comments and documents submitted via email, hand delivery/
courier, or postal mail also will be posted to www.regulations.gov. If
you do not want your personal contact information to be publicly
viewable, do not include it in your comment or any accompanying
documents. Instead, provide your contact information on a cover letter.
Include your first and last names, email address, telephone number, and
optional mailing address. The cover letter will not be publicly
viewable as long as it does not include any comments.
Include contact information each time you submit comments, data,
documents, and other information to DOE. If you submit via postal mail
or hand delivery/courier, please provide all items on a CD, if
feasible, in which case it is not necessary to submit printed copies.
No telefacsimiles (faxes) will be accepted.
Comments, data, and other information submitted to DOE
electronically should be provided in PDF (preferred), Microsoft Word or
Excel, WordPerfect, or text (ASCII) file format. Provide documents that
are not secured, that are written in English, and that are free of any
defects or viruses. Documents should not contain special characters or
any form of encryption and, if possible, they should carry the
electronic signature of the author.
Campaign form letters. Please submit campaign form letters by the
originating organization in batches of between 50 to 500 form letters
per PDF or as one form letter with a list of supporters' names compiled
into one or more PDFs. This reduces comment processing and posting
time.
Confidential Business Information. Pursuant to 10 CFR 1004.11, any
person submitting information that he or she believes to be
confidential and exempt by law from public disclosure should submit via
email two well-marked copies: one copy of the document marked
``confidential'' including all the information believed to be
confidential, and one copy of the document marked ``non-confidential''
with the information believed to be confidential deleted. DOE will make
its own determination about the confidential status of the information
and treat it according to its determination.
It is DOE's policy that all comments may be included in the public
docket, without change and as received, including any personal
information provided in the comments (except information deemed to be
exempt from public disclosure).
E. Issues on Which DOE Seeks Comment
Although DOE welcomes comments on any aspect of this proposal, DOE
is particularly interested in receiving comments and views of
interested parties concerning the following issues:
Issue 1: DOE seeks comment on its proposed definition for CUACs and
CUHPs.
Issue 2: DOE requests feedback on its proposal to adopt the IVEC
and IVHE metrics as determined under AHRI 1340-202X Draft in appendix
A1 of the Federal test procedure for ACUACs and ACUHPs (including
double-duct systems), ECUACs, and WCUACs.
Issue 3: DOE requests comment in its proposal to adopt the IVEC
metric for ECUACs and WCUACs in appendix A1 as specified in the AHRI
1340-202X Draft, including the test temperature requirements.
Issue 4: DOE requests comment on its proposal to adopt the IVEC and
IVHE metrics for double-duct systems in appendix A1 as specified in the
AHRI 1340-202X Draft.
Issue 5: DOE seeks comment on its proposals regarding specific
components in 10 CFR 429.43, 10 CFR 429.134, and 10 CFR part 431,
subpart F, appendices A and A1.
Issue 6: DOE requests comment on its proposals related to
represented values and verification testing of cooling capacity.
Issue 7: DOE requests comment on its proposal to require that a
basic model's representation(s) of IVEC and IVHE (including IVHEc, as
applicable) must be determined using a minimum part-load airflow that
is no lower than the highest of the following: (1) the minimum part-
load airflow obtained using the as-shipped system control settings; (2)
the minimum part-load airflow obtained using the default system control
settings specified in the manufacturer installation instructions
[[Page 56444]]
(as applicable); and (3) the minimum airflow rate specified in section
5.18.2 of AHRI 1340-202X Draft. DOE also seeks feedback on the
alternate option listed or any alternate options not listed that would
ensure representations of IVEC and IVHE are based on minimum part-load
airflow that is representative of field installations.
Issue 8: DOE requests comment on its tentative understanding of the
impact of the test procedure proposals in this NOPR, particularly
regarding DOE's initial estimates of the cost impacts associated with
the proposed appendix A1.
Issue 9: DOE requests comment on the number of small business OEMs
of CUACs and CUHPs.
Issue 10: DOE seeks comment on its estimate of the potential
impacts of its proposed amendments to the test procedure for CUACs and
CUHPs on small business manufacturers.
Additionally, DOE welcomes comments on other issues relevant to the
conduct of this proposed rulemaking that may not be specifically
identified in this document.
VI. Approval of the Office of the Secretary
The Secretary of Energy has approved publication of this notice of
proposed rulemaking and request for comment.
List of Subjects
10 CFR Part 429
Administrative practice and procedure, Confidential business
information, Energy conservation, Household appliances, Imports,
Incorporation by reference, Intergovernmental relations, Reporting and
recordkeeping requirements, Small businesses.
10 CFR Part 431
Administrative practice and procedure, Confidential business
information, Energy conservation test procedures, Incorporation by
reference, Reporting and recordkeeping requirements.
Signing Authority
This document of the Department of Energy was signed on July 20,
2023, 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 July 21, 2023.
Treena V. Garrett,
Federal Register Liaison Officer, U.S. Department of Energy.
For the reasons stated in the preamble, DOE proposes to amend parts
429 and 431 of Chapter II of Title 10, Code of Federal Regulations as
set forth:
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 (c)(2);
0
b. Redesignating paragraphs (c)(6) through (7) as (c)(7) through (8);
and
0
c. Adding new paragraph (c)(6).
The revision and addition read as follows.
Sec. 429.4 Materials incorporated by reference.
* * * * *
(c) * * *
(2) AHRI Standard 340/360-2022 (I-P) (``AHRI 340/360-2022''), 2022
Standard for Performance Rating of Commercial and Industrial Unitary
Air-Conditioning and Heat Pump Equipment, AHRI-approved January 26,
2022; IBR approved for Sec. Sec. 429.43 and 429.134.
* * * * *
(6) AHRI Standard 1340-202X Draft (I-P) (``AHRI 1340-202XDraft''),
202X Standard for Performance Rating of Commercial and Industrial
Unitary Air-Conditioning and Heat Pump Equipment [publication expected
2023]; IBR approved for Sec. Sec. 429.43 and 429.134.
* * * * *
Sec. 429.12 [Amended]
0
3. Amend Sec. 429.12 paragraph (b)(8)(ii) by removing the words
``small commercial package air conditioning and heating equipment'',
and adding in their place, the words ``commercial unitary air
conditioners and heat pumps''.
0
4. Amend Sec. 429.43 by:
0
a. Revising the section heading;
0
b. Removing paragraph (a)(1)(iv);
0
c. Remove and reserve paragraph (a)(2)(ii);
0
d. Adding paragraph (a)(3)(v);
0
e. Revising introductory paragraphs of (b)(2)(i) and (ii);
0
f. In paragraph (b)(4)(i), in the first sentence removing the words
``Commercial package air-conditioning equipment (except commercial
package air conditioning equipment that is air-cooled with a cooling
capacity less than 65,000 Btu/h):'' and adding in their place, the
words ``Commercial unitary air conditioners (except air-cooled, three-
phase, commercial unitary air conditioners with a cooling capacity of
less than 65,000 Btu/h):''; and
0
g. In paragraph (b)(4)(ii), in the first sentence removing the words
``Commercial package heating equipment (except commercial package
heating equipment that is air-cooled with a cooling capacity less than
65,000 Btu/h):'' and adding in their place, the words ``Commercial
unitary heat pumps (except air-cooled, three-phase, commercial unitary
heat pumps with a cooling capacity of less than 65,000 Btu/h):''.
The revisions and addition read as follows.
Sec. 429.43 Commercial heating, ventilating, air conditioning (HVAC)
equipment (excluding air-cooled, three-phase, commercial unitary air
conditioners and heat pumps with a cooling capacity of less than 65,000
British thermal units per hour and air-cooled, three-phase, variable
refrigerant flow multi-split air conditioners and heat pumps with less
than 65,000 British thermal units per hour cooling capacity).
(a) * * *
(3) * * *
(v) Commercial unitary air conditioners and heat pumps (excluding
air-cooled equipment with a cooling capacity less than 65,000 Btu/h).
Before [Date 360 days after date of publication of the final rule in
the Federal Register], the provisions in Sec. 429.43 of this title as
it appeared in the 10 CFR parts 200-499 edition revised as of January
1, 2023 are applicable. When certifying on or after [Date 360 days
after date of publication of the final rule in the Federal Register],
the following provisions apply.
(A) Individual model selection:
(1) Representations for a basic model must be based on the least-
efficient individual model(s) distributed in commerce among all
otherwise comparable model groups comprising the basic model, with
selection of the least-efficient individual model considering all
options for factory-installed components and manufacturer-supplied
components for field installation, except as provided in
[[Page 56445]]
paragraph (a)(3)(v)(A)(2) of this section for individual models that
include components listed in table 6 to paragraph (a)(3)(v)(A) of this
section. For the purpose of this paragraph (a)(3)(v)(A)(1), ``otherwise
comparable model group'' means a group of individual models distributed
in commerce within the basic model that do not differ in components
that affect energy consumption as measured according to the applicable
test procedure specified at 10 CFR 431.96 other than those listed in
table 6 to paragraph (a)(3)(v)(A) of this section. An otherwise
comparable model group may include individual models distributed in
commerce with any combination of the components listed in table 6 (or
none of the components listed in table 6). An otherwise comparable
model group may consist of only one individual model.
(2) For a basic model that includes individual models distributed
in commerce with components listed in table 6 to paragraph (a)(3)(v)(A)
of this section, the requirements for determining representations apply
only to the individual model(s) of a specific otherwise comparable
model group distributed in commerce with the least number (which could
be zero) of components listed in table 6 included in individual models
of the group. Testing under this paragraph shall be consistent with any
component-specific test provisions specified in section 4 of appendix A
and section 4 of appendix A1 to subpart F of part 431.
Table 6 to Paragraph (a)(3)(v)(A)--Specific Components for Commercial
Unitary Air Conditioners and Heat Pumps
[Excluding Air-Cooled Equipment With a Cooling Capacity of Less Than
65,000 Btu/h]
------------------------------------------------------------------------
Component Description
------------------------------------------------------------------------
Air Economizers.............. An automatic system that enables a
cooling system to supply outdoor air to
reduce or eliminate the need for
mechanical cooling during mid or cold
weather.
Desiccant Dehumidification An assembly that reduces the moisture
Components. content of the supply air through
moisture transfer with solid or liquid
desiccants.
Evaporative Pre-cooling of Water is evaporated into the air entering
Air-cooled Condenser Intake the air-cooled condenser to lower the
Air. dry-bulb temperature and thereby
increase efficiency of the refrigeration
cycle.
