[Federal Register Volume 85, Number 113 (Thursday, June 11, 2020)]
[Proposed Rules]
[Pages 35700-35743]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2020-11215]



[[Page 35699]]

Vol. 85

Thursday,

No. 113

June 11, 2020

Part II





Department of Energy





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10 CFR Parts 429 and 430





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

  Federal Register / Vol. 85 , No. 113 / Thursday, June 11, 2020 / 
Proposed Rules  

[[Page 35700]]


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DEPARTMENT OF ENERGY

10 CFR Parts 429 and 430

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


Energy Conservation Program: Test Procedure for Room Air 
Conditioners

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

ACTION: Notice of proposed rulemaking.

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SUMMARY: The U.S. Department of Energy (DOE) proposes to amend the test 
procedure for room air conditioners (``room ACs'') to address updates 
to the industry standards that are incorporated by reference, provide 
for the testing of variable-speed room ACs to better reflect their 
relative efficiency gains at lower outdoor temperatures as compared to 
single-speed room ACs, and to provide specifications and minor 
corrections that would improve repeatability, reproducibility, and 
overall readability of the test procedure. Because there are no testing 
modifications proposed for single-speed room ACs, DOE expects that the 
proposed changes will not affect the measured energy use for these 
models. For variable-speed room ACs, the proposed changes will improve 
the representativeness of the measured energy use of these models. As 
part of this proposal, DOE is announcing a public meeting to collect 
comments and data on its proposal.

DATES: 
    Meeting: DOE will hold a webinar on Wednesday, July 8, 2020, from 
10:00 a.m. to 3:00 p.m. See section V, ``Public Participation,'' for 
webinar registration information, participant instructions, and 
information about the capabilities available to webinar participants. 
If no participants register for the webinar, then it will be cancelled. 
DOE will hold a public meeting on this proposed test procedure if one 
is requested by June 25, 2020.
    Comments: DOE will accept comments, data, and information regarding 
this proposal no later than August 10, 2020. See section V, ``Public 
Participation,'' for details.

ADDRESSES: Interested persons are encouraged to submit comments using 
the Federal eRulemaking Portal at http://www.regulations.gov. Follow 
the instructions for submitting comments. Alternatively, interested 
persons may submit comments, identified by docket number EERE-2017-BT-
TP-0012, by any of the following methods:
    (1) Federal eRulemaking Portal: http://www.regulations.gov. Follow 
the instructions for submitting comments.
    (2) Email: [email protected]. Include the docket number 
EERE-2017-BT-TP-0012 or regulatory information number (RIN) 1904-AD47 
in the subject line of the message.
    (3) 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. Telephone: 
(202) 287-1445. If possible, please submit all items on a compact disc 
(CD), in which case it is not necessary to include printed copies.
    (4) 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 telefacsimilies (faxes) will be accepted. For detailed 
instructions on submitting comments and additional information on the 
rulemaking process, see section V of this document.
    Docket: The docket, which includes Federal Register notices, public 
meeting attendee lists and transcripts (if a public meeting is held), 
comments, and other supporting documents/materials, is available for 
review at http://www.regulations.gov. All documents in the docket are 
listed in the http://www.regulations.gov index. However, some documents 
listed in the index, such as those containing information that is 
exempt from public disclosure, may not be publicly available.
    The docket web page can be found at https://www.regulations.gov/docket?D=EERE-2017-BT-TP-0012. The docket web page will contain simple 
instructions on how to access all documents, including public comments, 
in the docket. See section V of this document for information on how to 
submit comments through http://www.regulations.gov.

FOR FURTHER INFORMATION CONTACT: Mr. Bryan Berringer, U.S. Department 
of Energy, Office of Energy Efficiency and Renewable Energy, Building 
Technologies Office, EE-5B, 1000 Independence Avenue SW, Washington, DC 
20585-0121. Telephone: (202) 586-0371. Email: 
[email protected].
    Ms. Sarah Butler, U.S. Department of Energy, Office of the General 
Counsel, GC-33, 1000 Independence Avenue SW, Washington, DC 20585-0121. 
Telephone: (202) 586-1777. Email: [email protected].
    For further information on how to submit a comment, review other 
public comments and the docket, or participate in the webinar, contact 
the Appliance and Equipment Standards Program staff at (202) 287-1445 
or by email: [email protected].

SUPPLEMENTARY INFORMATION: DOE proposes to incorporate by reference the 
following industry standards into 10 CFR part 430:
    (1) American National Standards Institute (ANSI)/Association of 
Home Appliance Manufacturers (AHAM) RAC-1-2015, (ANSI/AHAM RAC-1-2015), 
``Room Air Conditioners;'' ANSI approved May 13, 2015.
    (2) ANSI/American Society of Heating, Refrigerating, and Air-
Conditioning Engineers (ASHRAE) Standard 16-2016, (ANSI/ASHRAE Standard 
16-2016), ``Method of Testing for Rating Room Air Conditioners, 
Packaged Terminal Air Conditioners, and Packaged Terminal Heat Pumps 
for Cooling and Heating Capacity;'' ANSI approved October 31, 2016.
    (3) ANSI/ASHRAE Standard 41.1-2013, (ANSI/ASHRAE Standard 41.1), 
``Standard Method for Temperature Measurement;'' ANSI approved January 
30, 2013.
    (4) ANSI/ASHRAE Standard 41.2-1987 (RA 1992), (ANSI/ASHRAE Standard 
41.2-1987 (RA 1992)), ``Standard Methods for Laboratory Airflow 
Measurement;'' ANSI reaffirmed April 20, 1992.
    (5) ANSI/ASHRAE Standard 41.3-2014 (``ANSI/ASHRAE Standard 41.3-
2014''), ``Standard Methods for Pressure Measurement;'' ANSI approved 
July 3, 2014.
    (6) ANSI/ASHRAE Standard 41.6-2014, (ANSI/ASHRAE Standard 41.6-
2014), ``Standard Method for Humidity Measurement;'' ANSI approved July 
3, 2014.
    (7) ANSI/ASHRAE Standard 41.11-2014, (ANSI/ASHRAE Standard 41.11-
2014), ``Standard Methods for Power Measurement;'' ANSI approved July 
3, 2014.
    (8) International Electrotechnical Commission (IEC) Standard 62301, 
(IEC Standard 62301 Second Edition), ``Household electrical 
appliances--Measurement of standby power, (Edition 2.0);''.
    Copies of ANSI/AHAM RAC-1-2015 can be obtained from the Association 
of Home Appliance Manufacturers at https://www.aham.org/ht/d/Store/. 
Copies of ANSI/ASHRAE Standard 16-

[[Page 35701]]

2016, ANSI/ASHRAE Standard 41.1-2013, ANSI/ASHRAE Standard 41.2-1987, 
ANSI/ASHRAE Standard 41.3-2014, ANSI/ASHRAE Standard 41.6-2014, and 
ANSI/ASHRAE Standard 41.11-2014 can be obtained from the American 
National Standards Institute at https://webstore.ansi.org/. Copies of 
IEC Standard 62301 can be obtained from http://webstore.iec.ch.
    See section IV.N for additional information on these standards.

Table of Contents

I. Authority and Background
    A. Authority
    B. Background
    1. The January 2011 Final Rule
    2. The June 2015 Request for Information
    3. The August 2017 RFI
    4. The LG and Midea Waivers
II. Synopsis of the Notice of Proposed Rulemaking
III. Discussion
    A. Room Air Conditioner Definition
    B. Industry Test Standards
    1. ANSI/AHAM RAC-1
    2. ANSI/ASHRAE Standard 16
    C. Variable-Speed Room Air Conditioner Test Procedure
    1. Methodology
    2. Test Conditions
    3. Variable-Speed Compressor Operation
    4. Capacity and Electrical Power Adjustment Factors
    5. Cycling Loss Factors
    6. Test Condition Weighting Factors
    7. Performance Adjustment Factor
    8. Air-Enthalpy Test Alternative
    9. Product Specific Reporting Provisions
    10. Estimated Annual Operating Cost Calculation
    11. Potential Cost Impacts
    D. Definitions
    E. Active Mode Testing
    1. Cooling Mode
    2. Heating Mode
    3. Off-Cycle Mode
    F. Standby Modes and Off Mode
    1. Referenced Standby Mode and Off Mode Test Standard
    G. Network Functionality
    H. Connected Test Procedure
    I. Combined Energy Efficiency Ratio
    J. Certification and Verification Requirements
    K. Reorganization of Calculations Currently in 10 CFR 430.23
    L. Test Procedure Costs, Harmonization, and Other Topics
    1. Test Procedure Costs and Impact
    2. Harmonization With Industry Standards
    3. Other Test Procedure Topics
    M. Compliance Date and Waivers
IV. Procedural Issues and Regulatory Review
    A. Review Under Executive Order 12866
    B. Review Under Executive Orders 13771 and 13777
    C. Review Under the Regulatory Flexibility Act
    D. Review Under the Paperwork Reduction Act of 1995
    E. Review Under the National Environmental Policy Act of 1969
    F. Review Under Executive Order 13132
    G. Review Under Executive Order 12988
    H. Review Under the Unfunded Mandates Reform Act of 1995
    I. Review Under the Treasury and General Government 
Appropriations Act, 1999
    J. Review Under Executive Order 12630
    K. Review Under Treasury and General Government Appropriations 
Act, 2001
    L. Review Under Executive Order 13211
    M. Review Under Section 32 of the Federal Energy Administration 
Act of 1974
    N. Description of Materials Incorporated by Reference
V. Public Participation
    A. Participation in the Webinar
    B. Submission of Comments
    C. Issues on Which DOE Seeks Comment
VI. Approval of the Office of the Secretary

I. Authority and Background

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

A. Authority

    The Energy Policy and Conservation Act, as amended, (EPCA or the 
Act),\1\ authorizes DOE to regulate the energy efficiency of a number 
of consumer products and certain industrial equipment. (42 U.S.C. 6291-
6317) Title III, Part B \2\ of EPCA established the Energy Conservation 
Program for Consumer Products Other Than Automobiles, which sets forth 
a variety of provisions designed to improve energy efficiency. These 
products include room ACs, the subject of this document. (42 U.S.C. 
6292(a)(2))
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    \1\ All references to EPCA in this document refer to the statute 
as amended through America's Water Infrastructure Act of 2018, 
Public Law 115-270 (Oct. 23, 2018).
    \2\ For editorial reasons, upon codification in the U.S. Code, 
Part B was redesignated Part A.
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    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 the Act specifically include definitions (42 U.S.C. 
6291), test procedures (42 U.S.C. 6293), energy conservation standards 
(42 U.S.C. 6295), labeling provisions (42 U.S.C. 6294), and the 
authority to require information and reports from manufacturers (42 
U.S.C. 6296).
    The Federal testing requirements consist of test procedures that 
manufacturers of covered products must use as the basis for: (1) 
Certifying to DOE that their products comply with the applicable energy 
conservation standards adopted pursuant to EPCA (42 U.S.C. 6295(s)), 
and (2) making other representations about the efficiency of those 
products (42 U.S.C. 6293(c)). Similarly, DOE must use these test 
procedures to determine whether the products comply with relevant 
standards promulgated under EPCA. (42 U.S.C. 6295(s))
    Federal energy efficiency requirements for covered products 
established under EPCA generally supersede State laws and regulations 
concerning energy conservation testing, labeling, and standards. (See 
42 U.S.C. 6297) DOE may, however, grant waivers of Federal preemption 
for particular State laws or regulations, in accordance with the 
procedures and other provisions of EPCA. (42 U.S.C. 6297(d))
    Under 42 U.S.C. 6293, EPCA sets forth the criteria and procedures 
DOE must follow when prescribing or amending test procedures for 
covered products. EPCA requires that any test procedures prescribed or 
amended under this section be reasonably designed to produce test 
results which measure energy efficiency, energy use or estimated annual 
operating cost of a covered product during a representative average use 
cycle or period of use and not be unduly burdensome to conduct. (42 
U.S.C. 6293(b)(3))
    In addition, EPCA requires that DOE amend its test procedures for 
all covered products to integrate measures of standby mode and off mode 
energy consumption. (42 U.S.C. 6295(gg)(2)(A)) Standby mode and off 
mode energy consumption must be incorporated into the overall energy 
efficiency, energy consumption, or other energy descriptor for each 
covered product unless the current test procedures already account for 
and incorporate standby and off mode energy consumption or such 
integration is technically infeasible. If an integrated test procedure 
is technically infeasible, DOE must prescribe a separate standby mode 
and off mode energy use test procedure for the covered product, if 
technically feasible. (U.S.C. 6295(gg)(2)(A)(ii)) Any such amendment 
must consider the most current versions of the IEC Standard 62301 \3\ 
and IEC Standard

[[Page 35702]]

62087 \4\ as applicable. (42 U.S.C. 6295(gg)(2)(A))
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    \3\ IEC 62301, ``Household electrical appliances--Measurement of 
standby power'' (Edition 2.0, 2011-01).
    \4\ IEC 62087, ``Methods of measurement for the power 
consumption of audio, video, and related equipment'' (Edition 3.0, 
2011-04).
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    If DOE determines that a test procedure amendment is warranted, it 
must publish proposed test procedures and offer the public an 
opportunity to present oral and written comments on them. (42 U.S.C. 
6293(b)(2)) EPCA also requires that, at least once every 7 years, DOE 
evaluate test procedures for each type of covered product, including 
room ACs, to determine whether amended test procedures would more 
accurately or fully comply with the requirements 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 or period of use. (42 U.S.C. 6293(b)(1)(A) and (3)) If the 
Secretary determines, on his own behalf or in response to a petition by 
any interested person, that a test procedure should be prescribed or 
amended, the Secretary shall promptly publish in the Federal Register 
proposed test procedures and afford interested persons an opportunity 
to present oral and written data, views, and arguments with respect to 
such procedures. The comment period on a proposed rule to amend a test 
procedure shall be at least 60 days and may not exceed 270 days. In 
prescribing or amending a test procedure, the Secretary shall take into 
account such information as the Secretary determines relevant to such 
procedure, including technological developments relating to energy use 
or energy efficiency of the type (or class) of covered products 
involved. (42 U.S.C. 6293(b)(2)) If DOE determines that test procedure 
revisions are not appropriate, DOE must publish its determination not 
to amend the test procedures. DOE is publishing this notice of proposed 
rulemaking (NOPR) pursuant to the 7-year review requirement specified 
in EPCA. (42 U.S.C. 6293(b)(1)(A))

B. Background

    DOE's existing test procedure for room ACs appears at Title 10 of 
the CFR part 430, subpart B, appendix F (``Uniform Test Method for 
Measuring the Energy Consumption of Room Air Conditioners'' (``appendix 
F'')), and the room AC performance metric calculations are codified at 
10 CFR 430.23(f). The test procedure for room ACs was established on 
June 1, 1977 (hereafter the ``June 1977 final rule'') and was 
subsequently redesignated and editorially amended on June 29, 1979. 42 
FR 27896 (June 1, 1977); 44 FR 37938 (June 29, 1979).
1. The January 2011 Final Rule
    The Energy Independence and Security Act of 2007 (Public Law 110-
140; EISA 2007) directed DOE to amend its energy efficiency test 
procedures for all covered products to include measures of standby mode 
and off mode energy consumption. (42 U.S.C. 6295(gg)(2)(A)) In 
compliance with these requirements, on January 6, 2011, DOE published a 
final rule (hereafter the ``January 2011 Final Rule''), amending the 
room AC test procedure to include measurements of standby mode and off 
mode power and to introduce a new combined efficiency metric, Combined 
Energy Efficiency Ratio (CEER), that accounts for energy consumption in 
active mode, standby mode and off mode. 76 FR 971. DOE also 
incorporated into its regulations a new industry test method, 
International Electrotechnical Commission (IEC) Standard 62301, 
``Household electrical appliances--Measurement of standby power (first 
edition June 2005)'' (``IEC Standard 62301 First Edition''), to measure 
the standby and off mode energy consumption. In addition to IEC 
Standard 62301 First Edition, the January 2011 Final Rule updated 
references to test methods developed by the American National Standards 
Institute (ANSI), the Association of Home Appliance Manufacturers 
(AHAM) and the American Society of Heating, Refrigerating, and Air-
Conditioning Engineers (ASHRAE). The current room AC test procedure 
incorporates by reference three industry test methods: (1) ANSI/AHAM 
RAC-1-2008, ``Room Air Conditioners'' (ANSI/AHAM RAC-1-2008),\5\ (2) 
ANSI/ASHRAE Standard 16-1983 (RA 2009), ``Method of Testing for Rating 
Room Air Conditioners and Packaged Terminal Air Conditioners'' (ANSI/
ASHRAE Standard 16-2009),\6\ and (3) IEC Standard 62301 First 
Edition.\7\
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    \5\ Copies can be purchased from http://webstore.ansi.org.
    \6\ Copies can be purchased from http://www.techstreet.com.
    \7\ Copies can be purchased from http://webstore.iec.ch.
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2. The June 2015 Request for Information
    On June 18, 2015, DOE published a request for information (RFI) 
(hereafter the ``June 2015 RFI'') regarding the energy conservation 
standards and test procedure for room ACs. 80 FR 34843. In addition to 
soliciting information regarding the energy conservations standards, 
the June 2015 RFI discussed and sought comment on the following aspects 
of the room AC test procedure: (1) Potential updates to the energy 
efficiency metric that would address performance in additional 
operating modes; (2) alternate methods for measuring cooling mode 
performance; (3) measuring heating mode performance and any relevant 
test methods, temperature conditions, or test burden; (4) methods for 
measuring performance at reduced cooling loads and the prevalence of 
units on the market with components optimized for efficient operation 
at reduced cooling loads; (5) testing and certification of units that 
can operate on multiple voltages; and (6) the energy usage associated 
with connected functionality. 80 FR at 34846-34848 (June 18, 2015). In 
response to the June 2015 RFI, DOE received comments from interested 
parties pertaining to the room AC test procedure, which are summarized 
throughout this NOPR.\8\
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    \8\ All public comments are located in the room AC energy 
conservation standards rulemaking docket: http://www.regulations.gov/#!docketDetail;D=EERE-2014-BT-STD-0059.
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3. The August 2017 RFI
    On August 4, 2017, DOE published another RFI (hereafter the 
``August 2017 RFI'') regarding the test procedure for room ACs. 82 FR 
36349. Following publication of the June 2015 RFI, DOE identified 
additional topics and questions for which it sought feedback, 
specifically regarding amendments to the room AC test procedure to 
harmonize with the recently established portable air conditioner 
(``portable AC'') test procedure, to clarify test setup and temperature 
conditions, to reference updated industry test procedures for room ACs, 
and on any additional topics that might inform DOE's decisions in a 
future test procedure rulemaking. DOE also welcomed further comments on 
the topics raised in the June 2015 RFI and on other issues relevant to 
the conduct of such a rulemaking that were not specifically identified 
in that document.
    AHAM opposed harmonizing the room AC test procedure with the 
portable AC test procedure, claiming that harmonization would not 
assist consumers in making purchasing decisions, mainly because the two 
products have different consumers and are used for significantly 
different applications, based on recent consumer survey data. (AHAM, 
No. 3 at pp. 1-4) \9\

[[Page 35703]]

According to AHAM, the survey suggested that room ACs are purchased for 
homes without central air conditioning (``central AC''), where cost is 
a key factor, and where portability is not. AHAM also stated that room 
ACs are typically used for primary cooling, whereas portable ACs are 
used for supplemental cooling (i.e., in addition to a central AC). AHAM 
claimed that the significant design difference between room ACs and 
portable ACs (specifically, that room ACs are installed in the barrier 
between the conditioned and unconditioned space, whereas portable ACs 
are installed entirely within the conditioned space) leads to 
drastically different design decisions on the size, weight, and shape 
of the product, impacting available design options for improving 
efficiency as well as the physical limitations on testing the products. 
Therefore, according to AHAM, harmonizing the test procedures for room 
ACs and portable ACs would result in consumer confusion and increased 
burden for manufacturers. Id. DOE notes that the proposals in this 
document regarding test procedure updates for room ACs were not 
considered on the basis of similarities or differences between room ACs 
and portable ACs. However, in development of the portable AC test 
procedure, DOE relied on data for room ACs in instances in which data 
specific to portable ACs were lacking. In the current rulemaking, DOE 
considered such data for room ACs during development of the proposed 
amendments to the room AC test procedure.
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    \9\ A notation in the form ``AHAM, No. 3 at pp. 1-4'' identifies 
a written comment: (1) Made by the Association of Home Appliance 
Manufacturers; (2) recorded in document number 3 that is filed in 
the docket of the current room AC test procedure rulemaking (Docket 
No. EERE-2017-BT-TP-0012) and available for review at https://www.regulations.gov; and (3) which appears on pages 1 through 4 of 
document number 3.
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    The Appliance Standards Awareness Project, Alliance to Save Energy, 
American Council for an Energy-Efficient Economy, Consumer Federation 
of America, Natural Resources Defense Council, Northeast Energy 
Efficiency Partnerships, Northwest Energy Efficiency Alliance, and 
Northwest Power and Conservation Council (hereafter the ``Joint 
Advocates'') and the Pacific Gas and Electric Company, Southern 
California Gas Company, San Diego Gas and Electric, and Southern 
California Edison (hereafter the ``California IOUs'') both noted that 
harmonizing the room AC and portable AC test procedures would allow for 
a comparison between the two products, which they agreed provide a 
similar function and consumer utility. (Joint Advocates, No. 6 at p. 1; 
California IOUs, No. 5 at p. 2) Nonetheless, neither supported aligning 
the room AC test procedure with the current portable AC test procedure.
    The California IOUs expressed concern that the benefit of 
harmonization might not outweigh the negative impacts of an additional 
cooling mode test condition for room ACs; namely, that adding a second 
test condition would obscure the determination of peak load energy 
consumption and would be detrimental for the effective determination of 
room AC energy demand impact during peak usage times, which is of 
significant importance to the California IOUs. (California IOUs, No. 5 
at p. 2) The Joint Advocates noted that the portable AC test procedure 
does not capture part-load performance and thus would not capture the 
benefits of technologies that improve part-load performance, such as 
variable-speed compressors. In light of this, rather than aligning the 
room AC test procedure with the portable AC test procedure, the Joint 
Advocates urged DOE to incorporate part-load performance into the room 
AC test procedure and the portable AC test procedure. (Joint Advocates, 
No. 6 at pp. 1-3) As discussed in sections III.E through III.K of this 
document, DOE is not proposing any significant changes to the room AC 
test procedure at this time for single-speed room ACs, which represent 
the majority of room AC configurations on the market today. 
Specifically, as discussed in section III.E.1.e of this document, DOE 
considered multiple test conditions as well as constant-cooling-load-
based \10\ or dynamic-cooling-load-based tests \11\ as an alternative 
to the existing constant-temperature single outdoor condition room AC 
test procedure and has initially determined that such amendments would 
not be warranted for single-speed room ACs. However, DOE proposes in 
this document to adopt specific testing requirements for room ACs that 
use variable-speed compressors (``variable-speed room ACs'') to better 
represent their relative efficiency compared to single-speed room ACs, 
as described further in section III.C of this document.
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    \10\ Constant-cooling-load-based tests fix the amount of heat to 
the indoor test room by the reconditioning equipment, generally less 
than the test unit's nominal cooling capacity, while the indoor test 
room temperature is permitted to change and is controlled by the 
test unit according to its thermostat setting, which is fixed 
throughout testing.
    \11\ Dynamic-cooling-load-based tests vary the amount of heat 
added to the indoor test room by the chamber reconditioning 
equipment, while the indoor test room temperature is permitted to 
change and is controlled by the test unit and fixed thermostat 
setting, thereby measuring how a unit reacts to changing load 
conditions.
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4. The LG and Midea Waivers
    On June 29, 2018, DOE announced receipt of a petition for waiver 
and application of an interim waiver from LG Electronic USA, Inc. 
(``LG''), in which LG sought an exemption from the DOE test procedure 
for room ACs, which appears in appendix F for certain room AC models 
with variable-speed capabilities (hereafter the ``LG Petition for 
Waiver'').\12\ 83 FR 30717 (June 29, 2018). According to LG, the 
current DOE test procedure for room ACs, which provides for testing at 
full-load performance only, does not take into account the benefits of 
variable-speed room ACs at part-load conditions, and misrepresents 
their actual energy consumption. LG suggested an alternate test 
procedure for its variable-speed room ACs, which provided for testing 
each unit at four different outdoor temperatures instead of a single 
outdoor temperature, with the unit compressor speed fixed at each 
temperature. LG's approach for the alternate test procedure was derived 
from the current DOE test procedure for central ACs (10 CFR part 430, 
subpart B, appendix M (``appendix M'')). As discussed in a notice of 
petition for waiver and notice of grant of interim waiver (hereafter 
the ``Grant of LG Interim Waiver''), DOE initially agreed with LG's 
claim that the DOE test procedure evaluates the variable-speed models 
listed in the LG Petition for Waiver in a manner that is 
unrepresentative of their energy use. 83 FR 30717, 30719. DOE also 
reviewed the alternate procedure proposed by LG and based on that 
review determined that LG's suggested procedure would allow for the 
accurate measurement of the energy use for the listed variable-speed 
room ACs. Therefore, DOE granted an interim waiver to LG to use LG's 
suggested alternate test procedure for LG's listed variable-speed room 
AC models, with an additional specification of how to determine the 
intermediate compressor speed. On May, 8, 2019, DOE published a 
Decision and Order (hereafter the ``LG Waiver''), granting a waiver for 
four variable-speed basic models with the condition that LG must test 
and rate these models according to an alternate test procedure that was 
substantively consistent with that suggested by LG, and report product-
specific information that reflects the alternate test procedure. 84 FR 
2011.

[[Page 35704]]

The alternate test procedure required under the LG Waiver differs from 
that required in the Grant of LG Interim Waiver as follows: (1) 
Removing the allowance to use a psychrometric chamber (which would be 
consistent with an air-enthalpy testing approach) instead of a 
calorimeter chamber, (2) adding definitions for each fixed compressor 
speed, (3) adjusting the annual energy consumption and operating cost 
calculations that provide the basis for the information presented to 
consumers on the EnergyGuide Label, and (4) requiring that compressor 
speeds be set in accordance with instructions submitted by LG on April 
2, 2019.\13\ DOE determined that those changes were necessary to ensure 
better repeatability and reproducibility of the LG Waiver test 
procedure, as well as representativeness of the results. 84 FR 20111.
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    \12\ All published documents directly related to the waiver are 
available in docket EERE-2018-BT-WAV-0006. (https://www.regulations.gov/document?D=EERE-2018-BT-WAV-0006.)
    \13\ The instructions provided by LG on April 2, 2019 were 
marked as confidential and, as such, were treated as confidential. 
The document is located in the docket at https://www.regulations.gov/document?D=EERE-2018-BT-WAV-0006-0010.
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    On March 25, 2019, GD Midea Air Conditioning Equipment Co. LTD. 
(``Midea'') submitted a petition for waiver and application for interim 
waiver from the room AC test procedure for six room AC models with 
variable-speed capabilities.\14\ Midea sought a test procedure 
exemption consistent with the approach DOE allowed in the Grant of LG 
Interim Waiver. DOE reviewed Midea's petition and, based on that 
review, initially agreed that Midea's suggested procedure, with the 
same modifications DOE included in the LG Waiver, would allow for the 
accurate measurement of the energy use for the listed variable-speed 
room AC models. Therefore, on December 13, 2019, DOE granted Midea an 
interim waiver from the room AC test procedure (hereafter the ``Grant 
of Midea Interim Waiver'') for the models listed in Midea's petition, 
using the alternate test procedure required in the LG Waiver, which 
published subsequent to Midea's petition for waiver. 84 FR 68159.
---------------------------------------------------------------------------

    \14\ All published documents directly related to the interim 
waiver are available in docket EERE-2019-BT-WAV-0009 (https://www.regulations.gov/docket?D=EERE-2019-BT-WAV-0009.)
---------------------------------------------------------------------------

    Pursuant to 10 CFR 430.27(l), following the grant of any waiver, 
DOE must publish in the Federal Register a notice of proposed 
rulemaking to amend its regulations so as to eliminate the need for 
continuation of the waiver. As soon thereafter as practicable, DOE must 
publish in the Federal Register a final rule. Id. The waiver would then 
terminate on the effective date of the final rule. 10 CFR 430.27(h)(2).