Fire/Smoke/Isolation Dampers. A damper assembly including means to open
and close the damper mounted at the
supply or return duct opening of the
equipment.
Indirect/Direct Evaporative Water is used indirectly or directly to
Cooling of Ventilation Air. cool ventilation air. In a direct system
the water is introduced directly into
the ventilation air and in an indirect
system the water is evaporated in
secondary air stream and the heat is
removed through a heat exchanger.
Non-Standard Ducted Condenser A higher-static condenser fan/motor
Fans (not applicable to assembly designed for external ducting
Double-duct Systems). of condenser air that provides greater
pressure rise and has a higher rated
motor horsepower than the condenser fan
provided as a standard component with
the equipment.
Non-Standard High-Static The standard indoor fan motor is the
Indoor Fan Motors. motor specified in the manufacturer's
installation instructions for testing
and shall be distributed in commerce as
part of a particular model. A non-
standard motor is an indoor fan motor
that is not the standard indoor fan
motor and that is distributed in
commerce as part of an individual model
within the same basic model.
For a non-standard high-static indoor fan
motor(s) to be considered a specific
component for a basic model (and thus
subject to the provisions of
(a)(3)(v)(A)(2) of this section), the
following provisions must be met:
(i) If testing per appendix A to subpart
F of part 431, non-standard high-static
indoor fan motor(s) must meet the
minimum allowable efficiency determined
per section D4.1 of AHRI 340/360-2022
(incorporated by reference, see Sec.
429.4) for non-standard high-static
indoor fan motors or per section D4.2 of
AHRI 340/360-2022 for non-standard high-
static indoor integrated fan and motor
combinations.
(ii) If testing per appendix A1 to
subpart F of part 431, non-standard high-
static indoor fan motor(s) must meet the
minimum allowable efficiency determined
per section D4.1 of AHRI 1340-202X Draft
(incorporated by reference, see Sec.
429.4) for non-standard high-static
indoor fan motors or per section D4.2 of
AHRI 1340-202X Draft for non-standard
high-static indoor integrated fan and
motor combinations.
(iii) If the standard indoor fan motor
can vary fan speed through control
system adjustment of motor speed, all
non-standard high-static indoor fan
motors must also allow speed control
(including with the use of variable-
frequency drive).
Powered Exhaust/Powered A powered exhaust fan is a fan that
Return Air Fans. transfers directly to the outside a
portion of the building air that is
returning to the unit, rather than
allowing it to recirculate to the indoor
coil and back to the building. A powered
return fan is a fan that draws building
air into the equipment.
Process Heat recovery/Reclaim A heat exchanger located inside the unit
Coils/Thermal Storage. that conditions the equipment's supply
air using energy transferred from an
external source using a vapor, gas, or
liquid.
Refrigerant Reheat Coils..... A heat exchanger located downstream of
the indoor coil that heats the supply
air during cooling operation using high
pressure refrigerant in order to
increase the ratio of moisture removal
to cooling capacity provided by the
equipment.
Sound Traps/Sound Attenuators An assembly of structures through which
the supply air passes before leaving the
equipment or through which the return
air from the building passes immediately
after entering the equipment for which
the sound insertion loss is at least 6
dB for the 125 Hz octave band frequency
range.
Steam/Hydronic Heat Coils.... Coils used to provide supplemental
heating.
Ventilation Energy Recovery An assembly that preconditions outdoor
System (VERS). 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.
------------------------------------------------------------------------
[[Page 56446]]
(B) The represented value of total cooling capacity must be between
95 percent and 100 percent of the mean of the total cooling capacities
measured for the units in the sample selected as described in paragraph
(a)(1)(ii) of this section, or between 95 percent and 100 percent of
the total cooling capacity output simulated by the AEDM as described in
paragraph (a)(2) of this section.
(C) Representations of IVEC and IVHE (including IVHEc,
as applicable) must be determined using a minimum part-load airflow
that is no lower than the highest of the following:
(1) The minimum part-load airflow obtained using the as-shipped
system control settings;
(2) The minimum part-load airflow obtained using the default system
control settings specified in the manufacturer installation
instructions (as applicable); and
(3) The minimum airflow rate specified in section 5.18.2 of AHRI
1340-202XDraft.
(b) * * *
(2) * * *
(i) Commercial unitary air conditioners (except air-cooled, three-
phase, commercial unitary air conditioners with a cooling capacity of
less than 65,000 Btu/h): * * *
(ii) Commercial unitary heat pumps (except air-cooled, three-phase,
commercial unitary heat pumps with a cooling capacity of less than
65,000 Btu/h): * * *
* * * * *
Sec. 429.67 [Amended]
0
5. Amend Sec. 429.67 by:
0
a. In the section heading and paragraphs (a)(1), (2), and (c)(1),
removing the words ``small commercial package air conditioning and
heating equipment'', and adding in their place, the words ``commercial
unitary air conditioners and heat pumps'';
0
b. In paragraph (f)(2)(i), removing the words ``Commercial package air
conditioning equipment that is air-cooled with a cooling capacity of
less than 65,000 Btu/h (3-Phase)'', and adding in their place, the
words ``Air-cooled, three-phase, commercial unitary air conditioners
with a cooling capacity of less than 65,000 Btu/h'';
0
c. In paragraph (f)(2)(ii), removing the words ``Commercial package
heating equipment that is air-cooled with a cooling capacity of less
than 65,000 Btu/h (3-Phase)'', and adding in their place, the words
``Air-cooled, three-phase, commercial unitary heat pumps with a cooling
capacity of less than 65,000 Btu/h''; and
0
d. In paragraph (f)(3)(i), removing the words ``Air cooled commercial
package air conditioning equipment with a cooling capacity of less than
65,000 Btu/h (3-phase)'', and adding in their place, the words ``Air-
cooled, three-phase, commercial unitary air conditioners with a cooling
capacity of less than 65,000 Btu/h''.
0
e. In paragraph (f)(3)(ii), removing the words ``Commercial package
heating equipment that is air-cooled with a cooling capacity of less
than 65,000 Btu/h (3-Phase)'', and adding in their place, the words
``Air-cooled, three-phase, commercial unitary heat pumps with a cooling
capacity of less than 65,000 Btu/h''; and
0
6. Amend Sec. 429.70 by:
0
a. Removing the words ``commercial package air conditioning and heating
equipment'' and adding in their place, the words ``commercial unitary
air conditioners and heat pumps'' in paragraph heading (c);
0
b. Revising table 1 to paragraph (c)(2)(iv);
0
c. Revising table 2 to paragraph (c)(5)(vi)(B); and
0
d. Removing the words ``commercial package air conditioning and heating
equipment'' and adding in their place, the words ``commercial unitary
air conditioners and heat pumps'' in the headings for paragraph (l),
and in paragraphs (l)(1)(i), (l)(1)(ii), and (l)(3).
The revisions read as follows:
Sec. 429.70 Alternative methods for determining energy efficiency and
energy use.
* * * * *
(c) * * *
(2) * * *
(iv) * * *
Table 1 to Paragraph (c)(2)(iv)
------------------------------------------------------------------------
Minimum number of distinct
Validation class models that must be tested per
AEDM
------------------------------------------------------------------------
(A) Commercial HVAC Validation Classes
------------------------------------------------------------------------
Air-Cooled Commercial Unitary Air 2 Basic Models.
Conditioners and Heat Pumps greater
than or equal to 65,000 Btu/h Cooling
Capacity.
Water-Cooled Commercial Unitary Air 2 Basic Models.
Conditioners, All Capacities.
Evaporatively-Cooled, Commercial Unitary 2 Basic Models.
Air Conditioners, All Capacities.
Water-Source HPs, All Capacities........ 2 Basic Models.
Single Package Vertical ACs and HPs..... 2 Basic Models.
Packaged Terminal ACs and HPs........... 2 Basic Models.
Air-Cooled, Variable Refrigerant Flow 2 Basic Models.
ACs and HPs.
Water-Cooled, Variable Refrigerant Flow 2 Basic Models.
ACs and HPs.
Computer Room Air Conditioners, Air 2 Basic Models.
Cooled.
Computer Room Air Conditioners, Water- 2 Basic Models.
Cooled and Glycol-Cooled.
Direct Expansion-Dedicated Outdoor Air 2 Basic Models.
Systems, Air-cooled or Air-source Heat
Pump, Without Ventilation Energy
Recovery Systems.
Direct Expansion-Dedicated Outdoor Air 2 Basic Models.
Systems, Air-cooled or Air-source Heat
Pump, With Ventilation Energy Recovery
Systems.
Direct Expansion-Dedicated Outdoor Air 2 Basic Models.
Systems, Water-cooled, Water-source
Heat Pump, or Ground Source Closed-loop
Heat Pump, Without Ventilation Energy
Recovery Systems.
Direct Expansion-Dedicated Outdoor Air 2 Basic Models.
Systems, Water-cooled, Water-source
Heat Pump, or Ground Source Closed-loop
Heat Pump, With Ventilation Energy
Recovery Systems.
------------------------------------------------------------------------
(B) Commercial Water Heater Validation Classes
------------------------------------------------------------------------
Gas-fired Water Heaters and Hot Water 2 Basic Models.
Supply Boilers Less than 10 Gallons.
Gas-fired Water Heaters and Hot Water 2 Basic Models.
Supply Boilers Greater than or Equal to
10 Gallons.
[[Page 56447]]
Oil-fired Water Heaters and Hot Water 2 Basic Models.
Supply Boilers Less than 10 Gallons.
Oil-fired Water Heaters and Hot Water 2 Basic Models.
Supply Boilers Greater than or Equal to
10 Gallons.
Electric Water Heaters.................. 2 Basic Models.
Heat Pump Water Heaters................. 2 Basic Models.
Unfired Hot Water Storage Tanks......... 2 Basic Models.
------------------------------------------------------------------------
(C) Commercial Packaged Boilers Validation Classes
------------------------------------------------------------------------
Gas-fired, Hot Water Only Commercial 2 Basic Models.
Packaged Boilers.
Gas-fired, Steam Only Commercial 2 Basic Models.
Packaged Boilers.
Gas-fired Hot Water/Steam Commercial 2 Basic Models.
Packaged Boilers.
Oil-fired, Hot Water Only Commercial 2 Basic Models.
Packaged Boilers.
Oil-fired, Steam Only Commercial 2 Basic Models.
Packaged Boilers.
Oil-fired Hot Water/Steam Commercial 2 Basic Models.
Packaged Boilers.
------------------------------------------------------------------------
(D) Commercial Furnace Validation Classes
------------------------------------------------------------------------
Gas-fired Furnaces...................... 2 Basic Models.