II. Synopsis of the Notice of Proposed Rulemaking

    In this NOPR, DOE proposes amendments to the existing test 
procedures for room ACs to: (1) Update to the latest versions of 
industry test methods that are incorporated by reference; (2) adopt new 
testing provisions for variable-speed room ACs that reflect the 
relative efficiency gains at reduced cooling loads compared to single-
speed room ACs; (3) adopt new definitions consistent with these two 
proposed amendments; and (4) provide specifications and minor 
corrections to improve the test procedure repeatability, 
reproducibility, and overall readability.
    DOE has tentatively determined that the proposed amendments would 
both provide more representative efficiency measurements for variable-
speed room ACs and not alter the measured efficiency of single-speed 
room ACs, which constitute the large majority of units on the market. 
DOE has also tentatively determined that the proposed test procedure 
would not be unduly burdensome to conduct. DOE's proposed actions are 
summarized in Table II-1 and addressed in detail in section III of this 
document.

          Table II-1--Summary of Changes in Proposed Test Procedure Relative to Current Test Procedure
----------------------------------------------------------------------------------------------------------------
        Current DOE test procedure                  Proposed test procedure                   Attribution
----------------------------------------------------------------------------------------------------------------
References industry standards--..........  Updates references to applicable sections  Industry test procedure
                                            of:.                                       updates.
     ANSI/AHAM RAC-1-2008,             ANSI/AHAM RAC-1-2015,........
     ANSI/ASHRAE Standard 16-          ANSI/ASHRAE Standard 16-2016
     2009, and                                 (including relevant cross-referenced
                                               industry standards), and.
     IEC Standard 62301 First          IEC Standard 62301 Second
     Edition.                                  Edition..
Testing, calculation of CEER metric, and   Testing, calculation of CEER metric, and   In response to the LG
 certification for all room ACs based on    certification for variable-speed room      Waiver.
 single temperature rating condition.       ACs based on additional reduced outdoor
                                            temperature test conditions.
    --Definition of ``room air
     conditioner'' does not explicitly
     include function of providing cool
     conditioned air to an enclosed
     space, and references ``prime,'' an
     undefined term, to describe the
     source of refrigeration
    --``Cooling mode'' is an undefined
     term.
    Definitions--........................  --Adds the word ``cooled'' in the          Added by DOE
                                            definition of ``room air conditioner''     (clarification).
                                            to describe the conditioned air a room
                                            AC provides and removes ``prime'' from
                                            the definition.
                                           --Adds definition for ``cooling mode''...
Appendix F does not explicitly identify    Creates new section indicating the         Added by DOE (specifies
 the scope of the test procedure.           appendix applies to the energy             the applicability of the
                                            performance of room ACs.                   test procedure).
Provides that test unit be installed in a  --References ANSI/ASHRAE Standard-2016,    Industry test procedure
 manner similar to consumer installation.   specifying that the perimeter of           update and added by DOE
                                            louvered room ACs be sealed to the         (additional installation
                                            separating partition, consistent with      specifications).
                                            common testing practice.
                                           --Specifies that non-louvered room ACs be
                                            installed inside a compatible wall
                                            sleeve, with the manufacturer-provided
                                            installation materials.
Calculations for average annual energy     --Moves calculations for CEER and annual   Added by DOE (improve
 consumption, combined annual energy        energy consumption for each operating      readability).
 consumption, energy efficiency ratio       mode into appendix F.
 (EER), and CEER are located in 10 CFR     --Removes EER calculation and references
 430.23(f).                                 entirely, as it is obsolete..
----------------------------------------------------------------------------------------------------------------


[[Page 35705]]

III. Discussion

A. Room Air Conditioner Definition

    DOE defines a ``room air conditioner'' as a consumer product, other 
than a packaged terminal air conditioner, which is powered by a single-
phase electric current and which is an encased assembly designed as a 
unit for mounting in a window or through the wall for the purpose of 
providing delivery of conditioned air to an enclosed space. It includes 
a prime source of refrigeration and may include a means for ventilating 
and heating. 10 CFR 430.2.
    DOE does not propose any changes to the room AC definition in this 
NOPR that would modify the current scope of covered products. However, 
as described further below, DOE proposes minor adjustments to the room 
AC definition to ensure the definition does not inadvertently apply to 
new products introduced on the market. The proposed revised definition 
would harmonize with the wording of definitions for other DOE covered 
products, which DOE believes will help avoid any potential confusion or 
unintentional overlap in scope of coverage between room ACs and any 
other products.
    In the June 2015 RFI, DOE noted that other consumer products, 
including portable ACs and dehumidifiers, are also self-encased, 
powered by a single-phase electric current, refrigeration-based, and 
deliver conditioned air to an enclosed space, thereby meeting many of 
the criteria in the room AC definition. DOE also noted, however, that 
the definition of a room AC specifies that the unit is designed to be 
mounted in a window or through a wall, which excludes portable ACs and 
dehumidifiers. DOE suggested in the June 2015 RFI that explicitly 
excluding other products was unnecessary because of the distinction 
based on mounting. 80 FR 34843, 34845 (June 18, 2015). AHAM agreed that 
the room AC definition need not be updated to explicitly exclude other 
products and further suggested that adding these exclusions would be 
confusing. (AHAM, June 2015 RFI, No. 5 at p. 2) General Electric 
Appliances (GE) supported AHAM's comments. (GE, June 2015 RFI, No. 6 at 
p. 1) \15\
---------------------------------------------------------------------------

    \15\ GE stated that it supports the comments submitted by AHAM 
in response to the June 2015 RFI in their entirety and adopted them 
by reference.
---------------------------------------------------------------------------

    Based on DOE's considerations in the June 2015 RFI, and given that 
no commenters objected to DOE's suggestion, DOE does not propose to add 
exclusions for other consumer products in the room AC definition.
    In the June 2015 RFI, DOE also noted that some room ACs may have 
other functions beyond the cooling, heating, and ventilation functions 
currently specified in the room AC definition. These additional 
functions could include air circulation, where air from within the room 
is circulated without bringing air from the outside into the room; and 
air cleaning, where electrostatic filtration, ultraviolet radiation, or 
ozone generators clean the air as it circulates through the unit. 80 FR 
34843, 34845 (June 18, 2015). DOE received no comments related to the 
inclusion of other functions in the room AC definition in response to 
the June 2015 RFI. DOE understands that these functions do not 
represent the key functionality of a room AC, and therefore is not 
proposing that these functions be addressed in the room AC definition 
at this time.
    DOE proposes to add the term ``cooled'' to the room AC definition, 
so that it refers to a system that ``. . . delivers cooled, conditioned 
air to an enclosed space . . .'' (emphasis added). DOE believes that 
this revised wording would better represent the key function of a room 
AC, and would avoid any potential for the room AC definition to cover 
other indoor air quality systems that could be described as 
``conditioning'' the air, but that would not be appropriately included 
within the scope of coverage of a room AC.
    Additionally, as described previously, the current definition of 
room AC specifies that it includes a prime source of refrigeration. DOE 
contends that using the word ``prime'' to describe the source of 
refrigeration in the current definition is extraneous and could be 
construed as referring to a ``primary'' refrigeration system, a 
distinction that could inadvertently exclude future products that 
implement a different technology as the primary source of air 
conditioning, while implementing a refrigeration loop as the 
``secondary'' means of cooling or heating. Primary and secondary means 
of conditioning air are not uncommon in certain refrigeration products 
and chiller systems; in fact, some room ACs with heating functionality 
implement a resistance heater as a supplemental form of heating to the 
primary heat pump, for use under extreme temperature conditions. DOE 
also notes that the recently codified portable AC definition was not 
limited to products with a prime source of refrigeration. For these 
reasons, DOE proposes to remove the word ``prime'' from the room AC 
definition.
    DOE proposes to incorporate by reference ASHRAE Standard 16 and 
ANSI/AHAM RAC-1. In particular, Section 3 of ASHRAE Standard 16-2016 
contains several definitions for terms defined in EPCA and DOE 
regulations: Room air conditioner, packaged terminal air conditioner, 
and packaged terminal heat pump. Where there is a conflict with the 
EPCA definition, the EPCA definition controls. DOE elsewhere proposes 
general language to make clear that regulatory text drafted by DOE 
takes precedence over conflicting language in a document incorporated 
by reference. Therefore, DOE proposes to include a statement in new 
Section 0 ``Incorporation by Reference,'' in appendix F as follows: 
``If there is any conflict between any industry standard(s) and this 
appendix, follow the language of the test procedure in this appendix, 
disregarding the conflicting industry standard language.''
    DOE also proposes to reorganize the room AC definition to improve 
its readability. As noted above, the minor editorial revisions and 
specifications discussed in this section are not intended to modify the 
scope of the room AC definition.
    In summary, DOE proposes to modify the room AC definition in 10 CFR 
430.2 to read as follows:
    ``Room air conditioner means a window-mounted or through-the-wall-
mounted encased assembly, other than a `packaged terminal air 
conditioner,' that delivers cooled, conditioned air to an enclosed 
space, and is powered by single-phase electric current. It includes a 
source of refrigeration and may include additional means for 
ventilating and heating.
    DOE requests comment on the proposed amendments to the room AC 
definition in 10 CFR 430.2.
    DOE also proposes to further specify the scope of coverage of 
appendix F by adding a new beginning section stating that appendix F 
covers the test requirements used to measure the energy performance of 
room ACs. In doing so, DOE would clearly limit the scope of products 
tested in accordance with appendix F, and would harmonize appendix F 
with test procedures for other similar covered products, which also 
include similar introductory statements of scope.
    DOE requests comment on the proposed new beginning section to 
appendix F that would explicitly state the scope of coverage.

B. Industry Test Standards

    The DOE room AC test procedure in appendix F references the 
following two industry standards as the basis of the cooling mode test: 
ANSI/AHAM RAC-

[[Page 35706]]

1-2008 and ANSI/ASHRAE Standard 16-2009. ANSI/AHAM RAC-1-2008 provides 
the specific test conditions and associated tolerances, while ANSI/
ASHRAE Standard 16-2009 describes the test setup, instrumentation and 
procedures used in the DOE test procedure. The cooling capacity, 
efficiency metric, and other indicators are then calculated based on 
the results obtained through the application of these test methods, 
described in appendix F and 10 CFR 430.23(f).
    New versions of ANSI/AHAM RAC-1 and ANSI/ASHRAE Standard 16 have 
been released since the publication of the current DOE test procedure. 
DOE assessed the updated versions of these standards to determine if 
any updates to the DOE test procedure were warranted.
1. ANSI/AHAM RAC-1
    The cooling mode test in appendix F is conducted in accordance with 
the testing conditions, methods, and calculations in Sections 4, 5, 
6.1, and 6.5 of ANSI/AHAM RAC-1-2008, as summarized in Table III-1.

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

    Since DOE last revised its room AC test procedure in 2011, ANSI/
AHAM RAC-1 has been updated and the current standard was released in 
2015 as ANSI/AHAM RAC-1-2015, ``Room Air Conditioners'' (ANSI/AHAM RAC-
1-2015).
    In the August 2017 RFI, DOE asserted that the updates to ANSI/AHAM 
RAC-1 appear to provide added specificity but would not substantively 
impact the results of DOE's cooling mode test. Specifically, ANSI/AHAM 
RAC-1-2015 introduced new provisions for the measurement of standby and 
off mode power in Section 6.3, as well as the calculations for annual 
energy consumption and CEER in Sections 6.4-6.8. Because those updates 
do not impact the sections relevant to appendix F, DOE noted that it 
expects that updating the references to ANSI/AHAM RAC-1-2015 in 
appendix F would not substantively affect test results or test burden. 
82 FR 36349, 36353 (Aug. 4, 2017).
    Friedrich Air Conditioning (Friedrich) and AHAM supported updating 
the reference to ANSI/AHAM RAC-1-2015. (Friedrich, No. 2 at p. 6; AHAM, 
No. 3 at p. 6) AHAM encouraged DOE to limit any revisions to the room 
AC test procedure to updating the referenced industry test methods to 
the most recent versions. (AHAM, No. 3 at p. 2)
    Although ANSI/AHAM RAC-1-2015 maintains the same general 
organization as ANSI/AHAM RAC-1-2008, ANSI/AHAM RAC-1-2015 adds test 
requirements and conditions for standby and off mode, and heating mode 
in sections 4 and 5, respectively. Because the DOE test procedure 
already addressed standby and off mode testing prior to their inclusion 
in the latest version of the ANSI/AHAM RAC standard and the DOE test 
procedure does not address heating mode, which is now included in ANSI/
AHAM RAC-1-2015, and to avoid confusion regarding the appropriate 
applicability of ANSI/AHAM RAC, DOE proposes to update the existing 
references to Sections 4 and 5 of ANSI/AHAM RAC-1-2008 with references 
to only to the cooling mode-specific subsections of ANSI/AHAM RAC-1-
2015: Sections 4.1, 4.2, 5.2.1.1, and 5.2.4.
    DOE also notes that the provisions in ANSI/AHAM RAC-1-2015 for 
measuring electrical power input appear in Section 6.2, rather than 
Section 6.5 of ANSI/AHAM RAC-1-2008. To reflect this change in section 
numbers, DOE proposes to update appendix F to reference Section 6.2 of 
ANSI/AHAM RAC-1-2015 to determine the electrical power input in cooling 
mode. Because there is no change in substance, simply adjusting the 
section number cannot affect the test conduct, burden, or results.
    DOE requests comment on the proposal to incorporate by reference 
ANSI/AHAM RAC-1-2015 to adjust the section references in appendix F to 
limit references to cooling mode-specific sections (by excluding 
standby, off mode, and heat mode sections), and to update the section 
reference for measuring electrical power input.
2. ANSI/ASHRAE Standard 16
    Appendix F currently references the 1983 version of ANSI/ASHRAE 
Standard 16, which was reaffirmed in 2009, for cooling mode temperature 
conditions, methods, and calculations. ANSI/AHAM RAC-1-2015 also 
references the 1983 version of ANSI/ASHRAE Standard 16 reaffirmed in 
2009.
    In the August 2017 RFI, DOE noted that a new version of ANSI/ASHRAE 
Standard 16, published in 2016 (ANSI/ASHRAE Standard 16-2016). ANSI/
ASHRAE Standard 16-2016 made a number of updates to the industry 
standard, including an air-enthalpy test approach as an alternative to 
the calorimeter approach, heating mode testing, additional 
clarification on placement of air samplers and thermocouples, stability 
requirement definitions, and new figures for additional tests and to 
also improve previous figures. The general cooling mode methodology, 
however, remains unchanged. 82 FR 36349, 36353 (Aug. 4, 2017). The 
addition of the air-enthalpy approach provides more flexibility in 
conducting the tests, and the heating mode test is based on the tests 
previously included in ANSI/ASHRAE Standard 58-1986 ``Method of Testing 
for Rating Room Air Conditioner and Packaged Terminal Air Conditioner 
Heating Capacity.''
    AHAM supported updating appendix F to reference ANSI/ASHRAE 
Standard 16-2016, excluding the adoption of Sections 7.1(b)-(d), which 
contain the air-enthalpy method and Section 7.1.2, which contains the 
heating mode test). (AHAM, No. 3 at pp. 6-7) AHAM suggested that ANSI/
ASHRAE Standard 16-2016 provides additional clarification on placement 
of air samplers and thermocouples, adds stability requirement 
definitions, adds new figures for additional tests, and fixes old 
figures. (Id.) DOE recognizes that the general calorimeter test 
methodology is unchanged in ANSI/ASHRAE Standard 16-2016 and has 
tentatively determined that the additional detail and clarifying 
updates would improve the repeatability and reproducibility of test 
results. First, ANSI/ASHRAE Standard 16-2016 provides best practices 
for thermocouple and air sampler placement, recognizing that the unique 
characteristics of each test chamber will result in particular air flow 
and temperature gradients in the chamber, influenced by the interaction 
of the reconditioning equipment and the test unit. These practices 
address the distances for placing the air sampler from the unit 
discharge points and thermocouple spacing on the air sampling device. 
Second, Figure 1 and Figure 2 of ANSI/ASHRAE Standard 16 are also 
updated with additional details and references. Third, Section 5 of 
ANSI/ASHRAE Standard 16-2016 includes additional provisions regarding 
instrument calibration and accuracy.

[[Page 35707]]

Fourth, ANSI/ASHRARE Standard 16-2016 requires measuring data at more 
frequent intervals to minimize the sensitivity of the final average 
value to variations in individual data points, resulting in a more 
repeatable and reproducible test procedure. DOE expects that requiring 
more frequent data measurements will have minimal impact on testing 
burden because most testing laboratories are already using a data 
acquisition system that has the capability to take more frequent 
measurements. For these reasons, DOE contends that the improvements in 
ANSI/ASHRAE Standard 16-2016 warrant inclusion in the updates to 
appendix F.
    DOE requests comment on the proposal to incorporate relevant 
sections of ANSI/ASHRAE Standard 16-2016 into appendix F.
    ANSI/ASHRAE Standard 16-2016 also updates requirements for the 
accuracy of instruments. The 2009 reaffirmation of ANSI/ASHRAE Standard 
16 requires, in section 5.4.2, accuracy to 0.5 percent of 
the quantity measured for instruments used for measuring all electrical 
inputs to the calorimeter compartments. ANSI/ASHRAE Standard 16-2016, 
in section 5.6.2, includes more specific language (e.g., explicitly 
mentioning the power input to the test unit, heaters, and other cooling 
load contributors). To ensure that the electrical input for all key 
equipment is properly measured, DOE proposes to incorporate these 
requirements and maintain the requirement of accuracy to 0.5 percent of the quantity measured for instruments used for 
measuring all electrical inputs, to the test unit, all reconditioning 
equipment, and any other equipment that operates within the calorimeter 
walls.
    DOE requests comment on the proposal to incorporate the 
requirements of ANSI/ASHRAE Standard 16-2016 while maintaining that an 
accuracy of 0.5 percent of the quantity measured is 
applicable to all devices measuring electrical input for the room AC 
test procedure.
3. ANSI/ASHRAE Standards 41.1, 41.2, 41.3, 41.6, and 41.11
    ANSI/ASHRAE Standard 16-2016 references certain industry standards 
in specifying certain test conditions and measurement procedures. DOE 
is also proposing to incorporate those industry standards specified in 
the relevant sections of ANSI/ASHRAE Standard 16-2016. Specifically, 
DOE is proposing to incorporate by reference: ANSI/ASHRAE Standard 
41.1-2013, ``Standard Method for Temperature Measurement, as referenced 
in ANSI/ASHRAE Standard 16-2016 section 5.1.1 for all temperature 
measurements except for dew-point temperature; ANSI/ASHRAE Standard 
41.2-1987 (RA 1992), ``Standard Methods for Laboratory Airflow 
Measurement,'' as referenced in Section 5.5.1 of ANSI/ASHRAE Standard 
16-2016 for airflow measurements; ANSI/ASHRAE Standard 41.3-2014, 
``Standard Methods for Pressure Measurement,'' as referenced in section 
5.2.5 of ANSI/ASHRAE Standard 16-2016 for the prescribed use of 
pressure measurement instruments; ANSI/ASHRAE Standard 41.6-2014, 
``Standard Method for Humidity Measurement,'' as referenced in section 
5.1.2 of ANSI/ASHRAE Standard 16-2016 for measuring dew-point 
temperatures using hygrometers; and ANSI/ASHRAE Standard 41.11-2014, 
``Standard Methods for Power Measurement,'' as referenced in section 
5.6.4 of ANSI/ASHRAE Standard 16-2016 regarding the use and application 
of electrical instruments during tests. Incorporating these standards 
will clarify which versions of the standards are required to conduct 
tests according to the procedure in appendix F.
    DOE requests comment on the proposal to incorporate ANSI/ASHRAE 
Standard 41.1-2013, ANSI/ASHRAE Standard 41.2-1987 (RA 1992), ANSI/
ASHRAE Standard 41.3-2014, ANSI/ASHRAE Standard 41.6-2014, and ANSI/
ASHRAE Standard 41.11-2014 in appendix F.
C. Variable-Speed Room Air Conditioner Test Procedure
    Historically, room ACs have been designed using a single-speed 
compressor, which operates at full cooling capacity while the 
compressor is on. To match the cooling load of the space, which in most 
cases is less than the full cooling power of the compressor, a single-
speed compressor cycles on and off. This cycling behavior introduces 
inefficiencies due to the surge in power draw at the beginning of each 
``on'' cycle, before the compressor reaches steady-state performance. 
Variable-speed room ACs became available on the U.S. market in 2018. 
These units employ an inverter compressor that can reduce its speed to 
match the observed cooling load. Accordingly, a variable-speed 
compressor runs continuously, adjusting its speed up or down as 
required, thereby avoiding compressor cycling.
    The current DOE test procedure measures the performance of a room 
AC while operating under a full cooling load; i.e., the compressor is 
operated continuously in its ``on'' state. As a result, the DOE test 
does not capture any inefficiencies due to compressor cycling. 
Consequently, the efficiency gains that can be achieved by variable-
speed room ACs due to the avoidance of cycling losses are not measured 
by the current test procedure. DOE proposes to amend its room AC test 
procedure to include a methodology for determining and applying a 
``performance adjustment factor'' for variable-speed room ACs to 
reflect the avoidance of cycling losses that would be experienced in a 
representative consumer installation.
    DOE conducted investigative testing comparing the performance of a 
variable-speed room AC with a single-speed room AC under reduced 
cooling load conditions. DOE installed each room AC in a calorimeter 
test chamber, set the unit thermostat to 80 degrees Fahrenheit 
([deg]F), and applied a range of fixed cooling loads to the indoor 
chamber.16 17 The calorimeter chamber was configured so that 
the indoor chamber temperature could vary, thereby allowing the test 
unit to maintain the target indoor chamber temperature by adjusting its 
cooling operation in response to the changing temperature of the indoor 
chamber.\18\ Figure III-1 shows the efficiency gains and losses for the 
range of reduced cooling loads tested for each unit, relative to the 
performance of each unit as tested using appendix F under a full 
cooling load.\19\
---------------------------------------------------------------------------

    \16\ A cooling load is ``applied'' by adjusting and fixing the 
rate of heat added to the indoor test chamber to a level at or below 
that of the nominal cooling capacity of the test unit.
    \17\ This approach aims to represent a consumer installation in 
which the amount of heat added to a room may be less than the rated 
cooling capacity of the room AC (e.g., electronics or lighting 
turned off, people or pets leaving the room, and external factors 
such as heat transfer through walls and windows reducing with 
outdoor temperature).
    \18\ DOE notes that this test chamber configuration differs from 
the configuration used in appendix F. Appendix F uses a constant-
temperature configuration, in which the indoor chamber temperature 
is held fixed (i.e., the indoor temperature does not drop while the 
room AC is operational).
    \19\ For single-speed room ACs under appendix F, the thermostat 
is typically set as low as possible to ensure that the unit does not 
cycle on and off during the cooling mode test period.