Oil-fired Furnaces...................... 2 Basic Models.
------------------------------------------------------------------------
(E) Commercial Refrigeration Equipment Validation Classes \1\
------------------------------------------------------------------------
Self-Contained Open Refrigerators....... 2 Basic Models.
Self-Contained Open Freezers............ 2 Basic Models.
Remote Condensing Open Refrigerators.... 2 Basic Models.
Remote Condensing Open Freezers......... 2 Basic Models.
Self-Contained Closed Refrigerators..... 2 Basic Models.
Self-Contained Closed Freezers.......... 2 Basic Models.
Remote Condensing Closed Refrigerators.. 2 Basic Models.
Remote Condensing Closed Freezers....... 2 Basic Models.
------------------------------------------------------------------------
\1\ The minimum number of tests indicated above must be comprised of a
transparent model, a solid model, a vertical model, a semi-vertical
model, a horizontal model, and a service-over-the counter model, as
applicable based on the equipment offering. However, manufacturers do
not need to include all types of these models if it will increase the
minimum number of tests that need to be conducted.
* * * * *
(5) * * *
(vi) * * *
(B) * * *
Table 2 to Paragraph (c)(5)(vi)(B)
------------------------------------------------------------------------
Applicable
Equipment Metric tolerance
------------------------------------------------------------------------
Commercial Packaged Boilers.... Combustion Efficiency.. 5% (0.05)
Thermal Efficiency..... 5% (0.05)
Commercial Water Heaters or Hot Thermal Efficiency..... 5% (0.05)
Water Supply Boilers. Standby Loss........... 10% (0.1)
Unfired Storage Tanks.......... R-Value................ 10% (0.1)
Air-Cooled Commercial Unitary Energy Efficiency Ratio 5% (0.05)
Air Conditioners and Heat Energy Efficiency Ratio 5% (0.05)
Pumps greater than or equal to 2. 5% (0.05)
65,000 Btu/h Cooling Capacity. Coefficient of
Performance.
Coefficient of 5% (0.05)
Performance 2.
Integrated Energy 10% (0.1)
Efficiency Ratio.
Integrated Ventilation, 10% (0.1)
Economizing, and
Cooling.
Integrated Ventilation 10% (0.1)
and Heating Efficiency.
Water-Cooled Commercial Unitary Energy Efficiency Ratio 5% (0.05)
Air Conditioners, All Cooling Energy Efficiency Ratio 5% (0.05)
Capacities. 2.
Integrated Energy 10% (0.1)
Efficiency Ratio.
Integrated Ventilation, 10% (0.1)
Economizing, and
Cooling.
Evaporatively-Cooled Commercial Energy Efficiency Ratio 5% (0.05)
Unitary Air Conditioners, All Energy Efficiency Ratio 5% (0.05)
Capacities. 2.
Integrated Energy 10% (0.1)
Efficiency Ratio.
Integrated Ventilation, 10% (0.1)
Economizing, and
Cooling.
Water-Source HPs, All Energy Efficiency Ratio 5% (0.05)
Capacities.
Coefficient of 5% (0.05)
Performance.
Integrated Energy 10% (0.1)
Efficiency Ratio.
Single Package Vertical ACs and Energy Efficiency Ratio 5% (0.05)
HPs.
[[Page 56448]]
Coefficient of 5% (0.05)
Performance.
Packaged Terminal ACs and HPs.. Energy Efficiency Ratio 5% (0.05)
Coefficient of 5% (0.05)
Performance.
Variable Refrigerant Flow ACs Energy Efficiency Ratio 5% (0.05)
and HPs.
Coefficient of 5% (0.05)
Performance.
Integrated Energy 10% (0.1)
Efficiency Ratio.
Computer Room Air Conditioners. Sensible Coefficient of 5% (0.05)
Performance.
Net Sensible 5% (0.05)
Coefficient of
Performance.
Direct Expansion- Dedicated Integrated Seasonal 10% (0.1)
Outdoor Air Systems. Coefficient of 10% (0.1)
Performance 2.
Integrated Seasonal
Moisture Removal
Efficiency 2.
Commercial Warm-Air Furnaces Thermal Efficiency..... 5% (0.05)
Commercial Refrigeration Daily Energy 5% (0.05)
Equipment. Consumption.
------------------------------------------------------------------------
* * * * *
0
7. Amend Sec. 429.134 by:
0
a. Revising paragraph (g); and
0
b. In paragraph heading (y), removing the words ``small commercial
package air conditioning and heating equipment'', and adding in their
place, the words ``commercial unitary air conditioners and heat
pumps''.
The revision reads as follows:
Sec. 429.134 Product-specific enforcement provisions.
* * * * *
(g) Commercial unitary air conditioners and heat pumps (excluding
air-cooled equipment with a cooling capacity less than 65,000 Btu/h).
Before [Date 360 days after date of publication of the final rule in
the Federal Register], the provisions in this section of this title as
it appeared in the 10 CFR parts 200-499 edition revised as of January
1, 2023 are applicable. On and after [Date 360 days after date of
publication of the final rule in the Federal Register], the following
provisions apply.
(1) Verification of cooling capacity. The cooling capacity of each
tested unit of the basic model will be measured pursuant to the test
requirements of appendix A or appendix A1 to subpart F of 10 CFR part
431. The mean of the cooling capacity measurement(s) will be used to
determine the applicable standards for purposes of compliance. If the
mean of the cooling capacity measurements exceeds the certified cooling
capacity by more than 5 percent of the certified value, the mean of the
cooling capacity measurement(s) will be used to determine the
applicable minimum external static pressure test condition specified in
Table 7 of AHRI 340/360-2022 (incorporated by reference, see Sec.
429.4) when testing in accordance with appendix A or in Table 5 of AHRI
1340-202X Draft when testing in accordance with appendix A1.
(2) Specific Components. If a basic model includes individual
models with components listed at Table 6 to Sec. 429.43(a)(3)(v)(A)
and DOE is not able to obtain an individual model with the least number
(which could be zero) of those components within an otherwise
comparable model group (as defined in Sec. 429.43(a)(3)(v)(A)(1)), DOE
may test any individual model within the otherwise comparable model
group.
(3) Verification of cut-out and cut-in temperatures.
(i) For assessment and enforcement testing of models of commercial
unitary heat pumps subject to energy conservation standards denominated
in terms of IVHE, the cut-out and cut-in temperatures may be verified
using the method in paragraph (g)(3)(ii) of this section. If this
method is conducted, the cut-in and cut-out temperatures determined
using this method will be used to calculate IVHE for purposes of
compliance.
(ii) Test method for verification of cut-out and cut-in
temperatures.
(A) Capacity does not need to be measured. Measure a parameter that
provides positive indication that the heat pump is operating in heat
pump mode (e.g., power or discharge pressure). Also monitor the
temperature of air entering the outdoor coil using one or more air
samplers or parallel thermocouple grid(s) on each side of the heat pump
that has air inlets. Record measurements at a time interval of one
minute or shorter.
(B) Ensure that the heat pump is operating. Compensation load on
the indoor room may be reduced during the test to avoid compressor
temporary boost mode or excessive room temperature reduction. Set
outdoor chamber temperature to the lower of (1) 17.0 [deg]F or (2) 3.0
[deg]F warmer than the certified cut-out temperature. Maintain the
outdoor chamber at this temperature for 3 minutes to allow conditions
to stabilize.
(C) Reduce outdoor chamber temperature in steps or continuously at
an average rate of 1.0 [deg]F every 5 minutes. When the heat pump stops
operating, continue recording data for 5 minutes. At this point,
reverse the temperature ramp and increase outdoor chamber temperature
1.0 [deg]F every 5 minutes. Continue the test until 5 minutes after the
heat pump operation restarts. Note the average outdoor coil air inlet
temperature when the heat pump stops operation as the cut-out
temperature and the temperature 30 seconds after it restarts as the
cut-in temperature.
* * * * *
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. Amend Sec. 431.92 by:
0
a. Revising the definition for ``Basic model'' and ``Coefficient of
performance, or COP'';
0
b. Adding in alphabetical order definitions for ``Coefficient of
performance 2, or ``COP2'' and ``Commercial unitary air conditioner and
commercial unitary heat pump'';
0
c. Revising the definitions for ``Double-duct air conditioner or heat
pump'' and ``Energy efficiency ratio, or EER'';
0
d. Adding in alphabetical order a definition for ``Energy efficiency
ratio 2, or EER2'';
0
e. Revising the definition for ``Integrated energy efficiency ratio, or
IEER''; and
0
f. Adding in alphabetical order definitions for ``Integrated
ventilation and heating efficiency, or IVHE'' and ``Integrated
ventilation, economizing, and cooling, or IVEC''.
The revisions and additions read as follows:
[[Page 56449]]
Sec. 431.92 Definitions concerning commercial air conditioners and
heat pumps.
* * * * *
Basic model means:
(1) For air-cooled, three-phase, commercial unitary air
conditioners and heat pumps with a cooling capacity of less than 65,000
Btu/h and air-cooled, three-phase, variable refrigerant flow multi-
split air conditioners and heat pumps with a cooling capacity of less
than 65,000 Btu/h: All units manufactured by one manufacturer, having
the same primary energy source, and, which have essentially identical
electrical, physical, and functional (or hydraulic) characteristics
that affect energy consumption, energy efficiency, water consumption,
or water efficiency; where essentially identical electrical, physical,
and functional (or hydraulic) characteristics means:
(i) For split systems manufactured by outdoor unit manufacturers
(OUMs): all individual combinations having the same model of outdoor
unit, which means comparably performing compressor(s) [a variation of
no more than five percent in displacement rate (volume per time) as
rated by the compressor manufacturer, and no more than five percent in
capacity and power input for the same operating conditions as rated by
the compressor manufacturer], outdoor coil(s) [no more than five
percent variation in face area and total fin surface area; same fin
material; same tube material], and outdoor fan(s) [no more than ten
percent variation in airflow and no more than twenty percent variation
in power input];
(ii) For split systems having indoor units manufactured by
independent coil manufacturers (ICMs): all individual combinations
having comparably performing indoor coil(s) [plus or minus one square
foot face area, plus or minus one fin per inch fin density, and the
same fin material, tube material, number of tube rows, tube pattern,
and tube size]; and
(iii) For single-package systems: all individual models having
comparably performing compressor(s) [no more than five percent
variation in displacement rate (volume per time) rated by the
compressor manufacturer, and no more than five percent variations in
capacity and power input rated by the compressor manufacturer
corresponding to the same compressor rating conditions], outdoor
coil(s) and indoor coil(s) [no more than five percent variation in face
area and total fin surface area; same fin material; same tube
material], outdoor fan(s) [no more than ten percent variation in
outdoor airflow], and indoor blower(s) [no more than ten percent
variation in indoor airflow, with no more than twenty percent variation
in fan motor power input];
(iv) Except that,
(A) For single-package systems and single-split systems,
manufacturers may instead choose to make each individual model/
combination its own basic model provided the testing and represented
value requirements in 10 CFR 429.67 of this chapter are met; and
(B) For multi-split, multi-circuit, and multi-head mini-split
combinations, a basic model may not include both individual small-duct,
high velocity (SDHV) combinations and non-SDHV combinations even when
they include the same model of outdoor unit. The manufacturer may
choose to identify specific individual combinations as additional basic
models.
(2) For commercial unitary air conditioners and heat pumps
(excluding air-cooled, three-phase, commercial unitary air conditioners
and heat pumps with a cooling capacity of less than 65,000 Btu/h): All
units manufactured by one manufacturer within a single equipment class,
having the same or comparably performing compressor(s), heat
exchangers, and air moving system(s) that have a common ``nominal''
cooling capacity.
(3) For computer room air conditioners: All units manufactured by
one manufacturer within a single equipment class, having the same
primary energy source (e.g., electric or gas), and which have the same
or comparably performing compressor(s), heat exchangers, and air moving
system(s) that have a common ``nominal'' cooling capacity.
(4) For direct expansion-dedicated outdoor air system: All units
manufactured by one manufacturer, having the same primary energy source
(e.g., electric or gas), within a single equipment class; with the same
or comparably performing compressor(s), heat exchangers, ventilation
energy recovery system(s) (if present), and air moving system(s) that
have a common ``nominal'' moisture removal capacity.
(5) For packaged terminal air conditioner (PTAC) or packaged
terminal heat pump (PTHP): All units manufactured by one manufacturer
within a single equipment class, having the same primary energy source
(e.g., electric or gas), and which have the same or comparable
compressors, same or comparable heat exchangers, and same or comparable
air moving systems that have a cooling capacity within 300 Btu/h of one
another.
(6) For single package vertical units: All units manufactured by
one manufacturer within a single equipment class, having the same
primary energy source (e.g., electric or gas), and which have the same
or comparably performing compressor(s), heat exchangers, and air moving
system(s) that have a rated cooling capacity within 1500 Btu/h of one
another.
(7) For variable refrigerant flow systems (excluding air-cooled,
three-phase, variable refrigerant flow air conditioners and heat pumps
with a cooling capacity of less than 65,000 Btu/h): All units
manufactured by one manufacturer within a single equipment class,
having the same primary energy source (e.g., electric or gas), and
which have the same or comparably performing compressor(s) that have a
common ``nominal'' cooling capacity and the same heat rejection medium
(e.g., air or water) (includes VRF water source heat pumps).
(8) For water-source heat pumps: All units manufactured by one
manufacturer within a single equipment class, having the same primary
energy source (e.g., electric or gas), and which have the same or
comparable compressors, same or comparable heat exchangers, and same or
comparable ``nominal'' capacity.
* * * * *
Coefficient of performance, or COP means the ratio of the produced
cooling effect of an air conditioner or heat pump (or its produced
heating effect, depending on the mode of operation) to its net work
input, when both the cooling (or heating) effect and the net work input
are expressed in identical units of measurement. For air-cooled
commercial unitary air conditioners and heat pumps (excluding equipment
with a cooling capacity less than 65,000 Btu/h), COP is measured per
appendix A to this subpart.
Coefficient of performance 2, or COP2 means the ratio of the
produced cooling effect of an air conditioner or heat pump (or its
produced heating effect, depending on the mode of operation) to its net
work input, when both the cooling (or heating) effect and the net work
input are expressed in identical units of measurement. COP2 must be
used with a subscript to indicate the outdoor temperature in degrees
Fahrenheit at which the COP2 was measured (e.g., COP217 for
COP2 measured at 17 [deg]F). For air-cooled commercial unitary air
conditioners and heat pumps (excluding equipment with a cooling
capacity less than 65,000 Btu/
[[Page 56450]]
h), COP2 is measured per appendix A1 to this subpart.
* * * * *
Commercial unitary air conditioner and commercial unitary heat pump
means any small, large, or very large air-cooled, water-cooled, or
evaporatively-cooled commercial package air-conditioning and heating
equipment that consists of one or more factory-made assemblies that
provide space conditioning; and does not include:
(1) Single package vertical air conditioners and heat pumps,
(2) Variable refrigerant flow multi-split air conditioners and heat
pumps,
(3) Water-source heat pumps,
(4) Equipment marketed only for use in computer rooms, data
processing rooms, or other information technology cooling applications,
and
(5) Equipment only capable of providing ventilation and
conditioning of 100-percent outdoor air, or marketed only for
ventilation and conditioning of 100-percent outdoor air.
* * * * *
Double-duct air conditioner or heat pump means an air-cooled
commercial unitary air conditioner or heat pump that meets the
following criteria--
(1) Is either a horizontal single package or split-system unit; or
a vertical unit that consists of two components that may be shipped or
installed either connected or split; or a vertical single packaged unit
that is not intended for exterior mounting on, adjacent interior to, or
through an outside wall;
(2) Is intended for indoor installation with ducting of outdoor air
from the building exterior to and from the unit (e.g., the unit and/or
all of its components are non-weatherized);
(3) If it is a horizontal unit, the complete unit shall have a
maximum height of 35 inches or the unit shall have components that do
not exceed a maximum height of 35 inches. If it is a vertical unit, the
complete (split, connected, or assembled) unit shall have components
that do not exceed a maximum depth of 35 inches; and
(4) Has a rated cooling capacity greater than or equal to 65,000
Btu/h and less than 300,000 Btu/h.
* * * * *
Energy efficiency ratio, or EER means the ratio of the produced
cooling effect of an air conditioner or heat pump to its net work
input, expressed in Btu/watt-hour. For commercial unitary air
conditioners and heat pumps (excluding air-cooled equipment with a
cooling capacity less than 65,000 Btu/h), EER is measured per appendix
A to this subpart.
Energy efficiency ratio 2, or EER2 means the ratio of the produced
cooling effect of an air conditioner or heat pump to its net work
input, expressed in Btu/watt-hour. For commercial unitary air
conditioners and heat pumps (excluding air-cooled equipment with a
cooling capacity less than 65,000 Btu/h), EER2 is measured per appendix
A1 to this subpart.
* * * * *
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:
(1) Per appendix A to this subpart for commercial unitary air
conditioners and heat pumps (excluding air-cooled equipment with a
cooling capacity less than 65,000 Btu/h);
(2) 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); and
(3) Per appendix G1 to this subpart for single package vertical air
conditioners and single package vertical heat pumps.
* * * * *
Integrated ventilation and heating efficiency or IVHE, means a sum
of the space heating provided (Btu) divided by the sum of the energy
consumed (Wh), including mechanical heating, supplementary electric
resistance heating, and heating season ventilation operating modes.
IVHE with subscript C (IVHEC) refers to the IVHE of heat
pumps using a cold-climate heating load line. For air-cooled commercial
unitary air conditioners and heat pumps (excluding equipment with a
cooling capacity less than 65,000 Btu/h), IVHE and IVHEC are
measured per appendix A1 to this subpart.
Integrated ventilation, economizing, and cooling or IVEC, means a
sum of the space cooling provided (Btu) divided by the sum of the
energy consumed (Wh), including mechanical cooling, economizing, and
cooling season ventilation operating modes. For commercial unitary air
conditioners and heat pumps (excluding air-cooled equipment with a
cooling capacity less than 65,000 Btu/h), IVEC is measured per appendix
A1 to this subpart.
* * * * *
0
10. Amend Sec. 431.95 by:
0
a. Revising paragraph (b)(4);
0
b. Redesignating paragraph (b)(10) as paragraph (b)(11);
0
c. Adding new paragraph (b)(10); and
0
d. In paragraph (c)(2), removing the words ``appendices A'' and adding
in its place, the words ``appendices A, A1''.
The revision and addition reads as follows:
Sec. 431.95 Materials incorporated by reference.
* * * * *
(b) * * *
(4) AHRI Standard 340/360-2022 (I-P), (``AHRI 340/360-2022''),
``2022 Standard for Performance Rating of Commercial and Industrial
Unitary Air-conditioning and Heat Pump Equipment,'' published in
January 2022; IBR approved for appendix A to this subpart.
* * * * *
(10) AHRI Standard 1340(I-P)-202X Draft, (``AHRI 1340-202X
Draft''), ``202X Performance Rating of Commercial and Industrial
Unitary Air-conditioning and Heat Pump Equipment,'' [publication
expected 2023]; IBR approved for appendix A1 to this subpart.
* * * * *
0
11. Amend Sec. 431.96 by revising 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) * * *
Table 1 to Paragraph (b)--Test Procedures for Commercial Air Conditioners and Heat Pumps
--------------------------------------------------------------------------------------------------------------------------------------------------------
Additional test
Use tests, procedure provisions
Equipment Category Cooling capacity Energy efficiency conditions, and as indicated in the
descriptor procedures \1\ in listed paragraphs of
this section
--------------------------------------------------------------------------------------------------------------------------------------------------------
Commercial Unitary Air Conditioners Air-Cooled AC and HP >=65,000 Btu/h and EER, IEER, and COP... Appendix A \3\ to None.
and Heat Pumps. (excluding double- <760,000 Btu/h. this subpart.
duct AC and HP).
Commercial Unitary Air Conditioners Air-Cooled AC and HP >=65,000 Btu/h and EER2, COP2, IVEC, and Appendix A1 \3\ to None.
and Heat Pumps. (excluding double- <760,000 Btu/h. IVHE. this subpart.
duct AC and HP).
[[Page 56451]]
Commercial Unitary Air Conditioners Double-duct AC and HP. >=65,000 Btu/h and EER, IEER, and COP... Appendix A \3\ to None.
and Heat Pumps. <300,000 Btu/h. this subpart.
Commercial Unitary Air Conditioners Double-duct AC and HP. >=65,000 Btu/h and EER2, COP2, IVEC, and Appendix A1 \3\ to None.
and Heat Pumps. <300,000 Btu/h. IVHE. this subpart.
Commercial Unitary Air Conditioners Water-Cooled and <760,000 Btu/h........ EER and IEER......... Appendix A \3\ to None.
Evaporatively-Cooled this subpart.