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

[[Page 35708]]

[GRAPHIC] [TIFF OMITTED] TP11JN20.000

    In Figure III-1, the distance of each data point from the x-axis 
represents the change in efficiency relative to the full-load 
efficiency for each unit. (The data points at 100-percent cooling load 
correspond to the appendix F test conditions.) The single-speed room AC 
efficiency decreases in correlation with a reduction in cooling load, 
reflecting cycling losses that become relatively larger as the cooling 
load decreases. In contrast, the efficiency of the variable-speed room 
AC increases as the cooling load decreases, reflecting the lack of 
cycling losses and inherent improvements in compressor efficiency 
associated with lower compressor speeds. These results demonstrate that 
the current test procedure does not account for significant efficiency 
gains that variable-speed room ACs can achieve under reduced 
temperature conditions.
1. Methodology
    To measure the efficiency gains for variable-speed room ACs that 
are not captured by the current DOE test procedure, DOE considered the 
alternate test procedure provided in the LG Waiver and the Grant of 
Midea Interim Waiver (collectively, ``the waivers'') for specified 
basic models of variable-speed room ACs. 84 FR 20111 (May 8, 2019) and 
84 FR 68159 (December 13, 2019). The alternate test procedure provides 
a methodology for obtaining a CEER value by adjusting the CEER value as 
tested at the 95 [deg]F test condition according to appendix F using a 
``performance adjustment factor'' (PAF).
    Conceptually, the approach for variable-speed room ACs involves 
measuring performance over a range of four test conditions with fixed 
compressor speeds, which collectively comprise representative use. 
These temperature conditions were derived from the DOE test procedure 
for central ACs with variable-speed compressors and include three 
reduced-temperature test conditions--under which variable speed room 
ACs perform more efficiently than single-speed room ACs--and the test 
condition specified in the current test procedure. The single-speed 
room AC test procedure, however, does not factor in the reduced-
temperature test conditions under which single-speed units also will 
perform more efficiently (although not as well as variable-speed room 
ACs). As a result, comparing variable-speed performance at all test 
conditions against a single-speed unit at the highest-temperature test 
condition would not yield a fair comparison. The PAF represents the 
average relative benefit of variable-speed over single-speed across the 
whole range of test conditions. It is applied to the measured variable-
speed room AC performance only at the high-temperature test condition 
to provide a comparison to the single-speed existing CEER metric based 
on representative use.
    The steps for determining a variable-speed room AC's PAF are 
summarized as follows:
     Measure the capacity and energy consumption of the sample 
unit at the single test condition used for single-speed room ACs (95 
[deg]F dry-bulb outdoor temperature), with the compressor speed fixed 
at the maximum (full) speed.
     Measure the capacity and energy consumption of the sample 
unit at three additional test conditions (92 [deg]F, 87 [deg]F, and 82 
[deg]F dry-bulb outdoor temperature),\20\ with compressor speed fixed 
at full, intermediate, and minimum (low) speed, respectively.\21\ Using 
theoretically determined adjustment factors,\22\ calculate the 
equivalent performance of a single-speed room AC with the same cooling 
capacity and electrical power input at the 95 [deg]F dry-bulb outdoor 
temperature, with no cycling losses (i.e., a ``theoretical comparable 
single-speed'' room AC) for each of the three test conditions.
---------------------------------------------------------------------------

    \20\ The additional reduced-temperature conditions are described 
further in section III.C.2 of this document.
    \21\ The compressor speeds are described further in section 
III.C.3 of this document.
    \22\ These adjustment factors are described further in section 
III.C.4 of this document.
---------------------------------------------------------------------------

     Calculate the annual energy consumption in cooling mode at 
each of the four cooling mode test conditions for a variable-speed room 
AC, as well as for a theoretical comparable single-speed room AC with 
no cycling losses. This theoretical single-speed room AC would perform 
the same as the variable-speed test unit at the 95 [deg]F test

[[Page 35709]]

condition, but perform differently at the other test conditions.
     Calculate an individual CEER value at each of the four 
cooling mode test conditions for the variable-speed room AC, as well as 
for a theoretical comparable single-speed room AC with no cycling 
losses.
     Using cycling loss factors derived from an industry test 
procedure,\23\ calculate an adjusted CEER value at each of the four 
cooling mode test conditions for a theoretical comparable single-speed 
room AC, which includes cycling losses.
---------------------------------------------------------------------------

    \23\ The derivation of these cycling loss factors is described 
in more detail in section III.C.5 of this document.
---------------------------------------------------------------------------

     Using weighting factors \24\ representing the fraction of 
time experienced at each test condition in representative real-world 
operation, calculate a weighted-average CEER value (reflecting the 
weighted-average performance across the four test conditions) for the 
variable-speed room AC, as well as for a theoretical comparable single-
speed room AC.
---------------------------------------------------------------------------

    \24\ These ``fractional temperature bin'' weighting factors are 
described in more detail in section III.C.6 of this document.
---------------------------------------------------------------------------

     Using these weighted-average CEER values for the variable-
speed room AC and a theoretical comparable single-speed room AC, 
calculate the PAF as the percent improvement of the weighted-average 
CEER value of the variable-speed room AC compared to a theoretical 
comparable single-speed room AC.\25\ This PAF represents the 
improvement resulting from the implementation of a variable-speed 
compressor.
---------------------------------------------------------------------------

    \25\ The performance adjustment factor is described in more 
detail in section III.C.7 of this document.
---------------------------------------------------------------------------

    DOE's proposed approach to addressing the performance improvements 
associated with variable-speed room ACs is consistent with the test 
procedures required in the waivers. The following sections of this 
document describe each aspect of the proposal in greater detail.
2. Test Conditions
    As discussed previously, variable-speed room ACs provide improved 
performance at reduced cooling loads by reducing the compressor speed 
to match the load, thereby avoiding compressor cycling and associated 
cycling inefficiencies. DOE recognizes that throughout the cooling 
season, room ACs operate under various outdoor temperature conditions. 
DOE also asserts that these varying outdoor conditions present a range 
of reduced cooling loads in the conditioned space, under which a 
variable-speed room AC would perform more efficiently than a 
theoretical comparable single-speed room AC.
    To measure this improved performance, DOE proposes a test procedure 
for variable-speed room ACs that adds three test conditions (92 [deg]F, 
87 [deg]F, and 82 [deg]F dry-bulb outdoor temperature) to the current 
95 [deg]F, consistent with the test conditions in the waivers. DOE 
notes that these temperatures represent potential outdoor temperature 
conditions between the current 95 [deg]F test condition and the indoor 
setpoint of 80 [deg]F (below which no active cooling would be 
necessary). These additional test conditions are also consistent with 
the representative temperatures for bin numbers 6, 5, and 4 in Table 19 
of DOE's test procedure for central ACs at appendix M.
    DOE requests comment on the proposal to adopt for all variable-
speed room ACs these additional test conditions from test procedures 
required in the waivers for variable-speed room ACs.
3. Variable-Speed Compressor Operation
    The DOE test procedure maintains fixed test conditions in the 
indoor chamber and requires configuring the test unit settings to 
achieve maximum cooling capacity. As a result, units under test 
constantly operate at their full cooling capacity, even at the reduced 
outdoor temperature test conditions described in section III.C.2 of 
this document, without the compressor cycling (for single-speed units) 
or compressor speed reduction (for variable-speed units) that would be 
expected under real-world operation. Therefore, DOE proposes additional 
test procedure adjustments, beyond reduced outdoor temperature test 
conditions, to fully represent the potential efficiency gains 
associated with variable-speed room ACs at reduced cooling loads.
    As described previously, in a typical consumer installation, 
reduced outdoor temperatures would result in reduced indoor cooling 
loads. A test that would provide constant reduced cooling loads could 
be considered, but as discussed below in section III.E.1.e of this 
document, DOE concludes such a test would not be feasible at this time. 
Therefore, to better represent what would occur in typical consumer 
usage at reduced outdoor temperatures, DOE proposes to test variable-
speed room ACs by fixing a particular compressor speed at each of the 
outdoor test conditions, as described further in the following 
sections.
a. Compressor Speeds
    To ensure the compressor speeds are representative of actual speeds 
at the expected cooling loads at each of the outdoor test conditions, 
DOE proposes to require that the compressor speed be set to full speed 
at the two highest outdoor temperature test conditions (based on test 
AFull at 95 [deg]F and test BFull at 92 [deg]F), 
at intermediate compressor speed at the 87 [deg]F test condition (based 
on test EInt), and at low compressor speed at the 82 [deg]F 
test condition (based on test DLow), consistent with the 
tests and requirements in Table 8 of the 2017 version of Air-
Conditioning, Heating, and Refrigeration Institute (AHRI) Standard 210/
240, (AHRI Standard 210/240), ``Performance Rating of Unitary Air-
conditioning & Air-source Heat Pump Equipment,'' which specifies 
representative test conditions and the associated compressor speeds for 
variable-speed unitary air conditioners. DOE also proposes to add 
definitions for ``full compressor speed'', ``intermediate compressor 
speed'', and ``low compressor speed'', which specify how each speed 
would be determined, as described further in section III.D of this 
document.
    DOE requests comment on the proposal to require fixing the 
compressor speed settings for variable-speed room ACs to full speed at 
the 95 [deg]F and 92 [deg]F test conditions, intermediate speed at the 
87 [deg]F test condition, and low speed at the 82 [deg]F test 
condition, in accordance with the requirements in Table 8 of AHRI 
Standard 210/240.
b. Instructions for Fixing Compressor Speeds
    DOE understands that setting and maintaining a specific room AC 
compressor speed is not typically possible without special control 
instructions from manufacturers. Therefore, because maintaining fixed 
compressor speeds is critical to the repeatability of the variable-
speed room AC test procedure, DOE proposes that manufacturers provide 
in each certification report for a variable-speed room AC basic model 
all necessary instructions to maintain the compressor speeds required 
for each test condition when testing that basic model. These include 
the compressor frequency set points at each test condition, 
instructions necessary to maintain the compressor speeds required for 
each test condition, and the control settings used for the variable 
components.
    DOE requests comment on the proposal to require that manufacturers 
provide in their certification reports the

[[Page 35710]]

control settings for each variable-speed room AC basic model required 
to achieve the fixed compressor speed for each test condition.
c. Boost Compressor Speed
    DOE is aware that a variable-speed room AC's full compressor speed 
may not be its fastest speed. In particular, the fastest compressor 
speed may be one that is automatically initiated and used for a brief 
period of time to rapidly reduce the indoor temperature to within 
typical range of the set point. This compressor speed is referred to as 
``Boost Compressor Speed'' in AHRI Standard 210/240 and is defined as a 
speed faster than full compressor speed, at which the unit will operate 
to achieve increased capacity. DOE understands that boost compressor 
speed operation is typically limited in duration and would not 
significantly contribute to annual energy consumption, as manufacturers 
have described it as used for limited periods of time on occasions 
where the indoor room temperature is far out of normal operating range 
of the set point. Once the indoor room temperature is within the 
typical operating range of the setpoint, the room AC returns to the 
``Full Compressor Speed,'' as defined in AHRI Standard 210/240. AHRI 
Standard 210/240 does not measure boost compressor speed energy use, 
and in a final rule published on June 8, 2016, DOE declined to include 
provisions for measuring boost compressor speed energy use in the 
central AC test procedure. 81 FR 36992, 37029. Accordingly, DOE does 
not propose to measure boost compressor speed performance and energy 
consumption in appendix F at this time because of the expected 
insignificant impact on annual energy consumption and performance, to 
harmonize with the industry approach for variable-speed compressor 
testing, and because DOE has previously opted to forgo including it for 
other air conditioning products. Id.
    DOE requests comment on the proposal not to address boost 
compressor speed performance and energy consumption in appendix F at 
this time.
4. Capacity and Electrical Power Adjustment Factors
    In the proposed approach, a capacity adjustment factor is used to 
estimate the increased cooling capacity of a room AC at lower outdoor 
temperature conditions, using a linear extrapolation based on the 
measured capacity at the 95 [deg]F test condition. Similarly, an 
electrical power adjustment factor is used to estimate the reduced 
electrical power draw of a room AC at lower outdoor temperature 
conditions, using a linear extrapolation based on the measured 
electrical power draw at the 95 [deg]F test condition. To determine 
these two adjustment factors, DOE used the MarkN model to model room AC 
performance at reduced outdoor temperature conditions. These modeling 
results suggested linear capacity and electrical power adjustment 
factors of 0.0099 per [deg]F and 0.0076 per [deg]F, respectively.
    To confirm the validity of these modeled adjustment factors, DOE 
tested a sample of 14 single-speed room ACs at a range of reduced 
outdoor temperature test conditions (92 [deg]F, 87 [deg]F, and 82 
[deg]F) and compared the predicted values of cooling capacity and 
electrical power with the measured values at each test condition. Table 
III-2 and Table III-3 summarize the results for cooling capacity and 
electrical power, respectively.

                                           Table III-2--Comparison Between Modeled and Tested Cooling Capacity
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                   92 [deg]F                              87 [deg]F                              82 [deg]F
                                    --------------------------------------------------------------------------------------------------------------------
                Unit                 Model (Btu/  Tested (Btu/              Model (Btu/  Tested (Btu/              Model (Btu/  Tested (Btu/
                                          h)           h)       Diff. (%)        h)           h)       Diff. (%)        h)           h)       Diff. (%)
--------------------------------------------------------------------------------------------------------------------------------------------------------
1..................................        5,890        5,850         -0.6        6,170        6,070         -1.8        6,460        6,300         -2.5
2..................................       10,920       10,810         -0.9       11,440       11,060         -3.4       11,970       11,330         -5.4
3..................................       12,160       12,340         +1.5       12,740       12,880         +1.1       13,330       13,320         -0.1
5..................................       12,430       12,320         -0.9       13,030       12,640         -3.0       13,620       12,890         -5.7
6..................................        8,660        8,490         -2.0        9,070        8,570         -5.9        9,490        8,680         -9.3
7..................................       12,400       12,180         -1.8       13,000       12,310         -5.6       13,590       12,360        -10.0
8..................................        5,360        5,410         +0.8        5,620        5,590         -0.6        5,880        5,770         -1.9
9..................................        5,760        5,640         -2.0        6,030        5,850         -3.2        6,310        6,000         -5.3
10.................................        5,440        5,530         +1.6        5,700        5,730         +0.6        5,960        5,790         -3.0
11.................................        6,520        6,410         -1.7        6,830        6,490         -5.2        7,140        6,520         -9.6
12.................................        6,350        6,320         -0.5        6,650        6,500         -2.4        6,960        6,820         -2.0
13.................................        8,150        8,180         +0.4        8,540        8,530         -0.1        8,930        9,080         +1.6
14.................................        8,830        8,630         -2.3        9,260        8,960         -3.2        9,680        9,090         -6.5
15.................................       21,860       22,440         +2.6       22,920       23,270         +1.5       23,970       24,260         +1.2
--------------------------------------------------------------------------------------------------------------------------------------------------------
Average............................  ...........  ...........         -0.4  ...........  ...........         -2.2  ...........  ...........         -4.2
--------------------------------------------------------------------------------------------------------------------------------------------------------
Note: Unit 4 was not included because it is a variable-speed unit and the modeling factors are only applicable to single-speed units that do not adjust
  performance at reduced outdoor temperature conditions.


                                        Table III-3--Comparison Between Modeled and Tested Electrical Power Draw
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                   92 [deg]F                              87 [deg]F                              82 [deg]F
                Unit                --------------------------------------------------------------------------------------------------------------------
                                      Model (W)    Tested (W)   Diff. (%)    Model (W)    Tested (W)   Diff. (%)    Model (W)    Tested (W)   Diff. (%)
--------------------------------------------------------------------------------------------------------------------------------------------------------
1..................................          414          412         +0.6          398          393         +1.3          382          375         +1.9
2..................................          894          887         +0.8          859          846         +1.6          825          807         +2.2
3..................................          989          984         +0.5          950          938         +1.3          912          895         +2.0
5..................................        1,080        1,073         +0.7        1,038        1,024         +1.4          996          978         +1.8
6..................................          705          701         +0.6          677          668         +1.4          650          636         +2.2
7..................................        1,116        1,106         +0.9        1,073        1,046         +2.6        1,030          993         +3.7
8..................................          433          430         +0.7          416          412         +1.0          399          394         +1.3
9..................................          435          430         +1.1          418          413         +1.2          401          392         +2.3
10.................................          435          435         +0.2          418          417         +0.2          401          403         -0.4
11.................................          537          535         +0.5          517          510         +1.3          496          483         +2.6
12.................................          514          514          0.0          494          492         +0.4          474          470         +0.9
13.................................          643          638         +0.8          618          610         +1.3          593          584         +1.5

[[Page 35711]]

 
14.................................          647          646         +0.2          622          615         +1.1          597          585         +1.9
15.................................        2,074        2,068         +0.3        1,993        2,006         -0.6        1,912        1,935         -1.2
--------------------------------------------------------------------------------------------------------------------------------------------------------
Average............................  ...........  ...........         +0.6  ...........  ...........         +1.1  ...........  ...........         +1.6
--------------------------------------------------------------------------------------------------------------------------------------------------------
Note: Unit 4 was not included because it is a variable-speed unit and the modeling factors are only applicable to single-speed units that do not adjust
  performance at reduced outdoor temperature conditions.

    The results in Table III-2 generally indicate close agreement 
(i.e., less than 5 percent difference on average) between the modeled 
cooling capacity (based on an adjustment factor of 0.0099 per [deg]F) 
and the measured capacity at each test condition. On average, the 
tested cooling capacity was within 0.4 percent of the modeled value at 
the 92 [deg]F test condition, 2.2 percent at the 87 [deg]F test 
condition, and 4.2 percent at the 82 [deg]F test condition.
    Similarly, the results in Table III-3 generally indicate close 
agreement between the modeled electrical power draw (based on an 
adjustment factor of 0.0076 per [deg]F) and the measured electrical 
power draw at each test condition. On average, the tested electrical 
power draw was within 0.6 percent of the modeled value at the 92 [deg]F 
test condition, 1.1 percent at the 87 [deg]F test condition, and 1.6 
percent at the 82 [deg]F test condition.
    DOE has tentatively determined that the average difference of less 
than 5 percent between the modeled values and the experimental values 
confirms the validity of these modeled adjustment factors. Therefore, 
DOE proposes using the modeled adjustment factors of 0.0099 per [deg]F 
and 0.0076 per [deg]F for capacity and electrical power, respectively, 
to calculate the theoretical comparable single-speed room AC 
performance at reduced outdoor temperature test conditions.
    DOE requests comment on the proposal to use the capacity and 
electrical power adjustment factors of 0.0099 per [deg]F and 0.0076 per 
[deg]F, respectively.
5. Cycling Loss Factors
    To represent the cycling losses of a theoretical comparable single-
speed room AC at reduced outdoor temperature test conditions and 
expected reduced cooling loads, DOE identified cycling loss factors to 
apply to the interim CEER values at each of the four cooling mode test 
conditions for a theoretical comparable single-speed room AC. Table 
III-4 shows the proposed cycling loss factors for each of the four 
proposed test conditions.

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

    These cycling loss factors are based on the default cycling loss 
factors in Section 11.2 of AHRI Standards 210/240. The cycling loss 
factor at the 82 [deg]F test condition for a theoretical comparable 
single-speed room AC is consistent with the default cooling degradation 
coefficient of 0.25, which corresponds to a part-load (cycling loss) 
factor of 0.875, as determined in Section 11.2 of AHRI Standard 210/
240. The remaining cycling loss factors for the other test conditions 
are consistent with linear interpolation between the cycling loss 
factor of 0.875 at the 82 [deg]F test condition and the cycling loss 
factor of 1.0 at the 95 [deg]F test condition, at which no cycling is 
expected.
    DOE requests comment on the proposal to implement cycling loss 
factors consistent with AHRI Standard 210/240 to represent the expected 
performance of a theoretical comparable single-speed room AC at reduced 
outdoor temperature test conditions.
6. Test Condition Weighting Factors
    In the proposed approach, the four interim CEER values representing 
each of the four cooling mode test conditions are combined, using four 
weighting factors, into a single weighted-average CEER value. The 
resulting weighted-average CEER value represents the weighted-average 
performance across the range of outdoor test conditions. DOE calculated 
weighting factors based on the fractional temperature bin hours in 
Table 19 of DOE's test procedure for central ACs at appendix M. DOE 
identified the fractional temperature bin hours representing the four 
test conditions in the proposed approach, and normalized these four 
values from appendix M so that they sum to 1.00.
    Table III-5 shows the proposed weighting factors for each of the 
four proposed test conditions.

                          Table III-5--Proposed Temperature Condition Weighting Factors
----------------------------------------------------------------------------------------------------------------
                                   Evaporator inlet air, [deg]F     Condenser inlet air, [deg]F
         Test condition          ---------------------------------------------------------------- CEER weighting
                                     Dry bulb        Wet bulb        Dry bulb        Wet bulb          factor
----------------------------------------------------------------------------------------------------------------
Test Condition 1................              80              67              95              75            0.05
Test Condition 2................              80              67              92            72.5            0.16

[[Page 35712]]

 
Test Condition 3................              80              67              87              69            0.31
Test Condition 4................              80              67              82              65            0.48
----------------------------------------------------------------------------------------------------------------

    DOE requests comment on the proposed weighting factors associated 
with each of the outdoor test conditions.
7. Performance Adjustment Factor
    The final step in the proposed approach is to calculate the PAF, 
representing the improvement over a theoretical comparable single-speed 
room AC resulting from the implementation of a variable-speed 
compressor. The PAF would be calculated as the percent improvement of 
the weighted-average CEER value of the variable-speed room AC compared 
to the weighted-average CEER value of a theoretical comparable single-
speed room AC under the four defined test conditions.
    After calculating the PAF, it would be multiplied by the CEER value 
of the variable-speed unit when tested at the 95 [deg]F test condition 
according to appendix F, resulting in the final CEER metric for the 
variable-speed room AC.
    DOE expects that the variable-speed room AC CEER values would be 
comparable to single-speed room AC CEER values as a result of applying 
the adjustment factor to the variable-speed room AC CEER value 
determined in accordance with the current single-speed test method in 
appendix F. By adjusting the variable-speed room AC CEER values to be 
comparable to single-speed room AC CEER values, consumers will have the 
information they need to understand the relative efficiency of both 
types of room AC.
    DOE requests comment on the proposed calculations to determine a 
PAF, which would adjust the CEER of a variable-speed room AC to 
appropriately account for its efficiency improvements relative to a 
theoretical comparable single-speed room AC under varying operating 
conditions.
8. Air-Enthalpy Test Alternative
    DOE recognizes the additional test burden associated with testing 
variable-speed room ACs at multiple test conditions as proposed. In an 
effort to minimize that additional test burden, the Grant of LG Interim 
Waiver test procedure provided that LG could optionally test its 
variable-speed room ACs using the air-enthalpy method. Following the 
publication of the Grant of LG Interim Waiver, DOE conducted 
investigative testing to further analyze the air-enthalpy method and 
its suitability for testing room ACs. As described below, this testing 
demonstrated that this method was unrepresentative and inconsistent, 
and remedying these deficiencies would be unduly burdensome.
    DOE tested nine room ACs according to the air-enthalpy procedure 
prescribed by ANSI/ASHRAE Standard 37-2009, ``Methods of Testing for 
Rating Electrically Driven Unitary Air-Conditioning and Heat Pump 
Equipment.'' DOE constructed plenums to match the cross sectional area 
of each room AC evaporator and condenser exhaust, with instrumented 
ducts connected to each. A variable-speed fan at the end of each duct 
was used to maintain a zero static pressure at the test unit exhaust. 
Tests were conducted in accordance with the indoor and outdoor test 
conditions specified in appendix F, and the instrumentation in the duct 
measured the psychrometric characteristic of the air in addition to the 
air flow rate to obtain the cooling capacity. To determine whether 
there was reasonable correlation between the two sets of results and, 
thus, whether the air-enthalpy procedure would be a viable alternative 
approach, DOE compared the cooling capacities measured according to 
this air-enthalpy method to the capacities obtained via the calorimeter 
method currently specified in appendix F. Table III-6 shows the 
measured cooling capacity and efficiency obtained for each of these 
eight test units using the air-enthalpy and calorimeter methods, and 
highlights the differences in results between the two approaches.

                          Table III-6--Cooling Capacity and Efficiency Using the Air-Enthalpy Method and the Calorimeter Method
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                            Calorimeter    Air-enthalpy
                 Unit #                     Indoor  air   capacity (Btu/  capacity (Btu/     Capacity       Calorimeter    Air-enthalpy         EER
                                            flow  (CFM)         h)              h)        difference (%)   EER (Btu/Wh)    EER (Btu/Wh)   difference (%)
--------------------------------------------------------------------------------------------------------------------------------------------------------
8.......................................             131           5,210           4,803            -7.8            11.8            10.6            -9.7
9.......................................             161           5,591           5,059            -9.5            12.6            11.3           -10.1
10......................................             126           5,284           4,908            -7.1            11.9            10.9            -8.0
11......................................             147           5,228           4,715            -9.8            10.8             9.7           -10.7
12......................................             152           6,164           5,650            -8.3            11.7            10.6            -9.4
13......................................             197           7,914           7,814            -1.3            12.0            11.8            -1.8
14......................................             227           8,576           8,165            -4.8            13.0            12.4            -4.1
15......................................             459          2,1233          2,1626            +1.8            10.0            10.1            +0.7
--------------------------------------------------------------------------------------------------------------------------------------------------------

    The results in Table III-6 indicate a range of differences between 
the air-enthalpy method and the calorimeter methods, for both cooling 
capacity and efficiency, which appears to correlate with the evaporator 
exhaust, or indoor, air flow rate from each unit. Five of the eight 
units (Units 8 through 12) demonstrated relatively poor agreement 
between the two methods, with an average decrease in cooling capacity 
of 8.5 percent and an average decrease in efficiency of 9.4 percent 
when using the air-enthalpy method. These units all had indoor air flow 
rates at or below 161 cubic feet per minute (CFM). Conversely, the unit 
with the largest air flow rate of 459 CFM (Unit 15) showed a small 
increase in capacity and efficiency when tested using the air-enthalpy 
method. The remaining two units (Units 13 and 14) had air flow rates 
between 161 CFM and 459 CFM, and showed only a modest decrease of

[[Page 35713]]

less than 5 percent in both capacity and efficiency.
    DOE asserts that these results depend on the measurement apparatus 
available to the testing laboratory for the air-enthalpy method. DOE 
understands that air-enthalpy test equipment currently used by testing 
laboratories is not typically designed to accurately measure air 
conditioning products with airflow rates lower than approximately 200 
CFM because typical test equipment is optimized for larger air 
conditioners with significantly higher airflow rates. The results for 
Units 8 through 12 support this assertion: All of these had evaporator 
airflows substantively below 200 CFM, and the performance for each unit 
measured using the air-enthalpy and calorimeter approaches differed by 
more than five percent on average. DOE is aware that air-enthalpy 
equipment that is optimized to measure units with airflow between 50 
and 500 CFM exists. However, such equipment may be costly to design, 
develop, and produce, because it is not readily available and may 
require custom manufacturing. In addition, the air-enthalpy method does 
not measure any heat transfer within and through the unit chassis, 
while the calorimeter test does. Because of the unrepresentative and 
inconsistent results obtained with the air-enthalpy test equipment that 
testing laboratories are likely to already own, as well as the higher 
cost and limited availability of equipment that would be necessary to 
obtain consistent results for all room ACs of differing airflow rates, 
DOE contends that the air-enthalpy test method would be unduly 
burdensome for testing laboratories to implement for room ACs at this 
time. DOE further notes that, in the waivers, DOE did not allow the 
air-enthalpy test method as an alternative to the calorimeter test 
method due to the concerns outlined above. 84 FR 20111 (May 8, 2019), 
84 FR 68159 (Dec. 13, 2019). Therefore, DOE is not proposing in this 
NOPR to allow testing of variable-speed room ACs using the air-enthalpy 
test method.
    DOE seeks comment on the proposal to not include an optional 
alternative air-enthalpy test method for variable-speed room ACs in 
appendix F.
9. Product Specific Reporting Provisions
    As described, the proposed amendment to Appendix F to test 
variable-speed room ACs at multiple cooling mode test conditions would 
require testing each unit with a fixed compressor speed at each test 
condition. To ensure test reproducibility, DOE is proposing to require, 
in 10 CFR 429.15, manufacturers to provide DOE all necessary 
instructions to maintain the compressor speeds required for each test 
condition for a variable-speed basic model, as additional product-
specific information pursuant to 10 CFR 429.12 (b)(13). DOE expects 
that this requirement would add a de minimis incremental burden to the 
existing reporting requirements.
    DOE requests comment on the proposal to include in 10 CFR 429.15 
compressor frequencies and control settings as additional product-
specific information for certification of each variable-speed room AC 
basic model.
10. Estimated Annual Operating Cost Calculation
    In conjunction with the proposed amendments for testing variable-
speed room ACs, DOE is proposing corresponding amendments to the 
calculation that provides the basis of the annual energy consumption 
and operating cost information presented to consumers on the 
EnergyGuide Label. These changes would allow for an appropriate 
comparison of the annual energy consumption and operating costs between 
single-speed room ACs and variable-speed room ACs. As such, DOE 
proposes that for variable-speed room ACs, the average annual energy 
consumption used in calculating the estimated annual operating cost in 
10 CFR 430.23(f) would be a weighted average of the annual energy 
consumption at each of the four test conditions in newly added Table 1 
of appendix F and the annual energy consumption in inactive mode or off 
mode. DOE proposes, however, that the electrical power input reported 
for variable-speed room ACs for purposes of certification in 10 CFR 
429.15(b)(2) would be the value measured at the 95 [deg]F rating 
condition, to maintain consistency with the cooling capacity measured 
at the same condition.
    DOE requests comment on the proposal to calculate estimated annual 
operating cost for variable-speed room ACs using a weighted-average 
annual energy consumption based on the four cooling mode test 
conditions in the proposed, new Table 1 of appendix F. DOE also 
requests comment on the proposal to report variable-speed room AC input 
power for certification purposes using the value measured at the 95 
[deg]F rating condition.
11. Potential Cost Impacts
    The test procedure amendments proposed above would result in 
additional test burden and cost for testing variable-speed room ACs, 
mainly due to the additional time associated with testing cooling mode 
performance of variable-speed room ACs under four total test 
conditions, compared to the single cooling mode test currently required 
in appendix F. Under the LG Waiver, LG is already testing its variable-
speed room ACs using the proposed approach and accordingly would incur 
no additional cost due to the proposed test procedure amendments. 
Likewise, under the Grant of Midea Interim Waiver, Midea is also 
already testing its variable-speed room ACs using the proposed approach 
and so would not incur any additional cost either due to the proposed 
test procedure amendments. DOE is not aware of other manufacturers of 
variable-speed room ACs, although the additional burden described above 
would be applicable to any entities that begin manufacturing a 
variable-speed room AC and introduce it to the U.S. market. Given that 
variable-speed room ACs are not available in the U.S. market from any 
other manufacturers besides LG and Midea, the proposed test procedure 
amendments in this NOPR regarding variable-speed room ACs would not 
result in any additional cost to manufacturers.