AC.
Commercial Unitary Air Conditioners Water-Cooled and <760,000 Btu/h........ EER2 and IVEC........ Appendix A1 \3\ to None.
Evaporatively-Cooled this subpart.
AC.
Water-Source Heat Pumps............ HP.................... <135,000 Btu/h........ EER and COP.......... ISO Standard 13256-1 Paragraph (e).
(1998).
Packaged Terminal Air Conditioners AC and HP............. <760,000 Btu/h........ EER and COP.......... Paragraph (g) of this Paragraphs (c), (e),
and Heat Pumps. section. and (g).
Computer Room Air Conditioners..... AC.................... <760,000 Btu/h........ SCOP................. Appendix E to this None.
subpart \3\.
Computer Room Air Conditioners..... AC.................... <760,000 Btu/h or NSenCOP.............. Appendix E1 to this None.
<930,000 Btu/h \4\. subpart \3\.
Variable Refrigerant Flow Multi- AC.................... <65,000 Btu/h (3- SEER................. Appendix F to this None.
split Systems. phase). subpart \3\.
Variable Refrigerant Flow Multi- AC.................... >=65,000 Btu/h and SEER2................ Appendix F1 to this None.
split Systems. <760,000 Btu/h. subpart \3\.
Variable Refrigerant Flow Multi- HP.................... <65,000 Btu/h (3- EER and COP.......... Appendix F to this None.
split Systems, Air-cooled. phase). subpart \3\.
Variable Refrigerant Flow Multi- HP.................... >=65,000 Btu/h and IEER and COP......... Appendix F1 to this None.
split Systems, Air-cooled. <760,000 Btu/h. 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\.
Variable Refrigerant Flow Multi- HP.................... <760,000 Btu/h........ IEER and COP......... Appendix D1 to this None.
split Systems, Water-source. subpart \3\.
Single Package Vertical Air AC and HP............. <760,000 Btu/h........ EER and COP.......... Appendix G to this None.
Conditioners and Single Package subpart \3\.
Vertical Heat Pumps.
Single Package Vertical Air AC and HP............. <760,000 Btu/h........ EER, IEER, and COP... Appendix G1 to this None.
Conditioners and Single Package subpart \3\.
Vertical Heat Pumps.
Direct Expansion-Dedicated Outdoor All................... <324 lbs. of moisture ISMRE2 and ISCOP2.... Appendix B to this None.
Air Systems. removal/hr. subpart.
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Incorporated by reference; see Sec. 431.95.
\2\ Moisture removal capacity applies only to direct expansion-dedicated outdoor air systems.
\3\ For equipment with multiple appendices listed in this table, consult the notes at the beginning of those appendices to determine the applicable
appendix to use for testing.
\4\ For upflow ducted and downflow floor-mounted computer room air conditioners, the test procedure in appendix E1 of this subpart applies to equipment
with net sensible cooling capacity less than 930,000 Btu/h. For all other configurations of computer room air conditioners, the test procedure in
appendix E1 applies to equipment with net sensible cooling capacity less than 760,000 Btu/h.
* * * * *
0
12. Amend Sec. 431.97 by:
0
a. Revising paragraphs (a) and (b);
0
b. Redesignating paragraphs (c) through (h) as paragraphs (d) through
(i);
0
c. Adding new paragraph (c);
0
d. In newly redesignated paragraph (d), removing the words ``tables 7
to this paragraph (c)'' and adding in their place ``table 6 to this
paragraph'', removing the words ``Table 7 of this section'' and adding
in their place ``table 6 to this paragraph'', removing the words
``table 8 to this paragraph (c)'' and adding in their place ``table 7
to this paragraph'', redesignating Table 7 to Sec. 431.97(c) as Table
6 to Sec. 431.97(d), and redesignating Table 8 to Sec. 431.97(c) as
Table 7 to Sec. 431.97(d);
0
e. In newly redesignated paragraph (e), redesignating Table 9 to Sec.
431.97(d)(1) as Table 8 to Sec. 431.97(e)(1), redesignating Table 10
to Sec. 431.97(d)(2) as Table 9 to Sec. 431.97(e)(2), and
redesignating Table 11 to Sec. 431.97(d)(3) as Table 10 to Sec.
431.97(e)(3);
0
f. In newly redesignated paragraph (f), removing the words ``table 12
to this paragraph (e)(1)'' and adding in their place ``table 11 to this
paragraph'', redesignating Table 12 to Sec. 431.97(e)(1) as Table 11
to Sec. 431.97(f)(1), removing the words ``tables 13 and 14 to this
paragraph (e)(2)'' and adding in their place ``tables 12 and 13 to this
paragraph'', redesignating Table 13 to Sec. 431.97(e)(2) as Table 12
to Sec. 431.97(f)(2), and redesignating Table 14 to Sec. 431.97(e)(2)
as Table 13 to Sec. 431.97(f)(2);
0
g. In newly redesignated paragraph (g), removing the words ``table 15
to this paragraph (f)(1)'' and adding in their place ``table 14 to this
paragraph'', redesignating Table 15 to Sec. 431.97(f)(1) as Table 14
to Sec. 431.97(g)(1), removing the words ``table 16 to this paragraph
(f)(2.)'' and adding in their place ``table 15 to this paragraph.'',
and redesignating Table 16 to Sec. 431.97(f)(2) as Table 15 to Sec.
431.97(g)(2);
[[Page 56452]]
0
h. In newly redesignated paragraph (h), removing the words ``table 17
to this paragraph (g)'' and adding in their place ``table 16 to this
paragraph'', and redesignating Table 17 to Sec. 431.97(g) as Table 16
to Sec. 431.97(h); and
0
i. Revising newly redesignated paragraph (i).
The revisions and addition read as follows:
Sec. 431.97 Energy efficiency standards and their compliance dates.
(a) All basic models of commercial package air-conditioning and
heating equipment must be tested for performance using the applicable
DOE test procedure in Sec. 431.96, be compliant with the applicable
standards set forth in paragraphs (b) through (i) of this section, and
be certified to the Department under 10 CFR part 429.
(b) Each commercial unitary air conditioner or heat pump (excluding
air-cooled equipment with cooling capacity less than 65,000 Btu/h)
manufactured starting on the compliance date listed in the
corresponding table must meet the applicable minimum energy efficiency
standard level(s) set forth in Tables 1 through 4 of this section.
Table 1 to Sec. 431.97(b)--Minimum Efficiency Standards for Air-Cooled Commercial Unitary Air Conditioners and
Heat Pumps With a Cooling Capacity Greater Than or Equal to 65,000 Btu/h (Excluding Double-Duct Air-Conditioners
and Heat Pumps)
----------------------------------------------------------------------------------------------------------------
Compliance date:
Supplementary Minimum efficiency equipment
Cooling capacity Subcategory heating type \1\ manufactured starting
on . . .
----------------------------------------------------------------------------------------------------------------
Air-Cooled Commercial Unitary Air Conditioners and Heat Pumps with a Cooling Capacity Greater Than or Equal to
65,000 Btu/h (Excluding Double-Duct Air-Conditioners and Heat Pumps)
----------------------------------------------------------------------------------------------------------------
>=65,000 Btu/h and <135,000 AC.............. Electric IEER = 14.8.......... January 1, 2023.
Btu/h. Resistance
Heating or No
Heating.
>=65,000 Btu/h and <135,000 AC.............. All Other Types IEER = 14.6.......... January 1, 2023.
Btu/h. of Heating.
>=65,000 Btu/h and <135,000 HP.............. Electric IEER = 14.1.......... January 1, 2023.
Btu/h. Resistance COP = 3.4............
Heating or No
Heating.
>=65,000 Btu/h and <135,000 HP.............. All Other Types IEER = 13.9.......... January 1, 2023.
Btu/h. of Heating. COP = 3.4............
>=135,000 Btu/h and <240,000 AC.............. Electric IEER = 14.2.......... January 1, 2023.
Btu/h. Resistance
Heating or No
Heating.
>=135,000 Btu/h and <240,000 AC.............. All Other Types IEER = 14.0.......... January 1, 2023.
Btu/h. of Heating.
>=135,000 Btu/h and <240,000 HP.............. Electric IEER = 13.5.......... January 1, 2023.
Btu/h. Resistance COP = 3.3............
Heating or No
Heating.
>=135,000 Btu/h and <240,000 HP.............. All Other Types IEER = 13.3.......... January 1, 2023.
Btu/h. of Heating. COP = 3.3............
>=240,000 Btu/h and <760,000 AC.............. Electric IEER = 13.2.......... January 1, 2023.
Btu/h. Resistance
Heating or No
Heating.
>=240,000 Btu/h and <760,000 AC.............. All Other Types IEER = 13.0.......... January 1, 2023.
Btu/h. of Heating.
>=240,000 Btu/h and <760,000 HP.............. Electric IEER = 12.5.......... January 1, 2023.
Btu/h. Resistance COP = 3.2............
Heating or No
Heating.
>=240,000 Btu/h and <760,000 HP.............. All Other Types IEER = 12.3.......... January 1, 2023.
Btu/h. of Heating. COP = 3.2............ January 1, 2018.
----------------------------------------------------------------------------------------------------------------
\1\ Per section 3 of Appendix A to this Subpart, COP standards for commercial unitary heat pumps are based on
performance at the ``Standard Rating Conditions (High Temperature Steady-State Heating)'' condition specified
in Table 6 of AHRI 340/360-2022.
Table 2 to Sec. 431.97(b)--Minimum Cooling Efficiency Standards for Water-Cooled Commercial Unitary Air
Conditioners
----------------------------------------------------------------------------------------------------------------
Compliance date:
Cooling capacity Supplementary heating Minimum efficiency equipment manufactured
type starting on . . .
----------------------------------------------------------------------------------------------------------------
Water-Cooled Commercial Unitary Air Conditioners
----------------------------------------------------------------------------------------------------------------
<65,000 Btu/h........................ All.................... EER = 12.1............. October 29, 2003.
>=65,000 Btu/h and <135,000 Btu/h.... No Heating or Electric EER = 12.1............. June 1, 2013.
Resistance Heating.
>=65,000 Btu/h and <135,000 Btu/h.... All Other Types of EER = 11.9............. June 1, 2013.
Heating.
>=135,000 Btu/h and <240,000 Btu/h... No Heating or Electric EER = 12.5............. June 1, 2014.
Resistance Heating.
>=135,000 Btu/h and <240,000 Btu/h... All Other Types of EER = 12.3............. June 1, 2014.
Heating.
>=240,000 Btu/h and <760,000 Btu/h... No Heating or Electric EER = 12.4............. June 1, 2014.
Resistance Heating.
>=240,000 Btu/h and <760,000 Btu/h... All Other Types of EER = 12.2............. June 1, 2014.
Heating.
----------------------------------------------------------------------------------------------------------------
Table 3 to Sec. 431.97(b)--Minimum Cooling Efficiency Standards for Evaporatively-Cooled Commercial Unitary
Air Conditioners
----------------------------------------------------------------------------------------------------------------
Compliance date:
Cooling capacity Supplementary heating Minimum efficiency equipment manufactured
type starting on . . .
----------------------------------------------------------------------------------------------------------------
Evaporatively-Cooled Commercial Unitary Air Conditioners
----------------------------------------------------------------------------------------------------------------
<65,000 Btu/h........................ All.................... EER = 12.1............. October 29, 2003.
>=65,000 Btu/h and <135,000 Btu/h.... No Heating or Electric EER = 12.1............. June 1, 2013.
Resistance Heating.
>=65,000 Btu/h and <135,000 Btu/h.... All Other Types of EER = 11.9............. June 1, 2013.
Heating.
>=135,000 Btu/h and <240,000 Btu/h... No Heating or Electric EER = 12.0............. June 1, 2014.
Resistance Heating.
[[Page 56453]]
>=135,000 Btu/h and <240,000 Btu/h... All Other Types of EER = 11.8............. June 1, 2014.
Heating.
>=240,000 Btu/h and <760,000 Btu/h... No Heating or Electric EER = 11.9............. June 1, 2014.
Resistance Heating.
>=240,000 Btu/h and <760,000 Btu/h... All Other Types of EER = 11.7............. June 1, 2014.
Heating.
----------------------------------------------------------------------------------------------------------------
Table 4 to Sec. 431.97(b)--Minimum Efficiency Standards for Double-Duct Air-Conditioners and Heat Pumps
----------------------------------------------------------------------------------------------------------------
Compliance date:
Supplementary Minimum efficiency equipment
Cooling capacity Subcategory heating type \1\ manufactured starting
on . . .
----------------------------------------------------------------------------------------------------------------
Double-Duct Air-Conditioners and Heat Pumps
----------------------------------------------------------------------------------------------------------------
>=65,000 Btu/h and <135,000 AC.............. Electric EER = 11.2........... January 1, 2010.
Btu/h. Resistance
Heating or No
Heating.
>=65,000 Btu/h and <135,000 AC.............. All Other Types EER = 11.0........... January 1, 2010.
Btu/h. of Heating.
>=65,000 Btu/h and <135,000 HP.............. Electric EER = 11.0........... January 1, 2010.
Btu/h. Resistance COP = 3.3............
Heating or No
Heating.
>=65,000 Btu/h and <135,000 HP.............. All Other Types EER = 10.8........... January 1, 2010.
Btu/h. of Heating. COP = 3.3............
>=135,000 Btu/h and <240,000 AC.............. Electric EER = 11.0........... January 1, 2010.
Btu/h. Resistance
Heating or No
Heating.
>=135,000 Btu/h and <240,000 AC.............. All Other Types EER = 10.8........... January 1, 2010.
Btu/h. of Heating.
>=135,000 Btu/h and <240,000 HP.............. Electric EER = 10.6........... January 1, 2010.
Btu/h. Resistance COP = 3.2............
Heating or No
Heating.
>=135,000 Btu/h and <240,000 HP.............. All Other Types EER = 10.4........... January 1, 2010.
Btu/h. of Heating. COP = 3.2............
>=240,000 Btu/h and <300,000 AC.............. Electric EER = 10.0........... January 1, 2010.
Btu/h. Resistance
Heating or No
Heating.
>=240,000 Btu/h and <300,000 AC.............. All Other Types EER = 9.8............ January 1, 2010.
Btu/h. of Heating.
>=240,000 Btu/h and <300,000 HP.............. Electric EER = 9.5............ January 1, 2010.
Btu/h. Resistance COP = 3.2............
Heating or No
Heating.
>=240,000 Btu/h and <300,000 HP.............. All Other Types EER = 9.3............ January 1, 2010.
Btu/h. of Heating. COP = 3.2............
----------------------------------------------------------------------------------------------------------------
\1\ Per section 3 of Appendix A to this Subpart, COP standards for commercial unitary heat pumps are based on
performance at the ``Standard Rating Conditions (High Temperature Steady-State Heating)'' condition specified
in Table 6 of AHRI 340/360-2022.
(c) Each water-source heat pump manufactured starting on the
compliance date listed in the corresponding table must meet the
applicable minimum energy efficiency standard level(s) set forth in
Table 5 of this section.
Table 5 to Sec. 431.97(c)--Minimum Efficiency Standards for Water-
Source Heat Pumps (Water-to-Air, Water-Loop)
------------------------------------------------------------------------
Compliance date:
equipment
Cooling capacity Minimum efficiency manufactured
starting on . . .
------------------------------------------------------------------------
Water-Source Heat Pumps (Water-to-Air, Water-Loop)
------------------------------------------------------------------------
<17,000 Btu/h................... EER = 12.2........ October 9, 2015.
COP = 4.3.........
>=17,000 Btu/h and <65,000 Btu/h EER = 13.0........ October 9, 2015.
COP = 4.3.........
>=65,000 Btu/h and <135,000 Btu/ EER = 13.0........ October 9, 2015.
h. COP = 4.3.........
------------------------------------------------------------------------
* * * * *
(i) Each air-cooled, three-phase, commercial unitary air
conditioner and heat pump with a cooling capacity of less than 65,000
Btu/h and air-cooled, three-phase variable refrigerant flow multi-split
air conditioning and heating equipment with a cooling capacity of less
than 65,000 Btu/h manufactured on or after the compliance date listed
in the corresponding table must meet the applicable minimum energy
efficiency standard level(s) set forth in Tables 17 and 18 of this
section.
[[Page 56454]]
Table 17 to Sec. 431.97(i)--Minimum Efficiency Standards for Air-Cooled, Three-Phase, Commercial Unitary Air
Conditioners and Heat Pumps With a Cooling Capacity of Less Than 65,000 Btu/h and Air-Cooled, Three-Phase, Small
Variable Refrigerant Flow Multi-Split Air Conditioning and Heating Equipment With a Cooling Capacity of Less
Than 65,000 Btu/h
----------------------------------------------------------------------------------------------------------------
Compliance date:
equipment
Equipment type Cooling capacity Subcategory Minimum efficiency manufactured starting
on . . .
----------------------------------------------------------------------------------------------------------------
Commercial Unitary Air <65,000 Btu/h... Split-System.... 13.0 SEER............ June 16, 2008.\1\
Conditioners.
Commercial Unitary Air <65,000 Btu/h... Single-Package.. 14.0 SEER............ January 1, 2017.\1\
Conditioners.
Commercial Unitary Heat Pumps. <65,000 Btu/h... Split-System.... 14.0 SEER............ January 1, 2017.\1\
8.2 HSPF.............
Commercial Unitary Heat Pumps. <65,000 Btu/h... Single-Package.. 14.0 SEER............ January 1, 2017.\1\
8.0 HSPF.............
VRF Air Conditioners.......... <65,000 Btu/h... ................ 13.0 SEER............ June 16, 2008.\1\
VRF Heat Pumps................ <65,000 Btu/h... ................ 13.0 SEER............ June 16, 2008.\1\
7.7 HSPF.............
----------------------------------------------------------------------------------------------------------------
\1\ And manufactured before January 1, 2025. For equipment manufactured on or after January 1, 2025, see Table
19 to paragraph (h) of this section for updated efficiency standards.
Table 18 to Sec. 431.97(i)--Updated Minimum Efficiency Standards for Air-Cooled, Three-Phase, Commercial
Unitary Air Conditioners and Heat Pumps With a Cooling Capacity of Less Than 65,000 Btu/h and Air-Cooled, Three-
Phase, Small Variable Refrigerant Flow Multi-Split Air Conditioning and Heating Equipment With a Cooling
Capacity of Less Than 65,000 Btu/h
----------------------------------------------------------------------------------------------------------------
Compliance date:
equipment
Equipment type Cooling capacity Subcategory Minimum efficiency manufactured starting
on . . .
----------------------------------------------------------------------------------------------------------------
Commercial Unitary Air <65,000 Btu/h... Split-System.... 13.4 SEER2........... January 1, 2025.
Conditioners.
Commercial Unitary Air <65,000 Btu/h... Single-Package.. 13.4 SEER2........... January 1, 2025.
Conditioners.
Commercial Unitary Heat Pumps. <65,000 Btu/h... Split-System.... 14.3 SEER2........... January 1, 2025.
7.5 HSPF2............
Commercial Unitary Heat Pumps. <65,000 Btu/h... Single-Package.. 13.4 SEER2........... January 1, 2025.
6.7 HSPF2............
Space-Constrained Commercial <=30,000 Btu/h.. Split-System.... 12.7 SEER2........... January 1, 2025.
Unitary Air Conditioners.
Space-Constrained Commercial <=30,000 Btu/h.. Single-Package.. 13.9 SEER2........... January 1, 2025.
Unitary Air Conditioners.
Space-Constrained Commercial <=30,000 Btu/h.. Split-System.... 13.9 SEER2........... January 1, 2025.
Unitary Heat Pumps. 7.0 HSPF2............
Space-Constrained Commercial <=30,000 Btu/h.. Single-Package.. 13.9 SEER2........... January 1, 2025.
Unitary Heat Pumps. 6.7 HSPF2............
Small-Duct, High-Velocity <65,000 Btu/h... Split-System.... 13.0 SEER2........... January 1, 2025.
Commercial Unitary Air
Conditioners.
Small-Duct, High-Velocity <65,000 Btu/h... Split-System.... 14.0 SEER2........... January 1, 2025.
Commercial Unitary Heat Pumps. 6.9 HSPF2............
VRF Air Conditioners.......... <65,000 Btu/h... ................ 13.4 SEER2........... January 1, 2025.
VRF Heat Pumps................ <65,000 Btu/h... ................ 13.4 SEER2........... January 1, 2025.