D. Definitions

    DOE proposes to add a number of definitions to appendix F to 
accompany the proposed amendments described in this document. None of 
these proposed definitions would modify the current scope of covered 
products. The following sections describe each proposed definition in 
detail.
    DOE proposes to define three key terms that currently appear in 
Appendix F but have no definitions: cooling mode, cooling capacity, and 
combined energy efficiency ratio. Although room ACs may sometimes 
operate in other modes as discussed further in section III.E of this 
proposed rule, the room AC CEER metric determined in appendix F is 
based primarily on performance in cooling mode, and several of the 
proposed amendments also reference ``cooling mode.'' DOE proposes to 
establish the following definitions for cooling mode, cooling capacity, 
and combined energy efficiency ratio in appendix F:
    ``Cooling mode'' means an active mode in which a room air 
conditioner has activated the main cooling function according to the 
thermostat or temperature sensor signal or switch (including remote 
control).
    ``Cooling capacity'' means the amount of cooling, in Btu/h, 
provided to an indoor conditioned space, determined in Section 4.1 of 
appendix F.
    ``Combined energy efficiency ratio'' is the energy efficiency of a 
room air conditioner as measured in Btu/Wh and

[[Page 35714]]

determined in Section 5.2.2 of appendix F for single-speed room air 
conditioners and Section 5.3.12 of appendix F for variable-speed room 
air conditioners.
    To accompany the proposed amendments affecting variable-speed basic 
models, DOE proposes to define single-speed and variable-speed room ACs 
as follows:
    ``Single-speed room air conditioner'' means a type of room AC that 
cannot automatically adjust the compressor speed based on detected 
conditions.
    ``Variable-speed room air conditioner'' means a type of room AC 
that can automatically adjust compressor speed based on detected 
conditions.
    In addition, DOE proposes to establish definitions for the three 
compressor speeds required for variable-speed testing. DOE proposes to 
refer to these compressor speeds as ``full,'' ``intermediate,'' and 
``low'' based on the test procedure terminology of AHRI Standard 210/
240. The proposed definitions are as follows:
    ``Full compressor speed (full)'' means the compressor speed at 
which the unit operates at full load test conditions, achieved by 
following the instructions certified by the manufacturer.
    ``Intermediate compressor speed (intermediate)'' means a compressor 
speed higher than the low compressor speed by one third of the 
difference between low compressor speed and full compressor speed with 
a tolerance of plus 5 percent (designs with non-discrete speed stages) 
or the next highest inverter frequency step (designs with discrete 
speed steps), achieved by following the instructions certified by the 
manufacturer.
    ``Low compressor speed (low)'' means the compressor speed at which 
the unit operates at low load test conditions, achieved by following 
the instructions certified by the manufacturer, such that 
Capacity4, the measured cooling capacity at test condition 4 
in Table 1 of appendix F, is not less than 47 percent and not greater 
than 57 percent of Capacity1, the measured cooling capacity 
with the full compressor speed at test condition 1 in Table 1 of 
appendix F.
    DOE is proposing a definition for low compressor speed based on the 
definition in AHRI Standard 210/240. To ensure that the low and 
intermediate compressor speeds result in representative cooling 
capacity under reduced loads, as explained in the following paragraphs, 
DOE is additionally proposing that the low compressor speed definition 
require that the test unit's measured cooling capacity at Test 
Condition 4, specified in Table III-5 of this document, be not less 
than 47 percent and not greater than 57 percent, of the measured 
cooling capacity when operating at the full compressor speed at Test 
Condition 1, also specified in Table III-5 of this document.
    DOE developed this range based on the Building Load Calculation, 
Equation 11.60, in AHRI Standard 210/240, which relates the building 
load to an AC's full-load cooling capacity and outdoor temperature. DOE 
adapted this calculation for the room AC test procedure by normalizing 
Equation 11.60 so that full-load operation is assumed to occur at a 95 
[deg]F outdoor temperature, consistent with the outdoor test condition 
defined in the current room AC test procedure, rather than 98 [deg]F as 
assumed by Equation 11.60. DOE used the normalized equation to 
determine the representative cooling load at an outdoor temperature of 
82 [deg]F as a percentage of the full-load cooling capacity at an 
outdoor temperature of 95 [deg]F. Based on this analysis, an outdoor 
temperature of 82 [deg]F would result in a cooling load of 57 percent 
of full-load cooling capacity. Therefore, DOE proposes that the 
representative cooling load at the low compressor speed and outdoor 
temperature of 82 [deg]F (i.e. the temperature represented by Test 
Condition 4 in Table III-5), is 57 percent of the unit's cooling 
capacity when operating at 95 [deg]F (i.e., Test Condition 1 in Table 
III-5).
    DOE recognizes that variable-speed room ACs may use compressors 
that vary their speed in discrete steps and may not be able to directly 
operate at a speed that provides 57 percent cooling capacity precisely; 
therefore, the defined cooling capacity associated with the low 
compressor speed is best presented as a range rather than a single 
value. DOE proposes that a 10-percent range would accommodate 
compressors that vary their speed in discrete steps.
    DOE further proposes using 57 percent cooling load as the upper 
bound of the 10-percent range to define the cooling capacity associated 
with the lower compressor speed (i.e., the range would be defined as 47 
to 57 percent). The justification for using 57 percent as an upper 
bound, rather than as a midpoint in the 10-percent range, is as 
follows. Defining the upper bound of the 10-percent cooling load range 
as 57 percent would ensure that a variable-speed room AC is capable of 
matching the representative cooling load (57 percent of the maximum) at 
the 82 [deg]F outdoor test condition, while providing the performance 
benefits associated with variable-speed operation. In contrast, if the 
10-percent range were to be defined as, for example, 52 to 62 percent 
(with 57 percent as the midpoint), a variable-speed room AC could be 
tested at 60 percent, for example, without demonstrating the capability 
to maintain variable-speed performance down to 57 percent.
    In summary, DOE proposes in newly added section 2.16 of appendix F 
to define ``low compressor speed (low)'' as the compressor speed 
specified by the manufacturer at which the unit operates at low load 
test conditions, such that the measured cooling capacity at the 82 
[deg]F outdoor test condition shall be no less than 47 percent and no 
greater than 57 percent of the unit's cooling capacity when operating 
at the 95 [deg]F test condition.
    DOE requests comment on the proposal to add new definitions for 
cooling mode, cooling capacity, combined energy efficiency ratio, 
single-speed room air conditioner, variable-speed room air conditioner, 
variable-speed compressor, full compressor speed (full), intermediate 
compressor speed (intermediate), and low compressor speed (low) in 
appendix F.

E. Active Mode Testing

    The following sections describe proposed amendments and other 
considerations regarding the active mode testing provisions of appendix 
F.
1. Cooling Mode
a. General Test Approach
    The current DOE room AC test procedure uses a calorimeter test 
method to determine the cooling capacity and associated electrical 
power input of a room AC. Under this approach, the test unit is 
installed between two chambers, one representing the indoor side and 
the other representing the outdoor side, which are both maintained at 
constant conditions by reconditioning equipment. The room AC operates 
in cooling mode, transferring heat from the indoor side to the outdoor 
side, while the reconditioning equipment counteracts the effects of the 
room AC to maintain constant test chamber conditions. The room AC 
cooling capacity is determined by measuring the required energy inputs 
to the reconditioning equipment.
    In response to the June 2015 RFI, AHAM noted that it planned to 
conduct a round-robin test to identify sources of potential variation 
in the room AC test procedure. AHAM stated that because it believes 
that the current room AC standards are stringent, and that slight 
variation in the test procedure would

[[Page 35715]]

have a significant impact in meeting standards, any DOE test procedure 
amendments should address potential sources of variation. (AHAM, June 
2015 RFI, No. 5 at p. 5) In this NOPR, DOE is proposing various test 
procedure modifications intended to improve repeatability and 
reproducibility and mitigate potential areas of variation. While DOE 
has not quantified the cost impacts of these proposed changes, based on 
its analysis described in section III.L.1 of this document, DOE 
believes that they would serve to reduce test burden by reducing the 
potential need for tests to be re-run due to variation. DOE welcomes 
AHAM's round-robin test data to identify areas of variation in the room 
AC test procedure and encourages other interested parties to provide 
comment and feedback on this issue.
b. Test Setup and Air Sampling
    In the August 2017 RFI, DOE noted that Section 4.2.7 of ANSI/ASHRAE 
16-2009, which is incorporated by reference in the DOE test procedure, 
requires the calorimeter chamber conditions to be verified by air 
sampled from a location that is representative of the temperatures 
surrounding the unit and that simulate the conditions in which the unit 
operates in the field. As DOE stated, there is no procedure to verify 
whether the measured chamber temperature reading is representative of 
conditions at the test unit condenser and evaporator inlet, which may 
be affected by recirculation from the condenser and evaporator exhaust, 
respectively, thereby potentially reducing test repeatability and 
reproducibility. 82 FR 36349, 36353. In the August 2017 RFI, DOE 
requested data on more specific requirements for air sampling devices 
within the calorimeter test chambers to improve test repeatability. Id.
    Friedrich asserted that the positioning of the air samplers impacts 
test repeatability, especially for through-the-wall units which intake 
and exhaust condenser air on the same plane. Friedrich recommended that 
the air sampler measurements be verified using a thermocouple grid at 
the evaporator and condenser air inlets. (Friedrich, No. 2 at p. 5)
    AHAM stated that it does not currently have information that the 
thermocouple placement as prescribed in ANSI/ASHRAE Standard 16-2009 
affects test repeatability and suggested that a balanced temperature is 
achieved throughout the calorimeter chamber. AHAM further noted that, 
unlike in a psychrometric test approach, the current calorimeter test 
approach takes into account any recirculation that would occur in the 
field. (AHAM, No. 3 at p. 6)
    DOE is aware that the size, capability, and orientation of 
components within calorimeter test chambers may vary significantly, and 
that third-party laboratories extensively analyze their chambers and 
testing apparatus to maintain consistent and accurate air sampling 
measurements. DOE also understands that temperature gradients and 
unique airflow patterns can result from the interaction of a chamber 
reconditioning apparatus and the room AC under test, and that these 
interactions are particular to and dependent upon factors such as 
chamber size and shape, chamber equipment arrangement, size of 
reconditioning apparatus, and others, as noted in ANSI/ASHRAE Standard 
16-2016 Section 8.2.7. Therefore, DOE contends that universal 
requirements for air sampling instrumentation and thermocouple 
placement could potentially reduce test accuracy and reproducibility. 
As discussed in section III.B.2 of this document, DOE is proposing to 
update the reference to ANSI/ASHRAE Standard 16 to the most current 
2016 version, which includes additional clarification on best practices 
for air sampler and thermocouple placement.
c. Air-Enthalpy Test
    As discussed in section III.B.2 of this document, DOE is proposing 
to use the calorimeter test method specified in ANSI/ASHRAE Standard 
16-2016 for determining the cooling mode performance in appendix F. 
ANSI/ASHRAE Standard 16-2016 additionally contains an air-enthalpy test 
method (also referred to as a psychrometric test method), in which a 
technician places instruments in or near the evaporator air stream to 
measure the rate of cooled air added to the conditioned space. In the 
June 2015 RFI and the August 2017 RFI, DOE discussed the potential 
differences in accuracy and test burden associated with the two test 
methods and requested comment on the air-enthalpy method, specifically 
its applicability, accuracy, and associated test burden. 80 FR 34843, 
34847 (July 18, 2015) and 82 FR 36349, 36353 (Aug. 4, 2017).
    AHAM opposed the use of the air-enthalpy method as an alternative 
to the calorimeter method, stating that the calorimeter method is 
supported by historical data and is repeatable, while the repeatability 
of the air-enthalpy method for room ACs had not yet been assessed. 
According to AHAM, implementing this alternative test method would 
likely increase variation in testing and cause challenges for third-
party verification and enforcement testing. (AHAM, June 2015 RFI, No. 5 
at p. 3; AHAM, No. 3 at p. 7)
    Friedrich also opposed the use of the air-enthalpy method for room 
ACs, based on internal testing that it stated showed a 2 to 3-percent 
variation in test results for the calorimeter method. Friedrich 
suggested that the variability of a psychrometric method for room ACs 
would be greater than the current variability associated with the 
calorimeter method. Friedrich added that psychrometric testing: (1) 
would not represent actual installation conditions, (2) would add 
uncertainty to the exhaust air wet-bulb temperature measurements, and 
(3) would fail to capture cooling from the portion of the room AC 
chassis installed in the room. Friedrich supported not updating the 
reference of ANSI/ASHRAE Standard 16-2009 in the DOE test procedure 
until further round-robin investigation is completed. (Friedrich, No. 2 
at pp. 6-7)
    DOE recognizes that installing test ducts on the evaporator and 
condenser exhausts to measure the air-enthalpy and calculate cooling 
capacity may impact the air flow, particularly on the evaporator side 
where room ACs typically locate the inlet and outlet in close 
proximity, and thus produce results that may not be representative of 
typical installations. The calorimeter method requires no test ducts or 
instrumentation that might impede or redirect airflow. DOE also agrees 
with Friedrich that, unlike the calorimeter method, the air-enthalpy 
method does not capture heat loss through the chassis to the room and 
further notes that the air-enthalpy method also may not capture 
possible heat transfer due to internal air leakage through the chassis 
between the indoor and outdoor test chambers.
    As discussed in section III.C.8 of this document, DOE conducted 
testing to investigate any differences in test results between the air-
enthalpy and calorimeter approaches. That testing showed a wide range 
of discrepancies between the air-enthalpy method and the calorimeter 
method, for both cooling capacity and efficiency. The largest 
differences were observed for units with evaporator airflows below 200 
CFM, suggesting that the air-enthalpy test method as typically 
conducted with existing instrumentation does not produce results 
representative of actual room AC performance or comparable to measured 
performance in a calorimeter chamber. DOE expects that obtaining more 
accurate results would require specialized test equipment that is

[[Page 35716]]

limited in availability and costly to design, develop, and produce.
    Finally, DOE notes that the results of AHAM's round-robin testing 
results are not yet available to further evaluate the repeatability and 
reproducibility of the air-enthalpy method.
    For these reasons, DOE is not proposing to allow the use of the 
air-enthalpy method for determining room AC cooling mode performance at 
this time.\26\
---------------------------------------------------------------------------

    \26\ Although DOE is proposing to reference ANSI/ASHRAE Standard 
16-2016, which includes an optional air-enthalpy method, DOE 
proposes to only reference those sections in ANSI/ASHRAE Standard 
16-2016 that apply to the calorimeter method.
---------------------------------------------------------------------------

    DOE seeks comment on the proposal not to include an air-enthalpy 
test approach for determine cooling mode performance of room ACs.
d. Side Curtain Heat Leakage and Infiltration Air
    DOE considered the installation requirements for room ACs during 
testing and the impact of installation on efficiency performance, as 
described in the following sections.
    Room ACs are designed to be installed in a window opening or 
through a wall, with the compressor and condenser outside the 
conditioned space and the evaporator inside the conditioned space, as 
shown in Figure III-2.
[GRAPHIC] [TIFF OMITTED] TP11JN20.001

    The unit's outer case (i.e., ``chassis'') provides a boundary 
between the outdoor and indoor sides, leading to potential air leakage 
(and therefore, heat leakage) into or out of the conditioned space. 
This leakage can occur within the room AC chassis (i.e., internal heat 
leakage) or around the chassis (i.e., external heat leakage), and may 
negatively impact the performance of the room AC. External heat leakage 
consists of two main forms: (1) Infiltration of outdoor air into the 
conditioned space; and (2) heat leakage through and around non-chassis 
installation components, designed to secure the room AC and prevent air 
leakage.
    Section 4.2.2 of ANSI/ASHRAE Standard 16-2009, referenced by the 
current DOE room AC test procedure, directs that the test unit be 
installed with no efforts made to seal the internal construction of the 
unit.\27\ Consequently, any internal heat leakage through the room AC 
that would occur in a typical consumer installation is accounted for in 
the current room AC test procedure.
---------------------------------------------------------------------------

    \27\ Note that the same requirements are retained in Section 
6.1.1.4 of ANSI/ASHRAE Standard 16-2016.
---------------------------------------------------------------------------

    Regarding the external sealing to avoid heat leakage, section 4.2.2 
of ANSI/ASHRAE Standard 16-2009 requires that the test unit be 
installed in a way that is similar to its normal installation. DOE is 
aware that common industry practice for testing louvered room ACs is to 
install the room AC using a sealed setup, i.e., the area around the 
test unit is sealed. This sealing prevents any inclusion of air leakage 
around the unit chassis. Any remaining gaps are typically insulated 
with tape to ensure a complete seal around the test unit. Consequently, 
any external heat leakage around the unit that may occur in a typical 
consumer installation is not typically accounted for by laboratories 
when conducting the room AC test procedure. DOE considered whether to 
clarify the installation instructions for room ACs to account for 
external heat leakage. In the following subsections, DOE describes the 
proposed additional direction intended to further account for the 
external heat leakage in a typical consumer installation.
Non-Louvered (Through-The-Wall) Room ACs
    Non-louvered room ACs, (i.e., those intended for through-the-wall 
installations) are installed inside a wall sleeve. Although the wall 
sleeve is designed to fit snugly within the wall, there is usually a 
small gap between the wall sleeve and the room AC, leading to potential 
air leakage into the conditioned space. Also, the room AC and wall 
sleeve represent a break in the building envelope through which thermal 
bridging \28\ may occur, thereby transferring unwanted heat into the 
conditioned space. The air and heat leakage mechanisms for through-the-
wall installations are shown in Figure III-3.
---------------------------------------------------------------------------

    \28\ Thermal bridging refers to the conductive heat transfer 
that can occur through the room AC chassis and wall sleeve, which 
are usually made of metal. The metal acts as an ``easy'' path for 
heat transfer between the indoor side and the outdoor side of the 
building, reducing the effective insulation of the building and 
leading to heat gain, which is undesirable when a consumer seeks to 
cool an indoor space.

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

[[Page 35717]]

[GRAPHIC] [TIFF OMITTED] TP11JN20.002

    DOE is aware that many manufacturers currently test non-louvered 
room ACs with compatible wall sleeves, in accordance with the existing 
requirement in the DOE test procedure that no effort be made to seal 
the unit internally before cooling mode testing. Regarding external 
sealing to avoid heat leakage, DOE is also aware that manufacturers 
typically test non-louvered room ACs with the included trim frame and 
other manufacturer-provided installation materials. As the non-louvered 
room ACs are installed in accordance with the manufacturer instructions 
provided to consumers, this setup would be similar to its normal 
installation.\29\
---------------------------------------------------------------------------

    \29\ Note that Section 6.1.1.4 of ANSI/ASHRAE Standard 16-2016 
requires the air conditioner be installed per the manufacturer 
instructions, which DOE contends is consistent with the normal 
installation requirements in ANSI/ASHRAE Standard 16-2009.
---------------------------------------------------------------------------

    Some test laboratories have requested additional direction 
regarding the general setup--specifically, whether a wall sleeve is 
required when testing non-louvered room ACs, and if so, which wall 
sleeve must be used. Therefore, DOE proposes to specify in a new 
section 3.1.1 of appendix F that room ACs designed for through-the-wall 
installation (i.e., non-louvered room ACs) must be installed inside a 
compatible wall sleeve (in accordance with the installation 
instructions provided to consumers), with the trim frame and other 
manufacturer-provided installation materials that are included in the 
retail package when purchasing the unit, where applicable. DOE believes 
that this proposed instruction would improve the representativeness and 
the reproducibility of test results. Because these supplemental 
instructions are consistent with the current requirement to install the 
test unit in a way that is similar to its normal installation and with 
DOE's understanding of current testing practice, these proposed 
amendments are not expected to increase test burden or change the test 
conduct from appendix F.
    DOE requests comment on the proposal to specify in appendix F that 
non-louvered room ACs, which are designed for through-the-wall 
installation, must be installed using a compatible wall sleeve (per 
manufacturer instructions), with the provided or manufacturer-required 
rear grille, and with the included trim frame and other manufacturer-
provided installation materials.
Louvered (Window) Room ACs
    Louvered room ACs, designed for window installation, are typically 
installed using manufacturer-provided side curtains to cover the area 
of the window opening that is not covered by the unit itself. Side 
curtains reduce, but generally do not eliminate, air leakage between 
the conditioned and unconditioned space. Some heat leakage is also 
possible through the side curtains themselves and surrounding 
installation materials.
    For hung-sash windows,\30\ the top sash can be positioned in direct 
contact with the top side of the chassis. Two side curtains extend 
horizontally from the sides of the chassis. For this type of 
installation, the air leakage pathways are: (1) Through the gap between 
the surface of the chassis and the edges of the window opening, which 
are usually covered with side curtains (described below); and (2) 
through the gap between the two sashes. Manufacturers typically provide 
weather stripping to reduce air leakage between the window sashes.
---------------------------------------------------------------------------

    \30\ A sash is a window panel that usually holds one or more 
panes of glass. In hung-sash windows, the sashes can be moved 
vertically along a rail in order to open or close the window.
---------------------------------------------------------------------------

    For sliding windows,\31\ the sash can be positioned in direct 
contact with the left or right side of the chassis. One curtain is 
typically provided that extends upward from the chassis to the top edge 
of the window opening. With this type of installation, the air leakage 
pathways are: (1) Through the gap between the surface of the chassis 
and top edge of the window opening, which is usually covered with a 
curtain; and (2) through the gap between the two sashes.
---------------------------------------------------------------------------

    \31\ In sliding windows, the sashes can be moved horizontally 
along a rail.
---------------------------------------------------------------------------

    For casement windows, which have no sliding sashes, the window 
panels are attached to hinges and rotate to open or close the window. 
Consequently, the width and height of the window opening cannot be 
adjusted to match the size of the room AC chassis. Because of this, 
casement-type room ACs are usually designed for a narrow range of 
window widths. With this type of installation, the gaps between the 
surface of the chassis and the edges of the window opening represent 
significant leakage pathways.
    Figure III-4 and Figure III-5 show the various air infiltration and 
heat leakage pathways for louvered room ACs.

[[Page 35718]]

[GRAPHIC] [TIFF OMITTED] TP11JN20.003

[GRAPHIC] [TIFF OMITTED] TP11JN20.004

    As described previously, Section 4.2.2 of ANSI/ASHRAE Standard 16-
2009 requires that the test unit be installed in a way that is similar 
to its normal installation. No further direction is provided as to what 
constitutes normal installation. DOE is aware that common industry 
practice is to set up a louvered room AC for testing so that all air 
leakage around the unit chassis is precluded. DOE understands that 
current industry practice is to snugly install the room AC in the test 
chamber partition wall using insulating material to approximate the 
insulating properties of the fixed part of the separating partition, as 
shown in Figure III-6. Any remaining gaps are typically insulated with 
tape to ensure a complete seal around the test unit. Under those 
conditions, the test measures energy needed to compensate for internal 
heat leakage through the unit and the thermal bridging, but any 
external leakage (i.e., infiltration air leakage around the unit 
chassis or heat leakage through the manufacturer-provided installation 
materials) is eliminated, neglecting any effect external air leakage 
may have on energy efficiency.

[[Page 35719]]

[GRAPHIC] [TIFF OMITTED] TP11JN20.005

    The current U.S. Environmental Protection Agency (EPA) ENERGY STAR 
Product Specification for Room Air Conditioners Version 4.1 (ENERGY 
STAR V4.1), \32\ requires that window units be provided with weather 
stripping and/or gasket materials appropriate for all window size(s) 
for which the unit is designed. Furthermore, the criteria require that 
the side curtains be tight fitting to minimize air leaks and contain 
insulation in the panel with a minimum insulation value of R1.\33\ 
ENERGY STAR-qualified room ACs, with R1 side curtains, comprised 26 
percent of basic models on the market as of September 2018.
---------------------------------------------------------------------------

    \32\ The ENERGY STAR Certification Criteria V4.1 is available at 
https://www.energystar.gov/sites/default/files/ENERGY%20STAR%20Version%204.0%20Room%20Air%20Conditioners%20Program%20Requirements.pdf
    \33\ The insulation value is determined by the Federal Trade 
Commission's (FTC) Labeling and Advertising of Home Insulation 
regulations, 16 CFR part 460.
---------------------------------------------------------------------------

Discussion of Comments
    In the August 2017 RFI, DOE noted that, when conducting the 
calorimeter test prescribed in ANSI/ASHRAE Standard 16-2009 and 
referenced by appendix F, the test unit is installed so that all air 
and heat leakage around the unit that would normally be present in a 
typical installation is precluded by means of sealing. DOE requested 
comment on testing room ACs in accordance with the manufacturer-
provided installation materials. 82 FR 36349, 36352 (Aug. 4, 2017).
    Friedrich opposed the use of manufacturer-provided installation 
materials that are included in the retail package when purchasing the 
unit for room AC testing. Friedrich noted that DOE has not specified a 
required side curtain surface area for testing, which Friedrich stated 
could result in laboratories using varying side curtain surface areas, 
leading to significant test result variability and potential consumer 
confusion. Friedrich also suggested that laboratories may not be 
capable of testing with side curtains in place without significant test 
apparatus modifications. Friedrich further noted that, if the 
psychrometric method specified in ANSI/ASHRAE Standard 16-2016 were 
adopted, the heat loss between rooms would not be captured even when 
using manufacturer-provided side curtains. Friedrich also suggested 
that manufacturer-provided installation materials are not necessary 
because the existing test requirement of no more than 0.005 inches of 
water column pressure difference between the indoor and outdoor test 
chambers limits the effects of heat and air loss between the test 
chambers. (Friedrich, No. 2 at pp. 3-4) DOE agrees that requiring the 
use of side curtains may introduce additional variability in the test 
procedure, specifically regarding the size of the test chamber 
partition wall openings used by labs, leading to differing side curtain 
extensions and thus different air and heat leakage impacts. DOE further 
recognizes the additional test burden associated with modifying the 
partition wall and installing side curtains and believes that this 
burden outweighs the benefit of measuring the potentially minimal air 
and heat leakage due to the small pressure differential limit between 
the two test chambers.
    AHAM noted that heat loss through the installation materials is 
already accounted for in Section 4.2.2 of ANSI/ASHRAE Standard 16-2009, 
referenced in appendix F, which requires that the room AC be installed 
in a manner similar to its normal installation with no effort to seal 
the internal construction of the unit to prevent air leakage, other 
than specifically provided by the manufacturer's consumer installation 
instructions. AHAM asserted that any modification to the instructions 
in ANSI/ASHRAE Standard 16-2009 would provide little additional value 
and is not necessary to ensure the test procedure is representative of 
an average use cycle. According to AHAM, doing so would increase test 
variation due to varying test lab window sizes and would require 
laboratories to stock different sizes of insulated partitions.
    AHAM noted that window kits are not used in the portable AC test 
procedure, and that the portable AC test procedure only measures duct 
heat loss and infiltration air heat transfer because portable ACs draw 
condenser air from the conditioned space, which AHAM believes is not 
applicable to room ACs. AHAM claimed that the test burden increase from 
requiring the use of installation materials would not be justified by 
the minimal benefit to consumers. (AHAM, No. 3 at p. 5) As discussed 
above, DOE is aware that common laboratory practice is to forgo the use 
of manufacturer-provided installation materials included in the retail 
package and instead to seal to prevent air and heat leakage around the 
unit. DOE is also aware that laboratories typically modify the chamber 
partition wall to fit each test unit by adding or removing partition 
wall insulating materials. DOE also notes that, as discussed later in 
this section, Sections 6.1.1.4 and Section 8.4.2 of ANSI/ASHRAE 
Standard 16-2016 require that the perimeter of the AC under test must 
be sealed to the separating partition, which is consistent with common 
practice when testing room ACs and ensures repeatability and 
reproducibility. Therefore, DOE recognizes that an alteration to the 
common practice by requiring the use of all manufacturer-provided 
installation materials, including side curtains, may present additional 
test burden.