7.5 HSPF2............
----------------------------------------------------------------------------------------------------------------
0
13. Appendix A to subpart F of part 431 is revised to read as follows:
Appendix A to Subpart F of Part 431--Uniform Test Method for the
Measurement of Energy Consumption of Commercial Unitary Air
Conditioners and Heat Pumps (Excluding Air-Cooled Equipment With a
Cooling Capacity Less Than 65,000 Btu/h)
Note: Prior to [Date 360 days after date of publication of the
final rule in the Federal Register], representations with respect to
the energy use or efficiency of commercial unitary air conditioners
and heat pumps (excluding air-cooled equipment with a cooling
capacity less than 65,000 Btu/h), including compliance
certifications, must be based on testing conducted in accordance
with:
(a) The applicable provisions (Appendix A for air-cooled
equipment, and Table 1 to Sec. 431.96 for water-cooled and
evaporatively-cooled equipment) as they appeared in subpart F of
this part, in the 10 CFR parts 200 through 499 edition revised as of
January 1, 2023; or
(b) This appendix.
Beginning [Date 360 days after date of publication of the final
rule in the Federal Register], and prior to the compliance date of
amended standards for commercial unitary air conditioners and heat
pumps (excluding air-cooled equipment with a cooling capacity less
than 65,000 Btu/h) based on integrated ventilation, economizing, and
cooling (``IVEC'') and integrated ventilation and heating efficiency
(IVHE), representations with respect to energy use or efficiency of
commercial unitary air conditioners and heat pumps (excluding air-
cooled equipment with a cooling capacity less than 65,000 Btu/h),
including compliance certifications, must be based on testing
conducted in accordance with this appendix.
Beginning on the compliance date of amended standards for
commercial unitary air conditioners and heat pumps (excluding
equipment with a cooling capacity less than 65,000 Btu/h) based on
IVEC and IVHE, representations with respect to energy use or
efficiency of commercial unitary air conditioners and heat pumps
(excluding air-cooled equipment with a cooling capacity less than
65,000 Btu/h), including compliance certifications, must be based on
testing conducted in accordance with appendix A1 to this subpart.
Manufacturers may also certify compliance with any amended
energy conservation standards for commercial unitary air
conditioners and heat pumps (excluding air-cooled equipment with a
cooling capacity less than 65,000 Btu/h) based on IVEC or IVHE prior
to the applicable compliance date for those standards, and those
compliance certifications must be based on testing in accordance
with appendix A1 to this subpart.
1. Incorporation by Reference
DOE incorporated by reference in Sec. 431.95, the entire
standard for AHRI 340/360-2022 and ANSI/ASHRAE 37-2009. However,
certain enumerated provisions of AHRI 340/360-2022 and ANSI/ASHRAE
37-2009, as set forth in paragraphs 1.1 and 1.2 of this section are
inapplicable. To the extent there is a conflict between the terms or
provisions
[[Page 56455]]
of a referenced industry standard and the CFR, the CFR provisions
control.
1.1. AHRI 340/360-2022:
(a) Section 1 Purpose is inapplicable,
(b) Section 2 Scope is inapplicable,
(c) The following subsections of Section 3 Definitions are
inapplicable: 3.2 (Basic Model), 3.4 (Commercial and Industrial
Unitary Air-conditioning Equipment), 3.5 (Commercial and Industrial
Unitary Heat Pump), 3.7 (Double-duct System), 3.8 (Energy Efficiency
Ratio (EER)), 3.12 (Heating Coefficient of Performance
(COPH)), 3.14 (Integrated Energy Efficiency Ratio
(IEER)), 3.23 (Published Rating), 3.26 (Single Package Air-
Conditioners), 3.27 (Single Package Heat Pumps), 3.29 (Split System
Air-conditioners), 3.30 (Split System Heat Pump), 3.36 (Year Round
Single Package Air-conditioners),
(d) Section 7 Minimum Data Requirements for Published Ratings is
inapplicable,
(e) Section 8 Operating Requirements is inapplicable,
(f) Section 9 Marking and Nameplate Data is inapplicable,
(g) Section 10 Conformance Conditions is inapplicable,
(h) Appendix B References--Informative is inapplicable,
(i) Sections D1 (Purpose), D2 (Configuration Requirements), and
D3 (Optional System Features) of Appendix D Unit Configuration For
Standard Efficiency Determination--Normative are inapplicable,
(j) Appendix F International Rating Conditions--Normative is
inapplicable,
(k) Appendix G Examples of IEER Calculations--Informative is
inapplicable,
(l) Appendix H Example of Determination of Fan and Motor
Efficiency for Non-standard Integrated Indoor Fan and Motors--
Informative is inapplicable, and
(m) Appendix I Double-duct System Efficiency Metrics with Non-
Zero Outdoor Air External Static Pressure (ESP)--Normative is
inapplicable.
1.2. ANSI/ASHRAE 37-2009:
(a) Section 1 Purpose is inapplicable
(b) Section 2 Scope is inapplicable, and
(c) Section 4 Classification is inapplicable.
2. General
Determine the applicable energy efficiency metrics (IEER, EER,
and COP) in accordance with the specified sections of AHRI 340/360-
2022 and the specified sections of ANSI/ASHRAE 37-2009.
Sections 3 and 4 of this Appendix provide additional
instructions for testing. In cases where there is a conflict, the
language of this appendix takes highest precedence, followed by AHRI
340/360-2022, followed by ANSI/ASHRAE 37-2009. Any subsequent
amendment to a referenced document by the standard-setting
organization will not affect the test procedure in this appendix,
unless and until the test procedure is amended by DOE. Material is
incorporated as it exists on the date of the approval, and a notice
of any change in the incorporation will be published in the Federal
Register.
3. Test Conditions
The following conditions specified in Table 6 of AHRI 340/360-
2022 apply when testing to certify to the energy conservation
standards in Sec. 431.97. For cooling mode tests for equipment
subject to standards in terms of EER, test using the ``Standard
Rating Conditions Cooling''. For cooling mode tests for equipment
subject to standards in terms of IEER, test using the ``Standard
Rating Conditions Cooling'' and the ``Standard Rating Part-Load
Conditions (IEER)''. For heat pump heating mode tests, test using
the ``Standard Rating Conditions (High Temperature Steady State
Heating)''.
For equipment subject to standards in terms of EER,
representations of IEER made using the ``Standard Rating Part-Load
Conditions (IEER)'' in Table 6 of AHRI 340/360-2022 are optional.
For equipment subject to standards in terms of IEER, representations
of EER made using the ``Standard Rating Conditions Cooling'' in
Table 6 of AHRI 340/360-2022 are optional. Representations of COP
made using the ``Standard Rating Conditions (Low Temperature Steady
State Heating)'' in Table 6 of AHRI 340/360-2022 are optional.
4. Set-Up and Test Provisions for Specific Components
When testing equipment that includes any of the features listed
in Table 1, test in accordance with the set-up and test provisions
specified in Table 1.
Table 1--Test Provisions for Specific Components
------------------------------------------------------------------------
Component Description Test provisions
------------------------------------------------------------------------
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 mid 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.
Barometric Relief Dampers... An assembly with For any barometric
dampers and means relief dampers that
to automatically are factory-
set the damper installed, close
position in a and seal the
closed position and dampers for
one or more open testing. For any
positions to allow modular barometric
venting directly to relief dampers
the outside a shipped with the
portion of the unit but not
building air that factory-installed,
is returning to the do not install the
unit, rather than dampers for
allowing it to testing.
recirculate to the
indoor coil and
back to the
building.
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.
Evaporative Pre-cooling of Water is evaporated Disconnect the unit
Air-cooled Condenser Intake into the air from a water supply
Air. entering the air- for testing i.e.,
cooled condenser to operate without
lower the dry-bulb active evaporative
temperature and cooling.
thereby increase
efficiency of the
refrigeration cycle.
Fire/Smoke/Isolation Dampers A damper assembly For any fire/smoke/
including means to isolation dampers
open and close the that are factory-
damper mounted at installed, set the
the supply or dampers in the
return duct opening fully open position
of the equipment. for testing. For
any modular fire/
smoke/isolation
dampers shipped
with the unit but
not factory-
installed, do not
install the dampers
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.
High-Effectiveness Indoor Indoor air filters Test with the
Air Filtration. with greater air standard filter.
filtration
effectiveness than
the filters used
for testing.
[[Page 56456]]
Power Correction Capacitors. A capacitor that Remove power
increases the power correction
factor measured at capacitors for
the line connection testing.
to the equipment.
Process Heat recovery/ A heat exchanger Disconnect the heat
Reclaim Coils/Thermal located inside the exchanger from its
Storage. unit that heat source for
conditions the testing.
equipment's supply
air using energy
transferred from an
external source
using a vapor, gas,
or liquid.
Refrigerant Reheat Coils.... A heat exchanger De-activate
located downstream refrigerant reheat
of the indoor coil coils for testing
that heats the so as to provide
supply air during the minimum (none
cooling operation if possible) reheat
using high pressure achievable by the
refrigerant in system controls.
order to increase
the ratio of
moisture removal to
cooling capacity
provided by the
equipment.
Steam/Hydronic Heat Coils... Coils used to Test with steam/
provide hydronic heat coils
supplemental in place but
heating. providing no heat.
UV Lights................... A lighting fixture Turn off UV lights
and lamp mounted so for testing.
that it shines
light on the indoor
coil, that emits
ultraviolet light
to inhibit growth
of organisms on the
indoor coil
surfaces, the
condensate drip
pan, and/other
locations within
the equipment.
Ventilation Energy Recovery An assembly that For any VERS that is
System (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.
------------------------------------------------------------------------
0
14. Add appendix A1 to subpart F of part 431 to read as follows:
Appendix A1 to Subpart F of Part 431--Uniform Test Method for the
Measurement of Energy Consumption of Commercial Unitary Air
Conditioners and Heat Pumps (Excluding Air-Cooled Equipment With a
Cooling Capacity Less Than 65,000 Btu/h)
Note: Prior to [Date 360 days after date of publication of the
final rule in the Federal Register] representations with respect to
the energy use or efficiency of commercial unitary air conditioners
and heat pumps (excluding air-cooled equipment with a cooling
capacity less than 65,000 Btu/h), including compliance
certifications, must be based on testing conducted in accordance
with:
(a) The applicable provisions (Appendix A for air-cooled
equipment, and Table 1 to Sec. 431.96 for water-cooled and
evaporatively-cooled equipment) as it appeared in subpart F of this
part, in the 10 CFR parts 200 through 499 edition revised as of
January 1, 2023; or
(b) Appendix A to this subpart.
Beginning [Date 360 days after date of publication of the final
rule in the Federal Register], and prior to the compliance date of
amended standards for commercial unitary air conditioners and heat
pumps (excluding air-cooled equipment with a cooling capacity less
than 65,000 Btu/h) based on integrated ventilation, economizing, and
cooling (IVEC)) and integrated ventilation and heating efficiency
(IVHE), representations with respect to energy use or efficiency of
commercial unitary air conditioners and heat pumps (excluding air-
cooled equipment with a cooling capacity less than 65,000 Btu/h),
including compliance certifications, must be based on testing
conducted in accordance with appendix A to this subpart.
Beginning on the compliance date of amended standards for
commercial unitary air conditioners and heat pumps (excluding air-
cooled equipment with a cooling capacity less than 65,000 Btu/h)
based on IVEC and IVHE, representations with respect to energy use
or efficiency of commercial unitary air conditioners and heat pumps
(excluding air-cooled equipment with a cooling capacity less than
65,000 Btu/h), including compliance certifications, must be based on
testing conducted in accordance with this appendix.
Manufacturers may also certify compliance with any amended
energy conservation standards for commercial unitary air
conditioners and heat pumps (excluding air-cooled equipment with a
cooling capacity less than 65,000 Btu/h) based on IVEC or IVHE prior
to the applicable compliance date for those standards, and those
compliance certifications must be based on testing in accordance
with this appendix.
1. Incorporation by Reference
DOE incorporated by reference in Sec. 431.95, the entire
standard for AHRI 1340-202X Draft and ANSI/ASHRAE 37-2009. However,
certain enumerated provisions of AHRI 1340-202X Draft and ANSI/
ASHRAE 37-2009, as listed in this section 1 are inapplicable. 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. AHRI 1340-202X Draft:
(a) Section 1 Purpose is inapplicable,
(b) Section 2 Scope is inapplicable,
(c) The following subsections of section 3 Definitions: 3.3
(Basic Model), 3.5 (Commercial and Industrial Unitary Air-
conditioning Equipment), 3.6 (Commercial and Industrial Unitary Heat
Pump), 3.12 (Double-duct System), 3.14.3 (Standard Energy Efficiency
Ratio), 3.18 (Heating Coefficient of Performance 2), 3.21
(Integrated Ventilation, Economizing, and Cooling Efficiency), 3.22
(Integrated Ventilation and Heating Efficiency), 3.29 (Published
Rating), 3.32 (Single Package Air-Conditioners), 3.33 (Single
Package Heat Pumps), 3.34 (Split System Air-conditioners), 3.35
(Split System Heat Pump), 3.41 (Year Round Single Package Air-
conditioners) are inapplicable,
(d) The following subsections of section 6 Rating Requirements
are inapplicable: 6.4 (Rating Values), 6.5 (Uncertainty), and 6.6
(Verification Testing),
(e) Section 7 Minimum Data Requirements for Published Ratings is
inapplicable
(f) Section 8 Operating Requirements is inapplicable,
(g) Section 9 Marking and Nameplate Data is inapplicable,
(h) Section 10 Conformance Conditions is inapplicable,
(i) Appendix B References--Informative is inapplicable, and
(j) Sections D1 (Purpose), D2 (Configuration Requirements), and
D3 (Optional System Features) of Appendix D Unit Configuration For
Standard Efficiency Determination--Normative are inapplicable.
1.2. ANSI/ASHRAE 37-2009:
(a) Section 1 Purpose is inapplicable
(b) Section 2 Scope is inapplicable, and
(c) Section 4 Classification is inapplicable.
2. General
For air conditioners and heat pumps, determine IVEC and IVHE (as
applicable). Representations of energy efficiency ratio 2 (EER2) and
IVHEC may optionally be made. Representations of
coefficient of performance 2 (COP2) at 5 [deg]F, 17 [deg]F, and 47
[deg]F may optionally be made.
[[Page 56457]]
Sections 3 and 4 of this appendix provide additional
instructions for testing. In cases where there is a conflict, the
language of this appendix takes highest precedence, followed by AHRI
1340-202X Draft, followed by ANSI/ASHRAE 37-2009. Any subsequent
amendment to a referenced document by the standard-setting
organization will not affect the test procedure in this appendix,
unless and until the test procedure is amended by DOE. Material is
incorporated as it exists on the date of the approval, and a notice
of any change in the incorporation will be published in the Federal
Register.
3. Test Conditions
The following conditions specified in AHRI 1340-202X Draft apply
when testing to certify to the energy conservation standards in
Sec. 431.97. For cooling mode, use the rating conditions in Table 7
of AHRI 1340-202X Draft. For heat pump heating mode tests, use the
rating conditions in Table 26 of AHRI 1340-202X Draft and the IVHE
U.S. Average building load profile in Table 25 of AHRI 1340-202X
Draft.
Representations of EER2 made using the ``Cooling Bin A''
conditions in Table 7 of AHRI 1340-202X Draft are optional.
Representations of IVHEC made using the IVHEC
Cold Average building load profile in Table 25 of AHRI 1340-202X
Draft are optional. Representations of COP247 made using
the H47H test, COP217 made using the H17H test, and
COP25 made using the H5H test in Table 26 of AHRI 1340-
202X Draft are optional.
4. Set-Up and Test Provisions for Specific Components
When testing equipment that includes any of the features listed
in Table 1 of this appendix, test in accordance with the set-up and
test provisions specified in Table 1 of this appendix.
Table 1--Test Provisions for Specific Components
------------------------------------------------------------------------
Component Description Test provisions
------------------------------------------------------------------------
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 mid 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.
Barometric Relief Dampers... An assembly with For any barometric
dampers and means relief dampers that
to automatically are factory-
set the damper installed, close
position in a and seal the
closed position and dampers for
one or more open testing. For any
positions to allow modular barometric
venting directly to relief dampers
the outside a shipped with the
portion of the unit but not
building air that factory-installed,
is returning to the do not install the
unit, rather than dampers for
allowing it to testing.
recirculate to the
indoor coil and
back to the
building.
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.
Evaporative Pre-cooling of Water is evaporated Disconnect the unit
Air-cooled Condenser Intake into the air from a water supply
Air. entering the air- for testing i.e.,
cooled condenser to operate without
lower the dry-bulb active evaporative
temperature and cooling.
thereby increase
efficiency of the
refrigeration cycle.
Fire/Smoke/Isolation Dampers A damper assembly For any fire/smoke/
including means to isolation dampers
open and close the that are factory-
damper mounted at installed, set the
the supply or dampers in the
return duct opening fully open position
of the equipment. for testing. For
any modular fire/
smoke/isolation
dampers shipped
with the unit but
not factory-
installed, do not
install the dampers
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.
High-Effectiveness Indoor Indoor air filters Test with the
Air Filtration. with greater air standard filter.
filtration
effectiveness than
the filters used
for testing.
Power Correction Capacitors. A capacitor that Remove power
increases the power correction
factor measured at capacitors for
the line connection testing.
to the equipment.
Process Heat recovery/ A heat exchanger Disconnect the heat
Reclaim Coils/Thermal located inside the exchanger from its
Storage. unit that heat source for
conditions the testing.
equipment's supply
air using energy
transferred from an
external source
using a vapor, gas,
or liquid.
Refrigerant Reheat Coils.... A heat exchanger De-activate
located downstream refrigerant reheat
of the indoor coil coils for testing
that heats the so as to provide
supply air during the minimum (none
cooling operation if possible) reheat
using high pressure achievable by the
refrigerant in system controls.
order to increase
the ratio of
moisture removal to
cooling capacity
provided by the
equipment.
Steam/Hydronic Heat Coils... Coils used to Test with steam/
provide hydronic heat coils
supplemental in place but
heating. providing no heat.
UV Lights................... A lighting fixture Turn off UV lights
and lamp mounted so for testing.
that it shines
light on the indoor
coil, that emits
ultraviolet light
to inhibit growth
of organisms on the
indoor coil
surfaces, the
condensate drip
pan, and/other
locations within
the equipment.
[[Page 56458]]
Ventilation Energy Recovery An assembly that For any VERS that is
System (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.
------------------------------------------------------------------------
5. Test Provisions for Coil-Only Systems
5.1. When testing coil-only systems, follow the applicable
provisions in sections 5.17.4, 5.18.4, 6.2.4.2, and 6.3.6 of the
AHRI 1340-202X Draft, as modified by the following instructions.
5.2. For tests using the full-load cooling airflow, use the
applicable airflow capacity adjustment and fan power adjustment
specified for full-load tests in Table 8 of AHRI 1340-202X Draft.
5.3. For tests with a manufacturer-specified airflow that is
lower than the full-load cooling airflow, set airflow using a target
airflow rate that is the higher of: (1) the manufacturer-specified
airflow for the test; or (2) 67 percent of the airflow measured for
the full-load cooling test. Calculate the capacity adjustment and
fan power adjustment using the following equations.
[GRAPHIC] [TIFF OMITTED] TP17AU23.115
[GRAPHIC] [TIFF OMITTED] TP17AU23.116
Where:
DFPCadj = adjusted default fan power coefficient for test using
airflow lower than full-load cooling airflow
DFPCFL = default fan power coefficient specified for full-load tests
in Table 8 of the AHRI 1340-202X Draft
DFPCPL = default fan power coefficient specified for part-load tests
in Table 8 of the AHRI 1340-202X Draft
%FL Airflow = airflow measured for the test divided by the measured
airflow for the full-load cooling test
DCAadj = adjusted default capacity adjustment for test using airflow
lower than full-load cooling airflow
DCAFL = default capacity adjustment specified for full-
load tests in Table 8 of the AHRI 1340-202X DraftDCAPL =
default capacity adjustment specified for part-load tests in Table 8
of the AHRI 1340-202X Draft
Appendix F to Subpart F of Part 431 [Amended]
0
15. Amend appendix F to subpart F of part 431 by:
0
a. In the appendix heading, removing the words ``Small Commercial
Package Air Conditioning and Heating Equipment'', and adding in their
place, the words ``Commercial Unitary Air Conditioners and Heat
Pumps''; and
0
b. In the appendix note, and paragraph 2.1, by removing the words
``small commercial package air conditioning and heating equipment'',
and adding in their place, the words ``commercial unitary air
conditioners and heat pumps''.
Appendix F1 to Subpart F of Part 431 [Amended]
0
16. Amend appendix F1 to subpart F of part 431 by:
0
a. In the appendix heading by removing the words ``Small Commercial
Package Air Conditioning and Heating Equipment'', and adding in their
place, the words ``Commercial Unitary Air Conditioners and Heat
Pumps''; and
0
b. In the appendix note by removing the words ``small commercial
package air conditioning and heating equipment'', and adding in their
place, the words ``commercial unitary air conditioners and heat
pumps''.
[FR Doc. 2023-15857 Filed 8-16-23; 8:45 am]
BILLING CODE 6450-01-P