[[Page 35720]]

    The California IOUs and Joint Advocates commented that room ACs 
should be installed with manufacturer-provided installation materials. 
(California IOUs, No. 4 at p. 4; Joint Advocates, No. 6 at p. 3) The 
California IOUs believe that the current test setup does not reflect 
real-world room AC operation and thus is contrary to EPCA's 
representative use requirements. According to the California IOUs, room 
ACs are typically installed in windows and secured with side curtains, 
wall sleeves, and other manufacturer-provided materials that are 
included in the retail package when purchasing the unit and are usually 
poorly insulated and allow for air infiltration, unlike the insulated 
wall in a calorimeter chamber. The California IOUs, therefore, 
encouraged DOE to capture the efficiency impacts of air infiltration, 
heat leakage, and pressure differentials in the room AC test procedure 
by requiring the use of all manufacturer-provided installation 
materials. (California IOUs, No. 4 at p. 4) The Joint Advocates 
asserted that the current DOE test procedure for room ACs does not 
represent actual unit efficiency for consumers, and therefore the Joint 
Advocates believe that testing room ACs with manufacturer-provided 
installation materials would incentivize improvements for installation 
materials to reduce infiltration air leakage. The Joint Advocates 
stated that reducing infiltration air would save energy and improve 
consumer comfort by reducing hot air entering from outdoors. (Joint 
Advocates, No. 6 at p. 3)
    As discussed previously, DOE recognizes that the common practice 
for installing room ACs for testing does not necessarily utilize all 
manufacturer-provided installation materials. However, DOE recognizes 
the potentially significant variability and additional test burden 
associated with the use of side curtains and other manufacturer-
provided installation materials that are not currently used. Further, 
DOE notes that Sections 6.1.1.4 and Section 8.4.2 of ANSI/ASHRAE 
Standard 16-2016 require that the perimeter of the AC under test must 
be sealed to the separating partition, which is consistent with common 
practice when testing room ACs. This requirement represents a change 
from the instructions in ANSI/ASHRAE Standard 16-2009, which in Section 
4.2.2, as discussed, requires that the room AC be installed in a manner 
similar to its normal installation.
    DOE conducted testing to investigate the inherent air infiltration 
and conductive heat transfer effects associated with manufacturer-
provided installation materials included in the retail package when 
purchasing the unit. DOE tested 13 room ACs both with and without 
manufacturer-provided installation materials, otherwise following the 
appendix F test procedure and conditions. DOE installed each room AC in 
accordance with both ANSI/ASHRAE Standard 16-2009 and manufacturer 
instructions in a 34-inch wide window opening of the calorimeter test 
chamber partition wall. Because room AC chassis vary in width and 
height, the area filled by side curtains varied from unit to unit in 
the 34-inch wide window opening, and the height of the window opening 
was adjusted to match the height of each unit. Table III-7 displays the 
results of testing with and without manufacturer-provided installation 
materials under appendix F conditions.

  Table III-7--Impact of Manufacturer-Provided Installation Materials on Room Air Conditioner Cooling Capacity
----------------------------------------------------------------------------------------------------------------
                                                     Measured cooling capacity       Measured cooling capacity
                                                 --------------------------------    change with installation
                                   Energy star        Without          With                  materials
           Unit No.                   rated        installation    installation  -------------------------------
                                                     materials       materials
                                                      (Btu/h)         (Btu/h)         (Btu/h)           (%)
----------------------------------------------------------------------------------------------------------------
1.............................  Yes.............            5720            5450            -270            -4.7
2.............................  No..............           10600           10530             -70            -0.7
3.............................  Yes.............           11750           11950            +210            +1.8
4.............................  Yes.............           20630           20470            -150            -0.7
8.............................  No..............            5210            5260             +50            +1.0
9.............................  Yes.............            5590            5580             -10            -0.2
10............................  No..............            5280            5420            +130            +2.5
11............................  Yes.............            5240            5270             +30            +0.6
12............................  No..............            6160            6050            -110            -1.8
13............................  Yes.............            7910            7940             +30            +0.4
14............................  Yes.............            8580            8340            -230            -2.7
15............................  Yes.............           21230           21200             -40            -0.2
----------------------------------------------------------------------------------------------------------------

    DOE expected that the measured cooling capacity with installation 
materials would be consistently lower (worse) than the measured cooling 
capacity without installation materials (for which the unit is tightly 
sealed during testing to prevent air and heat leakage). However, as 
shown in Table III-7, DOE observed no consistent change in cooling 
capacity when using manufacturer-provided installation materials 
included in the retail package when purchasing the unit, with capacity 
impacts ranging from a reduction of 4.7 percent to an increase of 2.5 
percent relative to the measured capacity without installation 
materials. Additionally, DOE found that the magnitude and direction 
(positive or negative) of the measured capacity impacts did not 
correlate with the presence of insulated side-curtains (i.e., units 
that ship with minimum R1 side curtains were measured as having both 
higher and lower cooling capacity when tested with the side curtains 
installed). Nor did the magnitude and direction of the measured cooling 
capacity change correlate with the rated cooling capacity. Instead, the 
unexpected presence of positive cooling capacity changes suggests that 
the observed variations are driven more by measurement uncertainty than 
heat transfer losses.
    Regardless of the source of the variation, however, all capacities 
measured while using manufacturer-provided installation materials were 
within 5 percent of those measured without installation materials. 
Because the variation in test results was minimal, DOE expects that any 
potential

[[Page 35721]]

benefits of more representative cooling capacity measurements by 
testing with manufacturer-provided installation materials included in 
the retail package when purchasing the unit would be small and would be 
outweighed by the burden associated with such a testing configuration. 
Therefore, DOE is not proposing to require the use of manufacturer-
provided installation materials in appendix F for louvered room ACs at 
this time.
    DOE requests comment on the proposal, consistent with ANSI/ASHRAE 
Standard 16-2016, Sections 6.1.1.4 and Section 8.4.2, not to require 
installing louvered room ACs with the manufacturer-provided 
installation materials, including side curtains, and instead to require 
testing with the partition wall sealed to the unit.

e. Test Conditions

    In the June 2015 RFI, DOE noted that the current room AC test 
procedure measures performance only under full-cooling-load outdoor 
test conditions of 95 [deg]F dry-bulb and 75 [deg]F wet-bulb, and 
therefore, technologies that improve performance under less extreme 
part-load conditions, such as variable-speed compressors and variable-
opening expansion devices, would not improve rated performance under 
the current test procedure. DOE noted that for central ACs and heat 
pumps, the seasonal energy efficiency ratio (SEER) accounts for various 
annual conditions by testing at multiple rating conditions. DOE 
therefore requested comment on the merits of revising the current room 
AC test procedure to account for the benefit of technologies that 
improve performance under multiple cooling mode temperature conditions. 
80 FR 34843, 34848 (June 18, 2015).
    The Natural Resources Defense Council, Appliance Standards 
Awareness Project, Alliance to Save Energy, National Consumer Law 
Center, and Northwest Energy Efficiency Alliance (hereafter the ``Joint 
Commenters'') stated that measuring part-load performance in the DOE 
room AC test procedure would encourage manufacturers to develop 
products with variable-speed capabilities and other part-load 
technologies not available as of 2015 in room ACs available on the 
market. The Joint Commenters suggested that a metric that captures 
part-load performance could result in additional energy savings because 
room ACs are often used as the primary air conditioning source, either 
for a single room or an entire house, and thus are used more frequently 
than just for supplemental air conditioning on the hottest days and 
would likely benefit from part-load efficiency improvements. (Joint 
Commenters, June 2015 RFI, No. 7 at pp. 1-2)
    The California IOUs commented that the effective and efficient use 
of part-load operation can be useful in maintaining a more constant 
room temperature while reducing overall energy consumption. However, 
they noted that the impact of part-load efficiency would depend on the 
number of operating hours associated with part-load operation in the 
overall performance metric. Therefore, the California IOUs suggested 
that DOE assess the potential efficiency benefits of part-load 
technologies and the number of operating hours under part-load 
conditions per year, claiming that including part-load efficiency in 
the regulated metric would only be effective if part-load operation 
represents a significant part of the annual operating hours. The 
California IOUs suggested that the part-load operating hours should not 
include hours during the summer, when room ACs typically operate at 
full-load conditions, nor should the inclusion of part-load operation 
result in a reduction of overall room AC operating efficiencies or an 
increase in peak demand. If DOE finds that part-load efficiency has a 
minimal impact on overall performance, the California IOUs expressed 
continued support for the current test condition. (California IOUs, 
June 2015 RFI, No. 8 at p. 3)
    AHAM opposed part-load performance measurements, based on DOE's 
conclusion in the January 2011 Final Rule that such measurements would 
result in significant effort and additional test burden with minimal 
energy savings. (AHAM, June 2015 RFI, No. 5 at p. 4) In the January 
2011 Final Rule, DOE stated that sufficient information was not 
available at the time to assess whether technologies that improve part-
load efficiency would be cost effective, and that many of the 
technology options that could improve full-load efficiency would also 
improve part-load efficiency, so the current test conditions were 
indicative of the efficiency at a range of conditions. Thus, DOE 
decided to not amend the test procedure to measure part-load 
performance at that time. Nevertheless, DOE noted in the January 2011 
Final Rule that it could consider amendments if additional information 
on this subject were to become available for future rulemakings. 76 FR 
971, 1016 (Jan. 6, 2011). DOE notes that the market has developed since 
the January 2011 Final Rule, and that at least three variable-speed 
room ACs are now on the market. DOE expects that manufacturers will 
continue to introduce variable-speed room ACs to the market in the near 
term, because, on December 28, 2017, EPA released its ENERGY STAR 2018 
Emerging Technology Award Criteria for Room ACs with Efficient Variable 
Output, which recognizes room ACs with variable-speed compressors that 
are more than 25 percent more efficient than a similar room AC with a 
single-speed compressor.\34\ DOE expects that the introduction of these 
ENERGY STAR award criteria will incentivize manufacturers to further 
adopt variable-speed compressors in room ACs.
---------------------------------------------------------------------------

    \34\ Additional information on the ENERGY STAR Emerging Award 
for Industry Stakeholders is available at https://www.energystar.gov/about/awards/energy-star-emerging-technology-award/energy-star-emerging-technology-award-industry.
---------------------------------------------------------------------------

Multiple Test Conditions
    On June 1, 2016, DOE established a test procedure for portable ACs 
that assesses cooling performance under two cooling mode test 
conditions, representative of typical conditions and extreme conditions 
(hereafter the ``June 2016 Portable AC Final Rule''). 81 FR 35241, 
35249-35250. As discussed, room ACs are currently tested at a single 
outdoor test condition, 95 [deg]F dry-bulb and 75 [deg]F wet-bulb 
temperature, which aligns with only one of the two cooling mode test 
conditions for portable ACs. Considering the many similarities between 
the two products (i.e., consumer utility, usage patterns, internal 
components), DOE requested comment in the August 2017 RFI on whether it 
would be appropriate to harmonize the two test procedures by including 
an additional test condition for room AC cooling mode testing 
(specifically, 83 [deg]F dry-bulb and 67.5 [deg]F wet-bulb outdoor 
temperature). 82 FR 36349, 36351-36352 (Aug. 4, 2017).
    Friedrich opposed an additional cooling mode test condition for 
room ACs, stating that room ACs are optimized for the current 95 [deg]F 
test condition and any changes to the test procedure would require 
system and component design changes. For example, Friedrich asserted 
that less expensive and more reliable capillary tube expansion devices 
would likely need to be replaced with more expensive and complex 
thermostatic expansion valves or variable orifice metering devices. 
Friedrich stated that just one component change could increase 
manufacturing cost by more than 15 percent as well as increase repair 
and installation complexity, and that the current room AC chassis may 
not have sufficient space to accommodate such devices. (Friedrich, No. 
2 at pp. 1-2) DOE recognizes that

[[Page 35722]]

optimizing performance at any test condition likely would require 
design and component modifications, which may include adjusting the 
expansion device, blower motor, compressor, and other performance-
related modification. DOE understands that any time a design change is 
initiated, significant engineering and manufacturing costs are 
incurred, for example, to fit larger and more complex components into 
size-restricted chassis. However, although an amended test procedure 
requiring testing room ACs at additional cooling mode test conditions 
would necessitate a corresponding amendment to the energy conservation 
standards for room ACs, the design and manufacturing costs incurred to 
redesign units to perform optimally at these conditions are outside of 
the scope of a test procedure rulemaking analysis. DOE notes that it 
would analyze in an energy conservation standards rulemaking any design 
and manufacturing costs potentially incurred to improve the efficiency 
of products.
    AHAM and Friedrich opposed the proposed additional cooling mode 
test condition, saying that it would add significant test burden by 
effectively doubling the number of tests needed to certify a room AC, 
lengthening test time, and resulting in less laboratory availability, 
which could significantly slow time to market and disrupt production 
schedule. (AHAM, No. 3 at p. 4; Friedrich, No. 2 at p. 2) DOE agrees 
that an additional cooling mode test condition would increase test 
burden, though it would not require an adjustment in test unit 
installation and would instead necessitate adjusting only the outdoor 
test chamber conditions, since the indoor conditions remain the same 
for both cooling mode test conditions. DOE expects the total additional 
burden associated with testing a reduced operating test would be 4 to 5 
hours. This reflects the time required to adjust the outdoor test 
chamber test conditions (about 2 hours for the chamber to reach a lower 
outdoor temperature test condition), and the additional test time, 
which is estimated to be 2 to 3 hours (approximately 1 to 2 hours for 
chamber and unit stabilization and 1 hour for the rating test period, 
as specified by ANSI/ASHRAE Standard 16-2009).
    AHAM further stated that if DOE did consider an additional cooling 
mode test condition it would be inappropriate to consider an additional 
cooling mode test condition comparable to that which is established for 
dual-duct portable ACs (i.e., the most similar portable AC 
configuration to room ACs). AHAM cited a September 2016 AHAM Home 
Comfort Survey that indicated the vast majority of portable ACs on the 
market are a single-duct configuration. As a result, most portable ACs 
would be tested with a single outdoor cooling mode test condition. AHAM 
therefore suggested it would be inappropriate to select test conditions 
for room ACs that align with the type of portable AC that a minority of 
consumers own and would not result in a comparable rating between all 
portable ACs and room ACs. (AHAM, No. 3 at p. 4) DOE notes that the 
additional cooling mode test condition that was adopted for dual-duct 
portable ACs was developed using room AC ownership data and a climate 
analysis; and, because the supporting data were derived from room ACs, 
DOE asserts that the previous analysis conducted in support of the 
portable AC test procedure applies to room ACs.
    AHAM and Friedrich also contended that including a second test 
condition could confuse consumers, suggesting that adding a cooler test 
condition would result in a larger Seasonally Adjusted Cooling Capacity 
(SACC) compared to the cooling capacity as measured under the current 
conditions, which could result in consumers purchasing units that have 
too little capacity and are unable to meet cooling needs during peak 
periods. Friedrich further commented that if DOE were to proceed with 
these changes to the test procedure, it should coordinate with EPA and 
the Federal Trade Commission (FTC) to harmonize metrics across 
efficiency programs. (AHAM, No. 3 at p. 4; Friedrich, No. 2 at p. 2) 
DOE agrees that introducing a second cooling mode test condition for 
all room ACs would result in a general increase in the reported cooling 
capacities for all units, which may cause confusion for consumers who 
have become familiar with the typical capacity values in this well-
established market.\35\ Under the Memorandum of Understanding that EPA 
and DOE signed on September 30, 2009, DOE is responsible for the test 
methods and metrics to be used in the ENERGY STAR program when 
qualifying products. Therefore, if DOE were to modify the energy 
efficiency metric for room ACs in appendix F, EPA would accordingly 
consider revised ENERGY STAR qualification criteria based upon the 
amended DOE test procedure. Additionally, EPCA requires that any 
revisions to the labels for room ACs, for which the FTC is responsible, 
include disclosure of the estimated annual operating cost (determined 
in accordance with DOE's test procedures prescribed under section 6293 
of EPCA), unless the Secretary determines that disclosure of estimated 
annual operating cost is not technologically feasible, or the FTC 
determines that such disclosure is not likely to assist consumers in 
making purchasing decisions or is not economically feasible. (42 U.S.C. 
6294(c)(1)) Were DOE to amend the room AC test procedure to include an 
additional test condition, DOE understands that the FTC would develop 
any revised labeling requirements to disclose a revised annual energy 
cost calculation based on any modified energy efficiency metric.
---------------------------------------------------------------------------

    \35\ DOE notes that consumer confusion about the number of 
temperature conditions was not a concern for portable ACs because 
DOE only recently established a test procedure for portable ACs that 
requires multiple cooling mode test conditions. Before that there 
was no DOE test procedure; the DOE test procedure for portable ACs 
has always required multiple cooling mode temperature conditions.
---------------------------------------------------------------------------

    The California IOUs opposed an additional cooling mode test 
condition, suggesting it would not be representative of actual usage 
conditions in California, where room ACs operate at peak capacity or 
close to it (i.e., at conditions represented by the 95 [deg]F dry-bulb 
test condition) for longer than 750 hours per year and are typically 
purchased in reaction to heatwaves, when peak cooling is required. The 
California IOUs cautioned that allocating less weight to the 95 [deg]F 
dry-bulb cooling mode test condition may devalue the cooling mode 
operating performance that is most valued by consumers and is the basis 
for their purchase decisions. (California IOUs, No. 5 at p. 2) AHAM 
added that the current room AC test procedure tests the ``worst case'' 
energy use scenario and there is no reason to test room ACs under new 
test conditions that would result in less energy use. (AHAM, No. 3 at 
p. 4) Friedrich stated that room ACs optimized for a new reduced-
temperature test condition would not have enough capacity to meet the 
cooling load at the existing higher-temperature condition. (Friedrich, 
No. 2 at p. 2) The California IOUs also claimed that an additional 
cooling mode test condition would interfere with calculating a room 
AC's peak demand power draw, which can have a large impact on peak load 
operation and is often the basis for future program development, rate 
structure, and overall power needs. (California IOUs, No. 5 at pp. 2-3)
    The California IOUs and Joint Advocates commented that if DOE were 
to include an additional part-load cooling mode test condition, the 
test procedure would likely capture the benefits of technologies, such 
as variable-speed compressors, that enable

[[Page 35723]]

improved part-load performance. These commenters further stated that, 
in addition to improving part-load performance and efficiency by 
reducing compressor cycling and improving heat exchanger effectiveness, 
variable-speed compressors would provide more consistent room 
temperature and humidity control, improved dehumidification, and 
reduced noise levels. They suggested that adding variable-speed 
compressors would enable utilities to create incentives for consumers 
to use more intelligently controlled and connected room ACs with little 
impact on consumer comfort and would enable more flexible demand side 
resources to integrate increasing amounts of intermittent renewable 
energy sources into the grid. (California IOUs, No. 5 at p. 3; Joint 
Advocates, No. 6 at p. 2) However, the California IOUs suggested that 
further data are necessary prior to modifying the room AC test 
procedure to measure room AC performance and efficiency at part-load 
test conditions and to identify an appropriate alternative test 
condition and operating hours that would effectively capture part-load 
operation. (California IOUs, No. 5 at p. 4) Friedrich suggested that 
variable-speed compressors would not be feasible for room ACs due to 
increased installation and controls costs, as well as chassis space 
constraints. (Friedrich, No. 2 at p. 2) AHAM urged DOE to wait until 
variable-speed compressors are available in a number of products that 
would be sufficient to evaluate the impacts of a test procedure change 
before considering a test procedure change to account for them. (AHAM, 
No. 3 at p. 5)
    DOE agrees with some, but not all, of these comments. The inclusion 
of additional cooling mode test conditions would better reflect 
operation under multiple temperature conditions, and product 
information based on testing using such conditions may create an 
incentive to increase the proportion of variable-speed room ACs on the 
market. Use of variable-speed compressors, in turn, may be beneficial 
to both consumers and utilities, because room ACs would operate more 
effectively and efficiently under multiple indoor and outdoor 
temperature conditions. However, DOE also recognizes that a test 
procedure that measures performance at both peak temperature conditions 
and a less extreme temperature condition would require a new overall 
weighted metric that would combine the performance under both 
temperature conditions because it would change measured energy 
consumption. DOE further recognizes that room AC performance has 
historically been based on peak performance under elevated outdoor 
temperature test conditions, which is the condition under which 
consumers most expect their room ACs to perform, and that peak 
performance would no longer be clearly portrayed by a weighted 
metric.\36\ Furthermore, DOE notes information about variable-speed 
room ACs is limited: There are few variable-speed products on the 
market, and data about them is limited. DOE does not believe that the 
benefits of measuring performance at reduced outdoor temperature test 
conditions for all room ACs would outweigh the expected substantial 
increase in test burden, utility impacts, and consumer confusion that 
would result. Therefore, DOE is proposing to continue using a single 
test condition for testing single-speed room ACs, with no changes to 
the current CEER metric. However, as discussed in section III.C.2 of 
this document, DOE is proposing to require testing multiple test 
conditions for variable-speed room ACs, in order to capture the 
relative efficiency improvements associated with variable-speed 
operation. The test procedure would represent the performance of 
variable-speed room ACs using adjustments to the CEER calculations to 
obtain the same metric, which is based on performance at the maximum 95 
[deg]F outdoor rating condition.
---------------------------------------------------------------------------

    \36\ This understanding is based on discussion in the June 2010 
Room AC Test Procedure Supplemental Notice of Proposed Rulemaking 
and comments from the California IOUs discussed above. 75 FR 37633-
37634 (June 29, 2010). (California IOUs, No. 5 at p. 2)
---------------------------------------------------------------------------

    DOE requests comment on the proposal not to include additional 
cooling mode test conditions for single-speed room ACs.
Cooling Test Alternatives
    The current DOE test procedures for room ACs and packaged terminal 
air conditioners (PTACs) involve fixed temperature and humidity tests 
in a calorimeter at full-load or part-load conditions, during which 
specific dry-bulb and wet-bulb temperatures are maintained throughout 
the cooling mode test period. The DOE test procedure for central ACs 
requires testing at multiple cooling mode test conditions, with fixed 
temperature and humidity at each condition, similar to the current room 
AC test procedure, which has one test condition with a fixed 
temperature and humidity.
    The Joint Advocates stated that the lower-temperature test 
condition discussed in the August 2017 RFI is a fixed temperature and 
humidity test and would not capture single-speed compressor cycling 
losses that would occur in typical temperature conditions. By 
comparison, a dynamic-cooling-load test, such as that being developed 
by the Canadian Standards Association, during which the compressor 
would cycle off when the setpoint is reached, may capture such cycling 
losses. The Joint Advocates suggested that the most representative room 
AC test procedure (i.e., a dynamic-cooling-load test that measures 
part-load performance) would spur adoption of variable-speed 
compressors and adjustable fan speeds because it would capture cycling 
losses in single-speed units and increased efficiency from these 
technologies. (Joint Advocates, No. 6 at pp. 2-3)
    DOE is aware of two approaches to measure part-load performance of 
a room AC, constant-cooling-load testing and dynamic-cooling-load 
testing. In a constant-cooling load test, a cooling load is applied to 
the indoor room using reconditioning equipment, and this cooling load 
does not change throughout the test. In a dynamic-cooling-load test, 
the cooling load applied to the indoor room follows a load profile 
which approximates how the cooling load on a typical unit would change 
throughout the day. In both the dynamic-cooling-load test suggested by 
the Joint Advocates and a constant-cooling-load test explored in DOE 
investigative testing, the chamber indoor cooling load is provided at a 
specified rate or value throughout testing instead of maintaining 
specific temperature conditions within the test chamber. In theory, 
this approach would be most representative of actual usage, where 
cooling loads are constant or variable due to external factors (e.g., 
weather, door/window openings) and internal factors (e.g., room 
occupants, appliance operation). Under a constant-cooling-load or 
dynamic-cooling-load test, a room AC with a single-speed compressor 
would cycle the compressor as the setpoint is reached, thereby 
introducing efficiency losses, whereas a variable-speed compressor 
could maintain constant operation at reduced speeds to match the 
cooling load with no cycling losses. As explained below, DOE explored 
this approach but is not proposing it because an increased test burden 
and reduced repeatability and reproducibility outweigh potential 
benefits.
    DOE investigated the status of test data and uniform procedures to 
test with a specified constant or dynamic cooling load but found no 
widely adopted and industry-accepted test procedure for room ACs or 
other AC

[[Page 35724]]

products that uses a constant-cooling-load or dynamic-cooling-load 
test. DOE is aware of investigative efforts to test central ACs under 
varying cooling load conditions, but those have yielded only 
preliminary results which did not involve room ACs and did not provide 
sufficient evidence to show that a constant or dynamic load test would 
be repeatable and reproducible and not overly burdensome to 
conduct.37 38
---------------------------------------------------------------------------

    \37\ The Canadian Standards Association has conducted dynamic-
load testing for heat pumps. A summary is available at http://neep.org/sites/default/files/NEEPCSAHarley2017-06-28.pdf.
    \38\ Researchers at the University of Tokyo investigated the 
operation of split-type ACs under constant-load conditions in 2012. 
https://docs.lib.purdue.edu/cgi/viewcontent.cgi?referer=&httpsredir=1article=2335context=iracc.
---------------------------------------------------------------------------

    Due to the limited data available regarding constant-cooling-load 
testing, DOE conducted investigative testing to better understand the 
benefits and potential challenges associated with a constant-cooling-
load test for room ACs. These tests were conducted using a variable-
speed room AC rated at 18,000 Btu/h and a conventional single-speed 
room AC rated at 12,100 Btu/h. The single-speed room AC was selected 
because it was the louvered unit in the test sample closest in capacity 
to the variable-speed unit. DOE installed each room AC in a calorimeter 
test chamber, set the unit thermostat to 80 [deg]F to match the indoor 
temperature specified in the appendix F test procedures, and then 
applied a fixed cooling load to the indoor room that was below the 
nominal rated cooling capacity of the test unit. The calorimeter 
chamber was configured to permit the indoor chamber temperature to 
vary, thereby allowing the test unit to eventually reach its thermostat 
set point and to adjust its cooling in response to the cooling load 
demands on the indoor room, as opposed to the constant-temperature 
test, which results in unvarying cooling operation. Table III-8 shows 
the results of these tests. All percentages are displayed are relative 
to full-cooling-load values measured during constant-temperature tests.

                  Table III-8--Fixed Cooling-Load-Based Test Single-Speed Room Air Conditioner
----------------------------------------------------------------------------------------------------------------
                                     Chamber-
 Outdoor test condition ([deg]F       imposed      Compressor on    Percent of                      Percent of
            dry-bulb)              cooling load      time  (%)       full-load     EER (Btu/Wh)    full-load EER
                                        (%)                          power (%)                          (%)
----------------------------------------------------------------------------------------------------------------
95..............................              49              53              62             9.2              79
                                              76              80              84            10.6              91
                                              78              82              86            10.6              91
                                              79              82              86            10.7              91
                                              80              84              88            10.6              91
82..............................              46              48              58            11.8              79
                                              48              50              60            12.0              80
                                              67              69              77            13.1              88
                                              70              72              78            13.3              89
----------------------------------------------------------------------------------------------------------------

    As discussed previously in section III.C of this document, and 
shown in Figure III-1, when tested under these same test conditions, 
the variable-speed room AC adjusted its compressor speed to match the 
applied cooling load, resulting in increased efficiency of between 9 
percent and 25 percent at decreased cooling loads of 85 percent and 45 
percent of the full-load cooling capacity, respectively, compared to 
the tested cooling capacity of the variable-speed room AC under the 
appendix F test procedure.
    When tested according to the same constant-cooling-load test, the 
single-speed unit operated continuously until the unit thermostat 
setpoint was satisfied, at which time the unit cycled off the 
compressor. When the chamber temperature rose above the thermostat 
setpoint, the single-speed room AC activated the compressor. This off-
and-on compressor cycling process continued throughout the rating test 
period. As shown in Table III-8, the fractional time the compressor was 
on (``compressor on time'') for a single compressor cycle during the 
test ranged from 84 percent to 48 percent as the cooling load decreased 
from 80 percent to 46 percent, respectively, of the tested cooling 
capacity. DOE also observed during testing that the total compressor 
cycle time (i.e., the sum of a single period of compressor on time and 
compressor off time) decreased as cooling loads reduced, resulting in 
more frequent cycling and subsequent increased cycling losses.
    As shown in Table III-8, DOE observed that the single-speed room AC 
was able to provide cooling that closely matched the chamber-imposed 
cooling load by cycling the compressor (i.e., the percentage of 
compressor on time approximated the cooling load percentage). However, 
the single-speed room AC average input power during those same tests 
did not decrease at the same rate as the cooling capacity, which was 
indicative of the fan or blower remaining on when the compressor cycled 
off, as well as the significant additional power necessary to start up 
the compressor at the beginning of each compressor on cycle (i.e., the 
percent of full-load power consumption during the same test was 
consistently higher than the cooling load percentage, as shown in Table 
III-8). As a result of the disproportionate cooling capacity and power 
decreases at reduced cooling loads, the overall efficiency of a single-
speed room AC in terms of EER at reduced cooling loads decreased by up 
to 20 percent at a reduced load of about 50 percent of the full-load 
cooling capacity, as shown in Table III-8.\39\ The overall efficiency 
of the variable-speed room AC in terms of EER increased by about 24 
percent under similar reduced load conditions, as shown in Figure III-
1.
---------------------------------------------------------------------------

    \39\ EER, is defined as the ratio of cooling capacity to unit 
power, in contrast to CEER, which additionally includes inactive 
mode or off mode power. Because the investigative testing did not 
include inactive mode or off mode testing, the investigative testing 
results are reported in EER.
---------------------------------------------------------------------------

    Constant-cooling load tests have initially confirmed behavior that 
would be expected of room ACs in the field under conditions associated 
with partial loads (i.e., lower outdoor temperatures at which the 
cooling load is typically smaller). During the constant-cooling-load 
test, single-speed room ACs cycle in proportion to the cooling load, 
and variable-speed room ACs adjust the compressor speed to match the 
measured cooling load in the room. Therefore, DOE would expect that

[[Page 35725]]

cycling losses decrease the efficiency of single-speed room ACs at 
lower outdoor temperature conditions, an effect which variable-speed 
room ACs avoid. However, DOE contends that load-based tests, for 
reasons presented below, are currently not feasible for room ACs.
    DOE is concerned that the constant-cooling-load test would reduce 
repeatability and reproducibility. Based on investigative testing, DOE 
found that conducting a constant-cooling-load test in an ANSI/ASHRAE 
Standard 16-2009-compliant calorimeter test chamber would impact 
repeatability and reproducibility. Table III-9 shows the results of 
indoor wet-bulb temperatures for the cooling-load-based tests conducted 
by DOE.

                     Table III-9--Indoor Wet-Bulb Temperatures for Cooling-Load-Based Tests
----------------------------------------------------------------------------------------------------------------
                                                                                      Average       Difference
                                                   Outdoor test                       indoor        from rating
                   Tested unit                       condition     Cooling load     temperature      condition
                                                   ([deg]F dry-         (%)        ([deg]F wet-    ([deg]F wet-
                                                       bulb)                           bulb)           bulb)
----------------------------------------------------------------------------------------------------------------
Single-Speed....................................              95              49            67.6             0.6
                                                  ..............              76            67.2             0.2
                                                  ..............              78            67.0             0.0
                                                  ..............              79            67.1             0.1
                                                  ..............              80            67.1            -0.1
                                                 ---------------------------------------------------------------
                                                              82              46            67.5             0.1
                                                  ..............              48            66.5             0.5
                                                  ..............              67            66.8            -0.5
                                                  ..............              70            67.1            -0.2
                                                 ---------------------------------------------------------------
                                                              Average                       67.1             0.1
                                                 ---------------------------------------------------------------
Variable-Speed..................................              95              49            67.9             0.9
                                                  ..............              73            68.0             1.0
                                                  ..............              74            67.0             0.0
                                                  ..............              85            67.0             0.0
                                                  ..............              86            67.0             0.0
                                                 ---------------------------------------------------------------
                                                              87              45            67.0             0.0
                                                  ..............              46            67.0             0.0
                                                  ..............              63            67.0             0.0
                                                  ..............              64            67.0             0.0
                                                  ..............              85            67.0             0.0
                                                 ---------------------------------------------------------------
                                                              Average                       67.2             0.2
----------------------------------------------------------------------------------------------------------------

    As shown in Table III-9, at cooling loads less than 75 percent of 
the tested unit cooling capacity, the indoor wet-bulb temperature 
variation sometimes exceeded the 0.3 [deg]F arithmetic average 
tolerance required by ANSI/ASHRAE Standard 16-2009. DOE believes this 
is because the test chamber lacks a dehumidifier and instead relies on 
the test unit to remove moisture from the indoor chamber and assist in 
maintaining the wet-bulb temperature. The single-speed and variable-
speed room ACs were unable to remove sufficient water vapor from the 
indoor-side chamber while cycling on and off or while operating at 
reduced compressor speed, respectively, causing the indoor chamber wet-
bulb temperature to vary from 67 [deg]F up to 0.6 [deg]F for the 
single-speed unit, and up to 1.0 [deg]F for the variable-speed unit.
    Also, because the chamber used for testing was not designed to 
accommodate constant-cooling-load testing, the chamber controls were 
not capable of automatically achieving a specific cooling load 
condition. Instead, an iterative process was necessary to manually 
program and adjust the heating, cooling, and humidification inputs to 
the room to achieve the desired cooling load. This difficulty in 
automatically achieving specific loading conditions contributed 
significant increased testing time and test burden arising from the 
need to ensure uniform test chamber dimensions. In addition, the 
chamber size and particular conditioning equipment may affect the rate 
at which the indoor chamber temperature and relative humidity decrease 
in response to the room AC operation, or increase after a single-speed 
unit cycles off, thus affecting cycle time and frequency, which in turn 
impact cycling losses and measured performance.
    DOE notes that constant-cooling-load tests may not be reproducible 
because ANSI/ASHRAE Standard 16 does not specify chamber dimensions and 
reconditioning equipment characteristics which affect heat transfer 
capabilities within the chamber, and thus they likely are not uniform 
across the industry. DOE expects that cooling-load-based test 
reproducibility could increase with test chamber modifications to 
improve cooling load-setting controls, standardizing or normalizing for 
test chamber size, and adding a dehumidifier to the indoor chamber, 
although these would place some additional test burden on 
manufacturers. Furthermore, because existing calorimeter chambers rely 
on steady-state operation to ensure accuracy and precision, dynamic-
cooling-load testing in a calorimeter test chamber would require 
extraordinarily slow cooling load changes, which DOE estimates would be 
on the order of about one percent of the tested unit cooling capacity 
every two hours to maintain chamber stability, requiring an 
impractically long test to measure a full range of cooling load 
conditions (e.g., it would require an estimated 86 hours to reduce the 
cooling load from 100 percent to 57 percent of full load to reach the 
expected cooling load at an outdoor test condition of 82 [deg]F, as 
discussed in section III.D of this document, compared to the 2 hours 
typically required to conduct the current test procedure). Because of 
the

[[Page 35726]]

current lack of industry consensus on a constant-cooling-load or 
dynamic-cooling-load test procedure and the uncertainty regarding the 
repeatability of such tests, DOE judges that the potential benefits of 
constant-cooling-load or dynamic-cooling-load tests do not justify the 
increase in test burden in the form of test time and changes to test 
equipment. For these reasons, DOE is not proposing a constant-cooling-
load or dynamic-cooling-load test for room ACs at this time.
f. Power Factor
    In response to the June 2015 RFI, the California IOUs suggested 
that DOE should identify the power factor \40\ at each operating 
voltage, provided that the market size for multiple-voltage units 
warrants that kind of coverage. (California IOUs, June 2015 RFI, No. 8 
at p. 4) DOE measured power factor for a sample of 23 room ACs of 
varying product classes, capacities, and efficiencies and found that 
power factor results ranged from 0.93 to 0.99, with an average power 
factor of 0.97. Because the range of power factors was small and all 
measurements were close to a value of 1, DOE's testing suggests that 
there is no significant difference between the actual power drawn by a 
room AC and the apparent power supplied to the unit. Based on this, DOE 
expects that the metrics proposed in this document accurately described 
the power consumption of a room AC and therefore, the additional burden 
of measuring and reporting the power factor would outweigh any benefits 
this information would provide. Therefore, DOE does not propose to 
establish requirements for measuring and reporting the power factor for 
room ACs.
---------------------------------------------------------------------------

    \40\ The power factor of an alternating current electrical power 
system is defined as the ratio of the real power flowing to the load 
to the apparent power in the circuit. A load with a low power factor 
draws more electrical current than a load with a high power factor 
for the same amount of useful power transferred. The higher currents 
associated with low power factor increase the amount of energy lost 
in the electricity distribution system.
---------------------------------------------------------------------------

    DOE seeks comment on the proposal to not establish requirements for 
measuring and reporting the power factor for room ACs.
2. Heating Mode
    In the June 2015 RFI, DOE requested comment on appropriate test 
methods, industry test standards, and temperature conditions for 
measuring room AC reverse-cycle heating performance. DOE also requested 
information on the burdens associated with testing heating performance 
and whether they would disproportionately impact certain businesses. 80 
FR 34843, 34847-34848.
    The California IOUs supported measuring room AC heating mode 
performance in the DOE test procedure, but noted that with a combined 
performance metric, consumers would be unable to determine performance 
in individual active modes. According to the California IOUs, consumers 
could thus be confused when comparing units with and without heating, 
and might incorrectly assume that a high CEER necessarily represents 
efficient performance in both cooling and heating modes. The California 
IOUs also suggested that a combined efficiency metric could allow 
manufacturers to improve efficiency in heating mode while maintaining 
or even reducing cooling mode efficiency. Therefore, the California 
IOUs suggested that DOE implement separate cooling mode and heating 
mode metrics. (California IOUs, June 2015 RFI, No. 8 at pp. 2-3)
    AHAM asserted that a heating mode test method is not necessary for 
room ACs, and that DOE should not adopt any metric for heating, whether 
separate or combined with cooling mode performance. AHAM stated that 
there is a trade-off between cooling and heating performance, so it 
would be difficult to optimize performance for both modes. Therefore, 
AHAM believes that including heating performance in the efficiency 
metric could increase prices while reducing product availability and 
consumer utility. AHAM also commented that a CEER metric that combines 
cooling and heating would confuse consumers, limit comparisons between 
room ACs with only cooling and those with both heating and cooling, and 
would diverge from the approach adopted for similar products. (AHAM, 
June 2015 RFI, No. 5 at pp. 3-4; AHAM, No. 3 at p. 7)
    DOE agrees that combining cooling mode and heating mode performance 
into a single metric may limit a consumer's ability to recognize the 
mode-specific performance and compare performance with room ACs that 
only provide cooling. DOE also recognizes that a combined metric may 
lead to a reduction in cooling mode efficiency, if heating mode 
efficiency increases but the overall metric remains the same. DOE 
considered the approach taken for similar products and notes that PTACs 
and central ACs have separate metrics for heating and cooling 
performance while the test procedure for portable ACs does not consider 
heating performance. Further, DOE is not aware of data suggesting that 
heating mode is a significant operating mode for room ACs. Based on the 
lack of data of room ACs used for heating, and given the potential 
concerns raised by commenters, DOE is not proposing a test procedure to 
measure room AC heating mode in the room AC test procedure at this 
time.
    DOE requests comment on the proposal not to establish a heating 
mode test procedure for room ACs at this time.
3. Off-Cycle Mode
    Single-speed room ACs typically operate with a compressor on-off 
control strategy, where the compressor runs until the room temperature 
drops below a consumer-determined setpoint, then ceases to operate 
(i.e., the unit operates in off-cycle mode \41\) until the room 
temperature rises above the setpoint, at which time the compressor 
starts again. The points at which the compressor stops and restarts 
depend on the setpoint temperature defined by the user and the deadband 
\42\ programmed by the manufacturer. During the period in which the 
compressor remains off (i.e., off-cycle mode), the fan may operate in 
different ways depending on manufacturer implementation: (1) The fan 
ceases operation entirely; (2) the fan continues to operate for a short 
period of time after the setpoint is reached and then stops until the 
compressor is reactivated; (3) the fan continues to operate 
continuously for a short period of time, after which it cycles on and 
off periodically until the compressor is reactivated; or (4) the fan 
continues to operate continuously until the compressor is 
reactivated.\43\
---------------------------------------------------------------------------

    \41\ ``Off-cycle mode'' is distinct from ``off mode,'' in which 
a room AC not only ceases compressor and fan operation but also and 
may remain in that state for an indefinite time, not subject to 
restart by thermostat or temperature sensor signal.
    \42\ The term ``deadband'' refers to the range of ambient air 
temperatures around the setpoint for which the compressor remains 
off, and above which cooling mode is triggered on.
    \43\ Unlike air circulation mode, off-cycle mode is not user-
initiated and only occurs when the ambient temperature has satisfied 
the setpoint.
---------------------------------------------------------------------------

    In the June 2015 RFI, DOE requested comment on the merits and 
limitations of including a requirement to measure off-cycle mode in the 
room AC test procedure. 80 FR 34843, 34846 (June 18, 2015). AHAM 
commented that DOE had previously concluded in a test procedure 
supplemental notice of proposed rulemaking (SNOPR) published for room 
ACs on June 29, 2010 (hereafter the ``June 2010 SNOPR''), that the 
benefit of incorporating the energy use of the off-cycle mode into the 
overall energy efficiency metric is outweighed by the additional test 
burden for manufacturers. 75 FR 37954, 37604. AHAM asserted that 
nothing has changed since those determinations that

[[Page 35727]]

would justify changing them. (AHAM, June 2015 RFI, No. 5 at pp. 2-3)
    In the June 2010 SNOPR, DOE considered a definition for off-cycle 
mode that it proposed in a NOPR published in the Federal Register on 
December 9, 2008 (73 FR 74639), namely that off-cycle mode is a standby 
mode in which a room AC: (1) Has cycled off its main function by 
thermostat or temperature sensor, (2) does not have its fan or blower 
operating, and (3) will reactivate the main function according to the 
thermostat or temperature sensor signal. DOE notes that the 2010 off-
cycle mode definition proposal only addressed a low-power state, 
excluding the possibility of fan or blower operation. By excluding the 
periods of fan operation from off-cycle mode, the definition for off-
cycle mode considered in the June 2010 SNOPR would not have accounted 
for potentially significant room AC energy consumption. Unlike that 
definition, off-cycle mode as considered in this NOPR could include 
periods of potentially significant fan or blower energy use.
    AHAM also noted DOE's conclusion in the January 2011 Final Rule 
that off-cycle mode does not persist for an indefinite time and 
therefore would not be considered a standby mode. (AHAM, June 2015 RFI, 
No. 5 at pp. 2-3; AHAM, No. 3 at p. 6) DOE agrees that, because off-
cycle mode is terminated when the compressor reactivates, it would not 
be classified as a standby mode even if no fan or blower operation 
occurs. Regardless, such classification would not preclude any 
determination as to whether off-cycle mode should be incorporated in 
the energy efficiency metric.
    In response to the August 2017 RFI, AHAM stated that the room AC 
industry recently adjusted to the CEER metric that was implemented in 
June 1, 2014, and that the metric has yet to be included on the 
EnergyGuide label. Therefore, AHAM suggested that including off-cycle 
mode in the room AC test procedure would prematurely adjust the 
performance metric, resulting in another burdensome redesign and 
testing process and potentially causing confusion with the test 
procedure. (AHAM, No. 3 at p. 6)
    Friedrich also opposed including off-cycle mode testing for room 
ACs, stating that the portable AC off-cycle mode test requires an 
additional 2 hours in the test chamber after the cooling mode test, 
which is not an efficient use of test chamber time and which delays the 
manufacturer test and development timeline. (Friedrich, No. 2 at p. 4) 
DOE agrees that including an off-cycle mode test for room ACs would 
likely increase testing by 2 hours, in addition to a short period to 
adjust the test unit control settings.
    The California IOUs noted that, in a previous test procedure 
rulemaking for room ACs, DOE discussed, but did not describe, a test 
procedure to measure fan-only energy use, and requested clarification 
regarding how off-cycle mode would address fan energy consumption. The 
California IOUs cited a Lawrence Berkeley National Laboratory study, 
which found that portable ACs consume 102 W when only operating the 
fan,\44\ and suggested that room AC fan-only operation may similarly 
consume a significant amount of power and thus should be captured in 
the room AC test procedure. (California IOUs, No. 5 at p. 1) The Joint 
Advocates supported measuring off-cycle mode power consumption in the 
room AC test procedure, stating that it would provide better 
representation of actual use and efficiency, more information to 
consumers, and encourage manufactures to introduce more efficient fans 
and fan motors. The Joint Advocates commented that capturing fan 
operation outside of cooling mode would be consistent with the test 
procedures for portable ACs, dehumidifiers, and dishwashers. (Joint 
Advocates, No. 6 at pp. 3-4)
---------------------------------------------------------------------------

    \44\ Burke, Thomas et al. ``Using Field-Metered Data to Quantify 
Annual Energy Use of Portable Air Conditioners'' Environmental 
Energy Technologies Division Lawrence Berkeley National Laboratory. 
December 2014.
---------------------------------------------------------------------------

    To investigate the merits of including off-cycle mode in the DOE 
test procedure, DOE conducted investigative testing of off-cycle mode 
for a sample of 27 room ACs.\45\ The results of the testing are 
presented in Table III-10.
---------------------------------------------------------------------------

    \45\ Room AC off-cycle mode investigative testing was consistent 
with the portable AC off-cycle mode test methodology.

                                  Table III-10--Room AC Off-Cycle Mode Testing
----------------------------------------------------------------------------------------------------------------
                                                                                                   Average power
                                                  Fan operation scheme in off-       Off-cycle        for fan
                   Unit No.                                cycle mode              average power     operating
                                                                                        (W)         scheme  (W)
----------------------------------------------------------------------------------------------------------------
OC-1..........................................  Continuous......................           253.3           270.1
OC-2..........................................  Continuous......................           286.9
OC-3..........................................  Cyclical--Indefinite............            17.0            10.7
OC-4..........................................  Cyclical--Indefinite............             2.2
OC-5..........................................  Cyclical--Indefinite............            15.9
OC-6..........................................  Cyclical--Indefinite............            15.3
OC-7..........................................  Cyclical--Indefinite............            22.3
OC-8..........................................  Cyclical--Indefinite............            20.2
OC-9..........................................  Cyclical--Indefinite............             5.3
OC-10.........................................  Cyclical--Indefinite............             8.6
OC-11.........................................  Cyclical--Indefinite............             7.8
OC-12.........................................  Cyclical--Indefinite............             9.9
OC-13.........................................  Cyclical--Indefinite............             4.8
OC-14.........................................  Cyclical--Indefinite............             5.3
OC-15.........................................  Cyclical--Indefinite............             6.7
OC-16.........................................  Cyclical--Indefinite............             7.0
OC-17.........................................  Cyclical--Indefinite............            22.6
OC-18.........................................  Cyclical--Indefinite............             4.8
OC-19.........................................  Cyclical--Indefinite............            11.7
OC-20.........................................  Cyclical--Indefinite............             7.0
OC-21.........................................  Cyclical--Indefinite............             3.8
OC-22.........................................  Cyclical--Indefinite............            15.3

[[Page 35728]]

 
OC-23.........................................  Cyclical--Limited...............             3.5             2.7
OC-24.........................................  Cyclical--Limited...............             2.6
OC-25.........................................  Cyclical--Limited...............             2.5
OC-26.........................................  Cyclical--Limited...............             2.2
OC-27.........................................  No Fan Operation................             1.8             1.8
----------------------------------------------------------------------------------------------------------------

    As shown in Table III-10, two of the units operated the fan 
continuously in off-cycle mode and consumed 270.1 W on average. Of the 
remaining 25, one did not operate the fan at all during off-cycle mode 
and consumed 1.8 W; four disabled the fan after a few fan cycles (shown 
as ``cyclical-limited'') and consumed 2.7 W on average; and the 
remaining 20 units continued cycling the fan throughout the test period 
(shown as ````cyclical-indefinite''), 10.7 W on average. The cyclical 
fan behavior that DOE observed was generally consistent with the ENERGY 
STAR V4.1 specification, which as discussed in section III.C.3 of this 
document, requires that all ENERGY STAR-certified room ACs ship with an 
energy saver mode enabled by default that minimizes energy consumption 
by limiting fan operation to: (1) While the compressor is operating 
(i.e., cooling mode); (2) a period not exceeding 5 minutes after the 
compressor is switched off (i.e., following cooling mode and prior to 
off-cycle mode); and (3) up to 17 percent of the total compressor off 
cycle time following the initial 5-minute period (i.e., off-cycle 
mode), equivalent to 1 minute of fan-on time for every 5 minutes of 
fan-off time.
    As discussed in a NOPR for the portable AC test procedure published 
on February 25, 2015, DOE tentatively determined that the benefits of 
measuring off-cycle mode power for portable ACs outweighed the 
additional test burden because all models tested from a market-
representative sample operated the fan continuously in off-cycle mode 
with an average off-cycle mode power of 93 W. 80 FR 10211, 10231. 
However, based on the results described above, which indicate 
relatively low (i.e., approximately 10 percent or less) average power 
use in off-cycle mode compared to the average power used in cooling 
mode, DOE has tentatively determined that the additional 2-hour test 
burden that would be required would outweigh the benefits of measuring 
off-cycle mode power for room ACs. Therefore, DOE is not proposing to 
define off-cycle mode or establish means for measuring off-cycle mode 
average power for room ACs in appendix F.
    DOE requests comment on the proposal to not establish a definition 
or test procedure for off-cycle mode.

F. Standby Modes and Off Mode

    Section 1.7 of appendix F defines standby mode as any mode where a 
room AC is connected to a mains power source and offers one or more of 
the following user-oriented or protective functions which may persist 
for an indefinite time: (a) To facilitate the activation of other modes 
(including activation or deactivation of active mode) by remote switch 
(including remote control), internal sensor, or timer; or (b) 
continuous functions, including information or status displays 
(including clocks) or sensor-based functions. Section 1.5 of appendix F 
defines inactive mode as a mode that facilitates the activation of 
active mode by remote switch (including by remote control) or internal 
sensor, or provides continuous status display. Section 1.6 of appendix 
F defines off mode as a mode distinct from inactive mode in which a 
room AC is connected to a mains power source and is not providing any 
active or standby mode function and where the mode may persist for an 
indefinite time. An indicator that only shows the user that the product 
is in the off position is included within the classification of an off 
mode.
1. Referenced Standby Mode and Off Mode Test Standard
    In the January 2011 Final Rule, DOE amended the room AC test 
procedure by incorporating provisions from IEC Standard 62301 First 
Edition for measuring standby mode and off mode power. 76 FR 971, 979-
980 (Jan. 6, 2011). At that time, DOE reviewed the IEC Standard 62301 
First Edition and concluded that it would generally apply to room ACs, 
with some clarifications, including allowance for testing standby mode 
and off mode in either the test chamber used for cooling mode testing, 
or in a separate test room that meets the specified standby mode and 
off mode test conditions. 76 FR 971, 986.
    On January 27, 2011, IEC published IEC Standard 62301 Second 
Edition, an internationally accepted test procedure for measuring 
standby power in residential appliances, which included various 
clarifications to IEC Standard 62301 First Edition. Provisions from IEC 
Standard 62301 Second Edition are currently referenced in DOE test 
procedures for multiple consumer products for which standby mode and 
off mode energy use are measured (e.g., dehumidifiers, portable ACs, 
dishwashers, clothes washers, clothes dryers, conventional cooking 
products, microwave ovens).
    Based on its previous determinations for similar consumer products, 
DOE expects that the use of IEC Standard 62301 Second Edition for 
measuring the standby mode and off mode energy use for room ACs would 
improve the accuracy and representativeness of the test measurements 
and would not be unduly burdensome, compared to IEC Standard 62301 
First Edition. Accordingly, DOE proposes to incorporate by reference 
relevant paragraphs of IEC Standard 62301 Second Edition in appendix F 
in place of those from IEC Standard 62301 First Edition, as follows.
a. Power Measurement Uncertainty
    Section 4.4 of IEC Standard 62301 Second Edition introduces a more 
comprehensive specification for power measurement accuracy, which 
depends on the crest factor \46\ and power factor of the input power, 
and the resulting calculated maximum current ratio (MCR). DOE notes 
that the allowable uncertainty is the same or less stringent than the 
allowable uncertainty specified in the First Edition, depending on the 
value of MCR and the power level being measured. In a final rule 
published in the Federal Register on October 31,

[[Page 35729]]

2012 (hereafter the ``October 2012 Final Rule''), regarding test 
procedures for consumer dishwashers, dehumidifiers, and conventional 
cooking products, DOE determined that this change in the allowable 
uncertainty would maintain sufficient accuracy of measurements under a 
full range of possible measured power levels while minimizing test 
burden associated with high instrumentation accuracy. 77 FR 65942, 
65948. Because DOE understands that the standby power characteristics 
of room ACs are similar to those of dishwashers, dehumidifiers, and 
conventional cooking products and were tested using the same standard 
until the publication of the October 2012 Final Rule, DOE relies on 
that analysis and adopts it for room ACs. Therefore, DOE proposes to 
reference the power equipment specifications from Section 4.4 of IEC 
Standard 62301 Second Edition for determining standby mode and off mode 
power in appendix F.
---------------------------------------------------------------------------

    \46\ The crest factor is the measured peak current drawn by the 
product divided by the measured root mean square current drawn by 
the product.
---------------------------------------------------------------------------

    DOE requests comment on the proposal to reference the power 
equipment specifications from Section 4.4 of IEC Standard 62301 Second 
Edition for determining standby mode and off mode power in appendix F.
b. Power Consumption Measurement Procedure
    Section 4.2 of appendix F requires measuring standby mode and off 
mode power according to Section 5, Paragraph 5.3 of IEC Standard 62301 
First Edition, as modified by Appendix F.\47\ Paragraph 5.3 specifies a 
direct meter reading method. If the power varies over a cycle, as 
described in Section 5, Paragraph 5.3.2 of IEC Standard 62301 First 
Edition, testing must follow the average power approach for power that 
varies over a cycle in Section 5, Paragraph 5.3.2(a). This approach 
requires a measurement period long enough to include one or more 
complete cycles, and then calculating the average power over the 
measurement period is calculated.
---------------------------------------------------------------------------

    \47\ Appendix F provides additional direction requiring the 
product to stabilize for 5 to 10 minutes and using an energy use 
measurement period of 5 minutes.
---------------------------------------------------------------------------

    IEC Standard 62301 Second Edition defines three different mode 
stability types (stable, cyclic, and irregular) and provides three 
methods to measure power consumption of an appliance: (1) Sampling, (2) 
average reading, and (3) direct meter reading. The direct meter reading 
method and average reading method are similar to the options in IEC 
Standard 62301 First Edition for stable and non-stable (cyclic or 
irregular) standby modes, respectively, that are currently referenced 
in the room AC test procedure. The following paragraphs describe the 
three methods in IEC Standard 62301 Second Edition to determine power 
consumption.
    (1) The sampling method requires different approaches for stable, 
cyclic, and irregular power consumption modes. For stable modes, it 
requires a test period of at least 15 minutes, with power data recorded 
at least once every second. The first third of the total period is 
discarded, and the other two-thirds of the period are used to determine 
stability. Stability is achieved when the slope of a linear regression 
of the data is within tolerances listed in Section 5.3.2 of IEC 
Standard 62301 Second Edition. Once the stability criteria are 
satisfied, the result is the average power consumed during the latter 
two thirds of the total test period. For cyclic modes, the method 
requires two test periods, each not less than 10 minutes, and not less 
than two cycles each. Stability for a cyclic mode is achieved when the 
power difference between the two test periods is within tolerance. The 
representative average power is the average power consumed over both 
comparison periods. For irregular modes, or cyclic modes where the 
cycles never meet stability criteria, IEC Standard 62301 Second Edition 
requires collecting data sufficient to characterize the power 
consumption of the mode and recommends measuring a minimum of ten 
cycles.
    (2) The direct meter reading method may only be used for stable 
modes, and requires a 30-minute stabilization period, which is extended 
if stability cannot be achieved. Once stability has been achieved, two 
instantaneous measurements are taken not less than 10 minutes apart. 
The average of these two readings is the result, as long as the two 
measurements agree within the tolerances specified in Section 5.3.4 of 
IEC Standard 62301 Second Edition. If the measurements do not agree 
sufficiently or stability cannot be achieved, testing must follow a 
different method.
    (3) The average reading method may only be used for stable modes. 
This is a change from the first edition of IEC Standard 62301, which 
also allowed use for non-stable modes. After a 30-minute stabilization 
period, average power measurements are taken over two equal comparison 
periods, each not less than 10 minutes in duration. If the two 
measurements agree within the tolerances specified in Section 5.3.3 of 
IEC Standard 62301 Second Edition, the result is determined by the 
average of readings from both comparison periods. If the measurements 
do not agree within the specified tolerances or stability cannot be 
achieved, testing must follow the sampling method.
    According to IEC Standard 62301 Second Edition, the sampling method 
is preferred for all cases and is specified for all units in which the 
power varies over the mode, or the mode to be measured is of limited 
duration. Thus, IEC Standard 62301 Second Edition specifies the 
sampling method to be used for modes when the power is cyclic or 
irregular and suggests that it is the fastest test method for stable 
modes.
    DOE expects that adopting a single test method from IEC Standard 
62301 Second Edition would ensure that the standby power test procedure 
for room ACs is uniform and repeatable because allowing multiple test 
methods may affect reproducibility if systematic differences exist 
between the test methods. DOE does not expect that proposing the 
sampling method for all standby mode and off mode testing would 
increase test burden, because power meters that can measure, store, and 
output readings at the required proposed sampling rate and accuracy for 
the sampling method are already widely used by test laboratories. DOE 
also does not anticipate that the power consumption measured with the 
sampling method would substantively vary from that measured with the 
direct meter or average reading methods. DOE notes that other covered 
products, such as dehumidifiers and portable ACs, require using the 
sampling method to measure standby mode and off mode average power. For 
these reasons, DOE proposes to adopt the sampling method from Section 
5.3.2 of IEC Standard 62301 Second Edition to determine standby mode 
and off mode average power in appendix F.
    DOE requests comment on the proposal to adopt and reference the 
sampling method from Section 5.3.2 of IEC Standard 62301 Second Edition 
to determine standby mode and off mode average power in appendix F.

G. Network Functionality

    Network functionality on room ACs may enable functions such as 
communicating with the network to provide real-time information on the 
temperature conditions in the room or receiving commands via a remote 
user interface such as a smartphone. DOE has observed that network 
features on room ACs are designed to operate in the background while 
the room AC performs other functions. These network functions may 
operate continuously during all operating modes, and therefore may 
impact the

[[Page 35730]]

power consumption in all operating modes.
    In the June 2010 SNOPR, DOE considered whether it should adopt 
amendments to the room AC test procedure to measure energy consumption 
when network functionality is enabled. DOE noted that a draft version 
of IEC Standard 62301 Second Edition described network mode as a mode 
where the energy using product is connected to a main power source and 
at least one network function is activated (such as reactivation via 
network command or network integrity communication) but where the 
primary function is not active. 75 FR 37594, 37605 (June 29, 2010). Due 
to the lack of information about room ACs with network functionality, 
in the January 2011 Final Rule, DOE did not adopt provisions to account 
for energy consumption associated with network functionality. 76 FR 
971, 983-984 (Jan. 6, 2011).
    DOE investigated the network-enabled units currently available in 
the market to assess whether an amendment to room AC test procedure to 
measure network functionality would be appropriate. DOE did not find 
network-capabilities to be common at this time and found that to the 
extent offered, in most cases, such units are sold network-ready or 
with the necessary hardware included. However, at least one 
manufacturer does not include the necessary hardware with the original 
purchase, instead selling a connectivity module separately. Based on 
these findings, and as discussed further in section III.H of this 
document, DOE is not proposing provisions to specifically measure and 
account for energy consumption associated with network functionality. 
However, to provide further direction and simplify the test setup and 
configuration settings, DOE proposes to specify in section 3.1.4 of 
appendix F that units with network capabilities must be tested with the 
network settings disabled, and that those network settings remain 
disabled for all tested operating modes (i.e., cooling mode, standby 
mode, and off mode).
    DOE also recently published an RFI on the emerging smart technology 
appliance and equipment market. 83 FR 46886 (Sept. 17, 2018). In that 
RFI, DOE sought information to better understand market trends and 
issues in the emerging market for appliances and commercial equipment 
that incorporate smart technology. DOE's intent in issuing the RFI was 
to ensure that DOE did not inadvertently impede such innovation in 
fulfilling its statutory obligations in setting efficiency standards 
for covered products and equipment. In this NOPR, DOE seeks comment on 
the same issues presented in the RFI as they may be applicable to room 
ACs.
    DOE requests comment on the proposal to specify that all network or 
connectivity settings must be disabled during testing.

H. Connected Test Procedure

    ENERGY STAR V4.1 specifies optional criteria for room ACs designed 
to provide additional functionality to consumers, such as alerts and 
messages, remote control and energy information, as well as demand 
response (DR) capabilities, which support the inclusion of room ACs in 
smart grid applications (hereafter ``connected room ACs''). These 
capabilities are all considered network functionality, as they require 
the room AC maintain communication continuously or intermittently with 
a server; however, DR functionality is a unique subset that enables 
smart grid communication and active modified operation in response to 
DR signals from an electric utility.
    In the June 2015 RFI, DOE noted that the ENERGY STAR V4.0 criteria 
\48\ may increase the market penetration of connected room ACs and that 
the operation of connected functions may require a significant amount 
of energy. Thus, DOE requested input on whether the test procedure 
should be amended to account for the energy consumed while the room AC 
performs connected functions. Specifically, DOE requested information 
on the connected features available in the market and the energy 
consumption of those features. Furthermore, DOE requested information 
on the current and anticipated market penetration of connected room 
ACs. 80 FR 34843, 34848 (June 18, 2015).
---------------------------------------------------------------------------

    \48\ The optional criteria for connected room air conditioners 
contained in ENERGY STAR V4.0 are identical to those contained in 
the currently applicable V4.1 version.
---------------------------------------------------------------------------

    The Joint Advocates stated that there were already seven 
``connected'' models in the ENERGY STAR list of certified room ACs as 
of August 29, 2017, and as more are introduced into the market, there 
may be significant and continuous additional energy consumption due to 
the connected functionality operating in an ``always on'' standby mode. 
The Joint Advocates suggested that the test procedure for room ACs 
should capture any power consumption associated with connected features 
to encourage manufacturers to provide connected functionality with low 
power consumption. (Joint Advocates, No. 6 at p. 4) DOE reiterates its 
request for comment on network connectivity issues in light of the 
September 17, 2018 RFI.
    The Joint Commenters and California IOUs encouraged DOE to consider 
amending the existing room AC test procedure to include the energy 
consumption of connected features for connected room ACs. These 
commenters expect that connected room ACs, which can support smart grid 
interconnection, would become more common with the publication of the 
ENERGY STAR V4.0. The California IOUs noted that room ACs typically 
operate during peak hours, so the connected functionalities are 
particularly beneficial to both utilities and consumers by reducing the 
overall load and providing better-informed user control. The California 
IOUs also stated that as the market continues to grow for these 
features, it is important to understand how to measure, capture, and 
monitor the energy consumption and energy reduction that results from 
implementing the connected features. The California IOUs urged DOE to 
include the connected functions in the test procedure if the energy 
impacts are significant. (Joint Commenters, June 2015 RFI, No. 7 at p. 
2; California IOUs, June 2015 RFI, No. 8 at p. 4; California IOUs, No. 
5 at p. 1)
    AHAM stated that an ENERGY STAR test method to evaluate DR 
capabilities had not yet been published, and therefore the market 
penetration for connected room ACs was still minimal. AHAM also stated 
that connected products offer consumers and utilities a unique energy 
savings opportunity by improving grid energy efficiency and allowing 
for peak-load shifting and implementation of renewable power sources). 
Therefore, AHAM suggested that DOE should not revise the room AC test 
procedure to account for the energy consumption associated with 
connected functionality because that would negate the potential 
benefits these products provide. (AHAM, June 2015 RFI, No. 5 at pp. 4-
5)
    On June 7, 2017, DOE and EPA published the final ENERGY STAR 
Program Requirements Product Specification for Room Air Conditioners: 
Test Method to Validate Demand Response (hereafter the ``June 2017 
ENERGY STAR Test Method''). This test method validates that a unit 
complies with ENERGY STAR's DR requirements, which are designed to 
reduce energy consumption upon receipt of a DR signal. However, DOE 
notes that the June 2017 ENERGY STAR Test Method does not measure the 
total energy consumption or average power

[[Page 35731]]

while a unit responds to a DR signal. Further, DOE notes that no 
connected room ACs are currently available on the market that comply 
with the full set of ENERGY STAR V4.1 connected criteria, and 
therefore, the energy consumption cannot be determined for a range of 
products and manufacturers. There is also little available information 
indicating the frequency of received DR signals that are specified in 
the ENERGY STAR connected criteria. As a result, it is not possible to 
determine annual energy use attributed to DR signals. Therefore, given 
the issues raised in the September 17, 2018 RFI and the lack of 
available connected room ACs on the market and lack of energy 
consumption and usage data regarding the DR signals, DOE does not 
propose to amend its room AC test procedure in this rulemaking to 
measure energy consumption while a connected room AC is responding to a 
DR signal.
    DOE requests comment on the proposal not to amend the DOE test 
procedure for room ACs to include energy consumption while a connected 
room AC responds to a DR signal.

I. Combined Energy Efficiency Ratio

    The current room AC energy efficiency metric, CEER, accounts for 
the cooling provided by the room AC in cooling mode as a function of 
the total energy consumption in cooling mode and inactive mode or off 
mode. In the June 2015 RFI, DOE requested comment on the merits and 
limitations of revising the room AC test procedure and efficiency 
metric to account for energy consumption in various modes, such as 
cooling mode, heating mode, off-cycle mode, inactive mode, and off 
mode. 80 FR 34843, 34846 (June 18, 2015).
    AHAM opposed adding additional energy metrics for room ACs, noting 
that the industry recently implemented product redesigns adding standby 
and off mode energy consumption in the overall efficiency metric, in 
response to the CEER established in the January 2011 Final Rule. As 
previously discussed in section III.E.3 of this document for off-cycle 
mode specifically, AHAM suggested that an additional metric would 
require another burdensome redesign and any new mode definitions and 
metrics would complicate the test procedure and increase the test 
burden. (AHAM, June 2015 RFI, No. 5 at p. 2) As discussed in section 
III.E.2 and section III.E.3 of this document, respectively, DOE is not 
proposing a heating mode or off-cycle mode test in appendix F. Further, 
although DOE is proposing a new test procedure for variable-speed room 
ACs that requires testing at additional outdoor test conditions, the 
new variable-speed room AC test procedure calculations produce a CEER 
value comparable to the existing CEER metric for single-speed units. 
The new calculations would not change the procedure for single-speed 
units.
    DOE requests comment on the proposal to maintain the current CEER 
calculations for single-speed room ACs.

J. Certification and Verification Requirements

    In a direct final rule published on April 22, 2011 (hereafter the 
``April 2011 Direct Final Rule''), DOE published amended energy 
conservation standards for room ACs, with a compliance date of June 1, 
2014. 76 FR 22454. The amended standards reflect performance in standby 
mode or off mode, based on a new performance metric, CEER, expressed in 
Btu/Wh. However, the sampling plan and certification reporting 
requirements in 10 CFR 429.15(a)(2)(ii) and (b)(2) were not updated in 
the April 2011 Direct Final Rule. DOE proposes in this NOPR to update 
those requirements to conform to the current metric by requiring the 
reporting of the CEER metric and to remove references to the previous 
performance metric, EER. For variable-speed room ACs, DOE proposes to 
require the additional reporting of cooling capacity and electrical 
input power for each of the three additional test conditions as part of 
a supplemental PDF that would be referenced within the manufacturer's 
certification report.
    Friedrich urged DOE to examine the enforcement procedure for room 
AC standards, noting that CEER measurements can differ by 2 to 3 
percent from laboratory to laboratory, especially for units rated below 
12,000 Btu/h. Friedrich expressed the view that the current enforcement 
methodology fails to account for this variation. (Friedrich, No. 2 at 
p. 7)
    DOE appreciates the comment by Friedrich, although it is outside 
the scope of this rulemaking. DOE may consider this information in the 
future if DOE conducts a rulemaking that would address certification 
and enforcement procedures and encourages Friedrich to submit its 
comment in any such rulemaking.

K. Reorganization of Calculations Currently in 10 CFR 430.23

    Currently, 10 CFR 430.23(f) contains instructions for determining a 
room AC's estimated annual operating cost, with calculations described 
for the average annual energy consumption, combined annual energy 
consumption, EER, and CEER.
    DOE proposes to move the formula for a unit's CEER from 10 CFR 
430.23(f) to appendix F, to mitigate potential confusion, harmonize 
with the approach used for other products, and improve the readability 
of the calculations currently in 10 CFR 430.23(f) and appendix F. 
Similarly, DOE proposes to remove the formulas for average annual 
energy consumption in cooling mode and combined annual energy 
consumption from 10 CFR 430.23(f) and instead add formulas for annual 
energy consumption for each operating mode in appendix F.
    Because the EER performance metric is does not apply to either 
current or future manufacturing, DOE proposes removing the EER formula 
from 10 CFR 430.23(f), and also proposes to remove the formulas for 
overall annual energy consumption in that section (i.e., a combined 
annual energy consumption as well as an average annual energy 
consumption). Instead, DOE proposes to update the estimated annual 
operating cost calculation in 10 CFR 430.23(f) to reference energy 
consumption values calculated in appendix F.
    Finally, DOE proposes to include in 10 CFR 429.15(a)(3) through (5) 
and (b)(3) and 10 CFR 430.23(f) instructions to round cooling capacity 
to the nearest 100 Btu/h, electrical input power to the nearest 10 W, 
and CEER to the nearest 0.1 Btu/Wh, to provide consistency in room AC 
capacity, electrical input power, and efficiency representations.
    DOE requests comment on the proposed rounding instructions in 
appendix F for cooling capacity, electrical input power, and CEER and 
to revise the estimated annual operating cost calculation to now 
reference the annual energy consumption for each operating mode as 
calculated in appendix F, as opposed to the annual energy consumption 
calculation currently located in 10 CFR 430.23.

L. Test Procedure Costs, Harmonization, and Other Topics

1. Test Procedure Costs and Impact
    EPCA requires that test procedures proposed by DOE not be unduly 
burdensome to conduct. In this NOPR, DOE proposes to amend the existing 
test procedure for room ACs by (1) updating industry standard 
references to the current versions; (2) adopting procedures for 
variable-speed room ACs that reflect the relative efficiency gains 
compared to single-speed room ACs; (3) adopting new definitions 
consistent with the proposed amendments; and (4) providing 
specifications and minor corrections to improve the test procedure 
repeatability, reproducibility,

[[Page 35732]]

and overall readability. DOE has tentatively determined that these 
proposed amendments would not be unduly burdensome for manufacturers to 
conduct.
    Based on review of the Compliance Certification Database in DOE's 
Compliance Certification Management System, DOE has identified 812 
basic models of room ACs, representing 31 manufacturers.\49\ However, 
this number likely is artificially high. DOE frequently finds that 
manufacturers fail to report a model as discontinued. DOE's analysis of 
this proposal indicates that, if finalized, the only cost savings or 
additional costs to manufacturers would be those already being incurred 
for variable-speed room ACs under the LG Waiver and Grant of Midea 
Interim Waiver.
---------------------------------------------------------------------------

    \49\ https://www.regulations.doe.gov/certification-data/CCMS-4-Air_Conditioners_and_Heat_Pumps_-_Room_Air_Conditioners.html. 
Accessed October 8th, 2018.
---------------------------------------------------------------------------

a. Variable-Speed Test Impact
    As discussed in section III.C.1 of this document, DOE proposes to 
add three additional cooling mode test conditions to the appendix F 
test procedure for variable-speed room ACs to better reflect the 
relative efficiency improvements of variable-speed ACs compared to 
single-speed room ACs. DOE estimates that the proposed amendments for 
variable-speed room AC would require a total of 14 hours of test 
chamber time, while the current test procedure requires approximately 
two hours of test chamber time. However, as discussed previously, all 
ten basic models (four from LG and six from Midea) currently on the 
market are subject to either the LG Waiver or the Grant of Midea 
Interim Waiver and are generally being tested consistent with the 
proposed amendments in this NOPR. 84 FR 20111 and 84 FR 68159. 
Therefore, the ten variable-speed room AC basic models identified by 
DOE would not need to be re-tested or re-certified if DOE adopts the 
amendments as proposed in this document. Although no other 
manufacturers are currently producing variable-speed room ACs that are 
sold in the United States, the additional testing time described above 
would be applicable to any entities that begin manufacturing a 
variable-speed room AC for introduction to the U.S. market.
    DOE has tentatively concluded that the proposed test procedure in 
this NOPR would not add any industry test burden and that the minimal 
costs associated with the LG Waiver and Grant of Midea Interim Waiver 
test procedure are already being incurred.
    DOE requests comment on the understanding of the estimated impact 
and associated costs to room AC manufacturers of the proposed amendment 
to test variable-speed room ACs.
b. Additional Amendments
    DOE affirms that manufacturers of single-speed room ACs can rely on 
data generated under the current test procedure for single-speed room 
ACs should any of these additional proposed amendments be finalized. 
Therefore, the remainder of the amendments proposed in this NOPR for 
single-speed room ACs would not impact test costs.
2. Harmonization With Industry Standards
    DOE is proposing that the test procedure for room ACs at appendix F 
incorporate by reference certain provisions of ANSI/AHAM RAC-1-2015 and 
ANSI/ASHRAE Standard 16-2016 for active mode testing conditions, 
methods, and calculations, and IEC Standard 62301 Second Edition for 
measuring standby and off mode power consumption.
    DOE seeks comment on the degree to which the DOE test procedure 
should consider and be harmonized further with the most recent relevant 
industry standards for room ACs and whether any changes to the Federal 
test method would provide additional benefits to the public. DOE also 
requests comment on the benefits and burdens of, or any other comments 
regarding adopting any industry or voluntary consensus-based or other 
appropriate test procedure, without modification.
    DOE notes that current industry test procedures, ANSI/AHAM RAC-1-
2015 and ANSI/ASHRAE Standard 16-2016 do not include test procedures 
for variable-speed units, such as the multiple test conditions proposed 
in this NOPR. DOE requests comment on whether the industry is 
considering updating its standards for room AC testing to include 
provisions for testing variable-speed room ACs.
3. Other Test Procedure Topics
    In addition to the issues identified earlier in this document, DOE 
welcomes comment on any other aspect of the existing test procedure for 
room ACs not already addressed by the specific areas identified in this 
document. DOE particularly seeks information that would improve the 
representativeness of the test procedure, as well as information that 
would help DOE create a procedure that would limit manufacturer test 
burden. Comments regarding repeatability and reproducibility are also 
welcome.
    DOE also requests information that would help DOE create procedures 
that would limit manufacturer test burden through streamlining or 
simplifying testing requirements. In particular, DOE notes that under 
Executive Order 13771, ``Reducing Regulation and Controlling Regulatory 
Costs,'' Executive Branch agencies such as DOE must manage the costs 
associated with the imposition of expenditures required to comply with 
Federal regulations. See 82 FR 9339 (Feb. 3, 2017). Consistent with 
that Executive Order, DOE encourages the public to provide input on 
measures DOE could take to lower the cost of its regulations applicable 
to room ACs consistent with the requirements of EPCA.

M. Compliance Date and Waivers

    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 180 days after 
publication of such a test procedure final rule in the Federal 
Register. (42 U.S.C. 6293(c)(2)) If DOE were to publish an amended test 
procedure for room ACs, EPCA provides an allowance for individual 
manufacturers to petition DOE for an extension of the 180-day period if 
the manufacturer would experience undue hardship in meeting the 180-day 
deadline. (42 U.S.C. 6293(c)(3)) To receive such an extension, a 
manufacturer must file a petition with DOE no later than 60 days before 
the end of the 180-day period and detail how the manufacturer will 
experience undue hardship. (Id.)
    Upon the compliance date of an amended test procedure, if DOE 
issues such an amendment, any waivers that had been previously issued 
and are in effect that pertain to issues addressed by the amended test 
procedure terminate. 10 CFR 430.27(h)(2). Recipients of any such 
waivers would be required to test products subject to the waiver 
according to the amended test procedure as of the effective date of the 
amended test procedure. There is currently one waiver from the test 
procedure for room ACs for four variable-speed models manufactured by 
LG. In a decision and order published on May 8, 2019, DOE granted this 
waiver from DOE's room AC test procedure. 84 FR 20111. Additionally, 
there is one interim waiver from the room AC test procedure for six 
variable-speed models, manufactured by Midea, that DOE

[[Page 35733]]

granted on December 13, 2019 (84 FR 68159) that would also terminate 
upon the compliance date of such an amended test procedure.

IV. Procedural Issues and Regulatory Review

A. Review Under Executive Order 12866

    The Administrator of the Office of Information and Regulatory 
Affairs (OIRA) in the Office of Management and Budget (OMB) has 
determined that the proposed regulatory action is a significant 
regulatory action under section (3)(f) of Executive Order 12866. 
Accordingly, this action was reviewed by OIRA in the Office of 
Management and Budget (OMB).

B. Review Under Executive Orders 13771 and 13777

    On January 30, 2017, the President issued Executive Order (E.O.) 
13771, ``Reducing Regulation and Controlling Regulatory Costs.'' See 82 
FR 9339 (Feb. 3, 2017). E.O. 13771 stated the policy of the executive 
branch is to be prudent and financially responsible in the expenditure 
of funds, from both public and private sources. E.O. 13771 stated it is 
essential to manage the costs associated with the governmental 
imposition of private expenditures required to comply with Federal 
regulations.
    Additionally, on February 24, 2017, the President issued E.O. 
13777, ``Enforcing the Regulatory Reform Agenda.'' 82 FR 12285 (March 
1, 2017). E.O. 13777 required the head of each agency designate an 
agency official as its Regulatory Reform Officer (RRO). Each RRO 
oversees the implementation of regulatory reform initiatives and 
policies to ensure that agencies effectively carry out regulatory 
reforms, consistent with applicable law. Further, E.O. 13777 requires 
the establishment of a regulatory task force at each agency. The 
regulatory task force is required to make recommendations to the agency 
head regarding the repeal, replacement, or modification of existing 
regulations, consistent with applicable law. At a minimum, each 
regulatory reform task force must attempt to identify regulations that:
    (i) Eliminate jobs, or inhibit job creation;
    (ii) Are outdated, unnecessary, or ineffective;
    (iii) Impose costs that exceed benefits;
    (iv) Create a serious inconsistency or otherwise interfere with 
regulatory reform initiatives and policies;
    (v) Are inconsistent with the requirements of Information Quality 
Act, or the guidance issued pursuant to that Act, in particular those 
regulations that rely in whole or in part on data, information, or 
methods that are not publicly available or that are insufficiently 
transparent to meet the standard for reproducibility; or
    (vi) Derive from or implement Executive Orders or other 
Presidential directives that have been subsequently rescinded or 
substantially modified.
    DOE initially concludes that this rulemaking is consistent with the 
directives set forth in these executive orders. This proposed rule 
would not yield any cost savings or additional costs to manufacturers 
other than those already being incurred for variable-speed room ACs 
under the LG Waiver and the Grant of Midea Interim Waiver.

C. 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 (IFRA) 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 (Aug. 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: http://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 proposed rule prescribes amended test procedures 
to measure the energy consumption of room ACs in cooling mode, standby 
modes, and off mode. DOE tentatively concludes that this proposed rule 
would not have a significant impact on a substantial number of small 
entities, and the factual basis for this certification is set forth in 
the following paragraphs.
    The Small Business Administration (SBA) considers a business entity 
to be small business, if, together with its affiliates, it employs less 
than a threshold number of workers specified in 13 CFR part 121. These 
size standards and codes are established by the North American Industry 
Classification System (NAICS) and are available at https://www.sba.gov/document/support--table-size-standards. Room AC manufacturing is 
classified under NAICS 333415, ``Air-Conditioning and Warm Air Heating 
Equipment and Commercial and Industrial Refrigeration Equipment 
Manufacturing.'' The SBA sets a threshold of 1,250 employees or fewer 
for an entity to be considered as a small business for this category.
    DOE used DOE's Compliance Certification Database \50\ to create a 
list of companies that sell room ACs covered by this rulemaking in the 
United States. Additionally, DOE surveyed the AHAM member directory to 
identify manufacturers of room ACs. DOE then consulted other publicly 
available data, purchased company reports from vendors such as Dun and 
Bradstreet, and contacted manufacturers, where needed, to determine if 
they meet the SBA's definition of a ``small business manufacturing 
facility'' and have their manufacturing facilities located within the 
United States. Based on this analysis, DOE is unable to identify any 
small businesses that currently manufacture room ACs in the United 
States.
---------------------------------------------------------------------------

    \50\ https://www.regulations.doe.gov/certification-data. 
Accessed October 5, 2018
---------------------------------------------------------------------------

    Because DOE identified no small businesses that manufacture room 
ACs in the United States, DOE tentatively concludes that the impacts of 
the test procedure amendments proposed in this NOPR would not have a 
``significant economic impact on a substantial number of small 
entities,'' and that the preparation of an IRFA is not warranted. DOE 
will transmit the certification and supporting statement of factual 
basis to the Chief Counsel for Advocacy of the Small Business 
Administration for review under 5 U.S.C. 605(b).
    DOE seeks comment on the finding that there are no small businesses 
that manufacture room ACs.

D. Review Under the Paperwork Reduction Act of 1995

    Manufacturers of room ACs must certify to DOE that their products 
comply with any applicable energy conservation standards. To certify 
compliance, manufacturers must first obtain test data for their 
products according to the DOE test procedures, including any amendments 
adopted for those test procedures. DOE has established regulations for 
the certification and recordkeeping requirements for all covered 
consumer products and commercial equipment, including room ACs. (See 
generally 10 CFR part 429.) The collection-of-information requirement 
for the certification and recordkeeping is

[[Page 35734]]

subject to review and approval by OMB under the Paperwork Reduction Act 
(PRA). This requirement has been approved by OMB under OMB control 
number 1910-1400. Public reporting burden for the certification is 
estimated to average 35 hours per response, including the time for 
reviewing instructions, searching existing data sources, gathering and 
maintaining the data needed, and completing and reviewing the 
collection of information.
    Notwithstanding any other provision of the law, no person is 
required to respond to, nor shall any person be subject to a penalty 
for failure to comply with, a collection of information subject to the 
requirements of the PRA, unless that collection of information displays 
a currently valid OMB Control Number.

E. Review Under the National Environmental Policy Act of 1969

    DOE is analyzing this proposed regulation in accordance with the 
National Environmental Policy Act of 1969 (NEPA) and DOE's NEPA 
implementing regulations (10 CFR part 1021). DOE's regulations include 
a categorical exclusion for rulemakings interpreting or amending an 
existing rule or regulation that does not change the environmental 
effect of the rule or regulation being amended. 10 CFR part 1021, 
subpart D, Appendix A5. DOE anticipates that this rulemaking qualifies 
for categorical exclusion A5 because it is an interpretive rulemaking 
that does not change the environmental effect of the rule and otherwise 
meets the requirements for application of a categorical exclusion. See 
10 CFR 1021.410. DOE will complete its NEPA review before issuing the 
final rule.

F. Review Under Executive Order 13132

    Executive Order 13132, ``Federalism,'' 64 FR 43255 (Aug. 4, 1999) 
imposes certain requirements on agencies formulating and implementing 
policies or regulations that preempt State law or that have federalism 
implications. The Executive Order requires agencies to examine the 
constitutional and statutory authority supporting any action that would 
limit the policymaking discretion of the States and to carefully assess 
the necessity for such actions. The 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.

G. 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.

H. Review Under the Unfunded Mandates Reform Act of 1995

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

I. 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.

J. Review Under Executive Order 12630

    DOE has determined, under Executive Order 12630, ``Governmental 
Actions and Interference with Constitutionally Protected Property 
Rights,'' 53 FR 8859 (March 18, 1988), that this regulation would not 
result in any takings that might require compensation under the Fifth 
Amendment to the U.S. Constitution.

K. 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

[[Page 35735]]

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). DOE has reviewed this proposed rule under the OMB and 
DOE guidelines and has concluded that it is consistent with applicable 
policies in those guidelines.

L. Review Under Executive Order 13211

    Executive Order 13211, ``Actions Concerning Regulations That 
Significantly Affect Energy Supply, Distribution, or Use,'' 66 FR 28355 
(May 22, 2001), requires Federal agencies to prepare and submit to OMB, 
a Statement of Energy Effects for any proposed significant energy 
action. A ``significant energy action'' is defined as any action by an 
agency that promulgated or is expected to lead to promulgation of a 
final rule, and that (1) is a significant regulatory action under 
Executive Order 12866, or any successor order; and (2) is likely to 
have a significant adverse effect on the supply, distribution, or use 
of energy; or (3) is designated by the Administrator of OIRA as a 
significant energy action. For any proposed significant energy action, 
the agency must give a detailed statement of any adverse effects on 
energy supply, distribution, or use should the proposal be implemented, 
and of reasonable alternatives to the action and their expected 
benefits on energy supply, distribution, and use.
    The proposed regulatory action to amend the test procedure for 
measuring the energy efficiency of room ACs 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.

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

    Under section 301 of the Department of Energy Organization Act 
(Public Law 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 FTC concerning the impact of the commercial or industry standards 
on competition.
    The proposed modifications to the test procedure for room ACs 
adopted in this final rule incorporates testing methods contained in 
certain sections of the following commercial standards: ``Room Air 
Conditioners,'' ANSI/AHAM RAC-1-2015, ``Method of Testing for Rating 
Room Air Conditioners, Packaged Terminal Air Conditioners, and Packaged 
Terminal Heat Pumps for Cooling and Heating Capacity,'' ANSI/ASHRAE 
Standard 16-2016, and ``Household electrical appliances--Measurement of 
standby power,'' IEC 62301 Edition 2.0, 2011-01. 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.

N. Description of Materials Incorporated by Reference

    In this NOPR, DOE proposes to incorporate by reference the test 
standard published by AHAM, titled ``Room Air Conditioners,'' ANSI/AHAM 
RAC-1-2015. ANSI/AHAM RAC-1-2015 is an industry-accepted test procedure 
that measures room AC performance in cooling mode, in addition to other 
modes. ANSI/AHAM RAC-1-2015 specifies testing conducted in accordance 
with other industry-accepted test procedures (already incorporated by 
reference) and determines energy efficiency metrics for various room AC 
operating modes. The proposed amendments in this NOPR include updating 
references to various sections in ANSI/AHAM RAC-1-2015 that address 
test setup, instrumentation, test conduct, calculations, and rounding. 
ANSI/AHAM RAC-1-2015 is reasonably available at https://www.aham.org/ht/d/Store/.
    In this NOPR, DOE also proposes to incorporate by reference the 
test standard published by ASHRAE, titled ``Method of Testing for 
Rating Room Air Conditioners and Packaged Terminal Air Conditioners,'' 
ANSI/ASHRAE Standard 16-2016. ANSI/ASHRAE Standard 16-2016 is an 
industry-accepted test procedure that provides means for testing and 
determining the cooling and heating capacities of room ACs and packaged 
terminal air conditioners (PTACs), using either a calorimeter method or 
air-enthalpy method. The proposed amendments in this NOPR include 
updated general references to ANSI/ASHRAE Standard 16-2016, that 
address all areas of testing including installation, test setup, 
instrumentation, test conduct, data collection, and calculations. ANSI/
ASHRAE Standard 16-2016 is reasonably available at https://webstore.ansi.org/.
    In this NOPR, DOE also proposes to incorporate by reference several 
test standards published by ASHRAE: ``Standard Method for Temperature 
Measurement,'' ANSI/ASHRAE Standard 41.1-2013, ``Standard Methods for 
Air Velocity and Airflow Measurement,'' ANSI/ASHRAE Standard 41.2-1987 
(RA 1992), ``Standard Methods for Pressure Measurement,'' ANSI/ASHRAE 
Standard 41.3-2014, ``Standard Methods for Humidity Measurement,'' 
ANSI/ASHRAE Standard 41.6-2014, and ``Standard Methods for Power 
Measurement,'' ANSI/ASHRAE Standard 41.11-2014. These standards are 
industry-accepted test procedures that prescribe methods and 
instruments for measuring temperature, air velocity, pressure, 
humidity, and power, respectively. These standards are cited by ANSI/
ASHRAE Standard 16-2016, which this NOPR proposes to incorporate by 
reference. These standards are reasonably available at https://webstore.ansi.org/.
    In this NOPR, DOE also proposes to incorporate by reference the 
test standard IEC 62301, titled ``Household electrical appliances--
Measurement of standby power,'' (Edition 2.0, 2011-01) for appendix F. 
IEC 62301 is an industry-accepted test standard that sets a 
standardized method to measure the standby power of household and 
similar electrical appliances and is already incorporated by reference 
for a number of other DOE test procedures. IEC Standard 62301 Second 
Edition includes details regarding test set-up, test conditions, and 
stability requirements that are necessary to ensure consistent and 
repeatable standby and off-mode test results. IEC Standard 62301 Second 
Edition is reasonably available at https://webstore.iec.ch/ and http://www.webstore.ansi.org. The proposed amendments in this NOPR include 
updating general references to IEC 62301 from the First Edition to the

[[Page 35736]]

Second Edition and adopting a new standby power test approach.

V. Public Participation

A. Participation in the Webinar

    The time and date of the webinar are listed in the DATES section at 
the beginning of this document. If no participants register for the 
webinar, then it will be cancelled.
    Webinar registration information, participant instructions, and 
information about the capabilities available to webinar participants 
will be published on DOE's website: http://www1.eere.energy.gov/buildings/appliance_standards/product.aspx/productid/41. Participants 
are responsible for ensuring their systems are compatible with the 
webinar software.
    Additionally, you may request an in-person meeting to be held prior 
to the close of the request period provided in the DATES section of 
this document. Requests for an in-person meeting may be made by 
contacting Appliance and Equipment Standards Program staff at (202) 
287-1445 or by email: [email protected].

B. 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 proposed 
rule.
    Submitting comments via http://www.regulations.gov. The http://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. Following this instruction, 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 http://www.regulations.gov information for which 
disclosure is restricted by statute, such as trade secrets and 
commercial or financial information (hereafter referred to as 
Confidential Business Information (CBI)). Comments submitted through 
http://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 http://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 http://www.regulations.gov provides after you have successfully uploaded your 
comment.
    Submitting comments via email, hand delivery, or mail. Comments and 
documents submitted via email, hand delivery, or mail also will be 
posted http://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 mail or hand 
delivery, please provide all items on a CD, if feasible, in which case 
it is not necessary to submit printed copies. No faxes will be 
accepted.
    Comments, data, and other information submitted to DOE 
electronically should be provided in PDF (preferred), Microsoft Word or 
Excel, WordPerfect, or text (ASCII) file format. Provide documents that 
are not secured, written in English and free of any defects or viruses. 
Documents should not contain special characters or any form of 
encryption and, if possible, they should carry the electronic signature 
of the author.
    Campaign form letters. Please submit campaign form letters by the 
originating organization in batches of between 50 to 500 form letters 
per PDF or as one form letter with a list of supporters' names compiled 
into one or more PDFs. This reduces comment processing and posting 
time.
    Confidential Business Information. According 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, postal mail, or hand delivery 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. 
Submit these documents via email to [email protected] or on a 
CD, if feasible. 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).

C. 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:

(1) The proposed amendments to the room AC definition in 10 CFR 430.2. 
(See section III.A of this document)
(2) The proposed new beginning section to appendix F that would 
explicitly state the scope of coverage. (See section III.A of this 
document)
(3) The proposal to incorporate by reference ANSI/AHAM RAC-1-2015, and 
to adjust the section references in appendix F, to more narrowly refer 
to the cooling mode-specific sections and to update the section 
reference for measuring electrical power input. (See section III.B.1 of 
this document)
(4) The proposal to reference the relevant sections of ANSI/ASHRAE 
Standard 16-2016 in appendix F. (See section III.B.2 of this document)
(5) The proposal to incorporate the requirements of ANSI/ASHRAE 
Standard 16-2016 while

[[Page 35737]]

maintaining that an accuracy of 0.5 percent of the quantity 
measured is applicable to all devices measuring electrical input for 
the room AC test procedure. (See section III.B.2 of this document)
(6) The proposal to incorporate ANSI/ASHRAE Standard 41.1-2013, ANSI/
ASHRAE Standard 41.2-1987 (RA 1992), ANSI/ASHRAE Standard 41.3-2014, 
ANSI/ASHRAE Standard 41.6-2014, and ANSI/ASHRAE Standard 41.11-2014 in 
appendix F. (See section III.B.3 of this document)
(7) The proposal to adopt the additional test conditions from the LG 
Waiver test procedure for variable-speed room ACs. (See section III.C.2 
of this document)
(8) The proposal to require fixing the compressor speed settings for 
variable-speed room ACs to full speed at the 95 [deg]F and 92 [deg]F 
test conditions, intermediate speed at the 87 [deg]F test condition, 
and low speed at the 82 [deg]F test condition. (See section III.C.3.a 
of this document)
(9) The proposal to require that manufacturers provide the third-party 
lab with the control settings required to achieve the fixed compressor 
speed for each test condition. (See section III.C.3.b of this document)
(10) The proposal to not address boost compressor speed performance and 
energy consumption in appendix F at this time. (See section III.C.3.c 
of this document)
(11) The proposal to use the capacity and electrical power adjustment 
factors of 0.0099 per [deg]F and 0.0076 per [deg]F, respectively. (See 
section III.C.4 of this document)
(12) The proposal to implement cycling loss factors consistent with 
AHRI Standard 210/240 to represent the expected performance of a 
theoretical comparable single-speed room AC at reduced outdoor 
temperature test conditions. (See section III.C.5 of this document)
(13) The proposed weighting factors associated with each of the outdoor 
test conditions. (See section III.C.6 of this document)
(14) The proposed calculations to determine a performance adjustment 
factor, which would credit the CEER of variable-speed room ACs to 
account for their efficiency improvements relative to a theoretical 
comparable single-speed room AC under varying test conditions. (See 
section III.C.7 of this document)
(15) The proposal not to allow for an optional alternative air-enthalpy 
test approach for room ACs. (See section III.C.8 and section III.E.1.c 
of this document)
(16) The proposal to include compressor frequencies and control 
settings as additional product-specific information for certifications 
involving variable-speed room ACs in 10 CFR 429.15. (See section 
III.C.9 and section III.J of this document)
(17) The proposal to calculate estimated annual operating cost for 
variable-speed room ACs using a weighted-average annual energy 
consumption based on the four cooling mode test conditions in newly 
added Table 1 of appendix F. (See section III.C.10 of this document)
(18) The proposal to report variable-speed room AC input power for 
certification purposes using the value measured at the 95 [deg]F rating 
condition. (See section III.C.10 of this document)
(19) The proposal to add new definitions for cooling mode, cooling 
capacity, combined energy efficiency ratio, single-speed room air 
conditioner, variable-speed room air conditioner, variable-speed 
compressor, full compressor speed (full), intermediate compressor speed 
(intermediate), and low compressor speed (low) in appendix F. (See 
section III.D of this document)
(20) The proposal to specify in appendix F that room ACs designed for 
through-the-wall installation (i.e., non-louvered room ACs) must be 
installed using a compatible wall sleeve (per manufacturer 
instructions), with the provided or manufacturer-required rear grille, 
and with the included trim frame and other manufacturer-provided 
installation materials. (See section III.E.1.d of this document)
(21) The proposal, consistent with ANSI/ASHRAE Standard 16-2016, 
Sections 6.1.1.4 and Section 8.4.2, to not require that room ACs 
designed for window installation (i.e., louvered room ACs) be installed 
with the manufacturer-provided installation materials, including side 
curtains, and instead be tested with the partition wall sealed to the 
unit. (See section III.E.1.d of this document)
(22) The proposal to not include additional cooling mode test 
conditions for single-speed room ACs. (See section III.E.1.e of this 
document)
(23) The proposal to not establish requirements for measuring and 
reporting the power factors for room ACs. (See section III.E.1.f of 
this document)
(24) The proposal to not establish a heating mode test procedure for 
room ACs at this time. (See section III.E.2 of this document)
(25) The proposal to not establish a definition or test procedure for 
off-cycle mode. (See section III.E.3 of this document)
(26) The proposal to incorporate provisions from IEC Standard 62301 
Second Edition for measuring standby mode and off mode power. (See 
section III.F of this document)
(27) The proposal to reference the power equipment specifications from 
Section 4.4 of IEC Standard 62301 Second Edition for determining 
standby mode and off mode power in appendix F. (See section III.F.1.a 
of this document)
(28) The proposal to adopt and reference the sampling method from 
Section 5.3.2 of IEC Standard 62301 Second Edition to determine standby 
mode and off mode average power in appendix F. (See section III.F.1.b 
of this document)
(29) The proposal to specify that all network or connectivity settings 
must be disabled during testing. (See section III.G of this document)
(30) The proposal to not amend the DOE test procedure for room ACs to 
consider energy consumption while a connected room AC responds to a DR 
signal. (See section III.H of this document)
(31) The proposal to maintain the current CEER calculations for single-
speed room ACs at this time. (See section III.I of this document)
(32) The proposed rounding instructions in appendix F for cooling 
capacity, electrical input power, and CEER and to adjust the estimated 
annual operating cost calculation to reference the annual energy 
consumption for each operating mode as calculated in appendix F. (See 
section III.K of this document)
(33) The understanding of the estimated impact and associated costs to 
room AC manufacturers of the proposed amendment to test variable-speed 
room ACs. (See section III.L.1.a of this document)
(34) The degree to which the DOE test procedure should consider and be 
harmonized further with the most recent relevant industry standards for 
room ACs and whether any changes to the Federal test method would 
provide additional benefits

[[Page 35738]]

to the public. (See section III.L.2 of this document)
(35) The benefits and burdens of adopting any industry or voluntary 
consensus-based or other appropriate test procedure, without 
modification. (See section III.L.2 of this document)
(36) Whether the industry is considering updating its standards for 
room AC testing to include provisions for testing variable-speed room 
ACs. (See section III.L.2 of this document)
(37) Any other aspect of the existing test procedure for room ACs not 
already addressed by the specific areas identified in this document. 
(See section III.L.3 of this document)
(38) The finding that there are no small businesses that manufacture 
room ACs. (See section IV.C of this document)

VI. Approval of the Office of the Secretary

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

List of Subjects

10 CFR Part 429

    Administrative practice and procedure, Confidential business 
information, Energy conservation, Household appliances, Reporting and 
recordkeeping requirements.

10 CFR Part 430

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

Signing Authority

    This document of the Department of Energy was signed on April 30, 
2020, by Alexander N. Fitzsimmons, Deputy Assistant Secretary for 
Energy Efficiency, 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 May 20, 2020.
Treena V. Garrett,
Federal Register Liaison Officer, U.S. Department of Energy.

    For the reasons stated in the preamble, DOE is proposing to amend 
parts 429 and 430 of Chapter II of Title 10, Code of Federal 
Regulations as set forth below:

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

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

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

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


Sec.  429.15   Room air conditioners.

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

PART 430--ENERGY CONSERVATION PROGRAM FOR CONSUMER PRODUCTS

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

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

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


Sec.  430.2   Definitions.

* * * * *
    Room air conditioner means a window-mounted or through-the-wall-
mounted encased assembly, other than a ``packaged terminal air 
conditioner,'' that delivers cooled, conditioned air to an enclosed 
space, and is powered by single-phase electric current. It includes a 
source of refrigeration and may include additional means for 
ventilating and heating.
* * * * *
0
5. Section 430.3 is amended by:
0
a. Revising paragraph (g)(1);
0
b. In paragraph (g)(6), removing, ``appendix X1'', and adding in its 
place, ``appendices F and X1'';
0
c. Redesignating paragraphs (g)(11) through (14) as (g)(15) through 
(18), respectively;
0
d. Redesignating paragraphs (g)(9) as (g)(12), and (g)(10) as (g)(13);
0
e. Redesignating paragraph (g)(8) as (g)(9);
0
f. Adding new paragraphs (g)(8), (10), (11), and (14);
0
g. Revising paragraph (i)(6);
0
g. In paragraph (p)(5), removing ``appendix F and''; and

[[Page 35739]]

0
h. In paragraph (p)(6), adding ``F,'' before ``G''.
    The revisions and additions read as follows:


Sec.  430.3   Materials incorporated by reference.

* * * * *
    (g) * * *
    (1) ANSI/ASHRAE Standard 16-2016 (``ANSI/ASHRAE 16''), Method of 
Testing for Rating Room Air Conditioners, Packaged Terminal Air 
Conditioners, and Packaged Terminal Heat Pumps for Cooling and Heating 
Capacity, ASHRAE approved October 31, 2016, ANSI approved November 1, 
2016, IBR approved for appendix F to subpart B.
* * * * *
    (8) ANSI/ASHRAE Standard 41.2-1987 (RA 1992), (``ASHRAE 41.2-1987 
(RA 1992)''), Standard Methods for Laboratory Airflow Measurement, ANSI 
reaffirmed April 20, 1992, IBR approved for appendix F to subpart B.
* * * * *
    (10) ANSI/ASHRAE Standard 41.3-2014, (``ASHRAE 41.3-2014''), 
Standard Methods for Pressure Measurement, ANSI approved July 3, 2014, 
IBR approved for appendix F to subpart B.
    (11) ANSI/ASHRAE Standard 41.6-2014, (``ASHRAE 41.6-2014''), 
Standard Method for Humidity Measurement, ANSI approved July 3, 2014, 
IBR approved for appendix F to subpart B.
* * * * *
    (14) ANSI/ASHRAE Standard 41.11-2014, (``ASHRAE 41.11-2014''), 
Standard Methods for Power Measurement, ANSI approved July 3, 2014, IBR 
approved for appendix F to subpart B.
* * * * *
    (i) * * *
    (6) ANSI/AHAM RAC-1-2015 (``ANSI/AHAM RAC-1''), Room Air 
Conditioners, approved 2015, IBR approved for appendix F to subpart B 
of this part.
* * * * *
0
6. Section 430.23 is amended by revising paragraph (f) to read as 
follows:


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

* * * * *
    (f) Room air conditioners. (1) Determine cooling capacity, 
expressed in British thermal units per hour (Btu/h), with the results 
of the test rounded to the nearest 100 Btu/h, as follows:
    (i) For a single-speed room air conditioner, determine the cooling 
capacity in accordance with section 4.1.2 of appendix F of this 
subpart.
    (ii) For a variable-speed room air conditioner, determine the 
cooling capacity in accordance with section 4.1.2 of appendix F of this 
subpart for test condition 1 in Table 1 of appendix F of this subpart.
    (2) Determine electrical power input, expressed in watts (W) and 
rounded to the nearest 10 W as follows:
    (i) For a single-speed room air conditioner, determine the 
electrical power input in accordance with section 4.1.2 of appendix F 
of this subpart.
    (ii) For a variable-speed room air conditioner, determine the 
electrical power input in accordance with section 4.1.2 of appendix F 
of this subpart, for test condition 1 in Table 1 of appendix F of this 
subpart.
    (3) Determine the combined energy efficiency ratio (CEER), 
expressed in British thermal units per watt-hour (Btu/Wh) and rounded 
to the nearest 0.1 Btu/Wh as follows:
    (i) For a single-speed room air conditioner, determine the CEER in 
accordance with section 5.2.2 of appendix F of this subpart.
    (ii) For a variable-speed room air conditioner, determine the CEER 
in accordance with section 5.3.11 of appendix F of this subpart.
    (4) Determine the estimated annual operating cost for a room air 
conditioner, expressed in dollars per year, by multiplying the 
following two factors and rounding as directed:
    (i) For single-speed room air conditioners, the sum of 
AECcool and AECia/om, determined in accordance 
with section 5.2.1 and section 5.1, respectively, of appendix F of this 
subpart. For variable-speed room air conditioners, the sum of 
AECwt and AECia/om, determined in accordance with 
section 5.3.4 and section 5.1, respectively, of appendix F of this 
subpart; and
    (ii) A representative average unit cost of electrical energy in 
dollars per kilowatt-hour as provided by the Secretary. Round the 
resulting product to the nearest dollar per year.
* * * * *
0
7. Appendix F to subpart B of part 430 is revised to read as follows:

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

    Note:  On or after [DATE 180 DAYS AFTER DATE OF PUBLICATION OF 
THE FINAL RULE IN THE FEDERAL REGISTER], any representations made 
with respect to the energy use or efficiency of room air 
conditioners must be made in accordance with the results of testing 
pursuant to this appendix.

    Prior to [DATE 180 DAYS AFTER DATE OF PUBLICATION OF THE FINAL 
RULE IN THE FEDERAL REGISTER], manufacturers must either test room 
air conditioners in accordance with this appendix, or the previous 
version of this appendix as it appeared in the Code of Federal 
Regulations on January 1, 2020. DOE notes that, because 
representations made on or after [DATE 180 DAYS AFTER DATE OF 
PUBLICATION OF THE FINAL RULE IN THE FEDERAL REGISTER] must be made 
in accordance with this appendix, manufacturers may wish to begin 
using this test procedure immediately.

0. Incorporation by Reference

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

(i) Section 4--Testing Conditions, Section 4.1--General, using ANSI/
ASHRAE 16-2016 in place of ANSI/ASHRAE 16-1983 (RA 2014)

(ii) Section 5--Standard Measurement Test, Section 5.2--Standard 
Test Conditions: 5.2.1.1
(iii) Section 6--Performance Tests--Cooling Units, Section 6.1--
Cooling Capacity Test, using ANSI/ASHRAE 16-2016 in place of ANSI/
ASHRAE 16-1983 (RA 2014)
(iv) Section 6--Performance Tests--Cooling Units, Section 6.2--
Electrical Input Test, using ANSI/ASHRAE 16-2016 in place of ANSI/
ASHRAE 16-1983 (RA 2014)

    (2) ANSI/ASHRAE 16:

(i) Section 3--Definitions
(ii) Section 5--Instruments
(iii) Section 6--Apparatus, Section 6.1--Calorimeters, Sections 
6.1.1-6.1.1., 6.1.1.3a, 6.1.1.4-6.1.4, including Table 1
(iv) Section 7--Methods of Testing, Section 7.1--Standard Test 
Methods, Section 7.1a, 7.1.1a
(v) Section 8--Test Procedures, Section 8.1--General
(vi) Section 8--Test Procedures, Section 8.2--Test Room Requirements
(viii) Section 8--Test Procedures, Section 8.3--Air Conditioner 
Break-In
(ix) Section 8--Test Procedures, Section 8.4--Air Conditioner 
Installation
(x) Section 8--Test Procedures, Section 8.5--Cooling Capacity Test
(xi) Section 9--Data To Be Recorded, Section 9.1
(xii) Section 10--Measurement Uncertainty
(xiii) Normative Appendix A Cooling Capacity Calculations--
Calorimeter Test Indoor and Calorimeter Test Outdoor

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

[[Page 35740]]

1. Scope

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

2. Definitions

    2.1 ``Active mode'' means a mode in which the room air 
conditioner is connected to a mains power source, has been activated 
and is performing any of the following functions: Cooling or heating 
the conditioned space, or circulating air through activation of its 
fan or blower, with or without energizing active air-cleaning 
components or devices such as ultra-violet (UV) radiation, 
electrostatic filters, ozone generators, or other air-cleaning 
devices.
    2.2 ``ANSI/AHAM RAC-1'' means the test standard published 
jointly by the American National Standards Institute and the 
Association of Home Appliance Manufacturers, titled ``Room Air 
Conditioners,'' Standard RAC-1-2015 (incorporated by reference; see 
Sec.  430.3).
    2.3 ``ANSI/ASHRAE 16'' means the test standard published jointly 
by the American National Standards Institute and the American 
Society of Heating, Refrigerating, and Air-Conditioning Engineers 
titled ``Method of Testing for Rating Room Air Conditioners and 
Packaged Terminal Air Conditioners,'' Standard 16-2016 (incorporated 
by reference; see Sec.  430.3).
    2.4 ``ANSI/ASHRAE 41.1'' means the test standard published 
jointly by the American National Standards Institute and the 
American Society of Heating, Refrigerating, and Air-Conditioning 
Engineers titled ``Standard Method for Temperature Measurement,'' 
Standard 41.1-2013 (incorporated by reference; see Sec.  430.3).
    2.5 ``ASHRAE 41.2-1987 (RA 1992)'' means the test standard 
published jointly by the American National Standards Institute and 
the American Society of Heating, Refrigerating, and Air-Conditioning 
Engineers titled ``Standard Methods for Laboratory Airflow 
Measurement,'' Standard 41.2-1987 (RA 1992) (incorporated by 
reference; see Sec.  430.3).
    2.6 ``ASHRAE 41.3-2014'' means the test standard published 
jointly by the American National Standards Institute and the 
American Society of Heating, Refrigerating, and Air-Conditioning 
Engineers titled ``Standard Methods for Pressure Measurement,'' 
Standard 41.3-2014 (incorporated by reference; see Sec.  430.3).
    2.7 ``ASHRAE 41.6-2014'' means the test standard published 
jointly by the American National Standards Institute and the 
American Society of Heating, Refrigerating, and Air-Conditioning 
Engineers titled ``Standard Method for Humidity Measurement,'' 
Standard 41.6-2014 (incorporated by reference; see Sec.  430.3).
    2.8 ``ASHRAE 41.11-2014'' means the test standard published 
jointly by the American National Standards Institute and the 
American Society of Heating, Refrigerating, and Air-Conditioning 
Engineers titled ``Standard Methods for Power Measurement,'' 
Standard 41.11-2014 (incorporated by reference; see Sec.  430.3).
    2.9 ``Combined energy efficiency ratio'' means the energy 
efficiency of a room air conditioner in British thermal units per 
watt-hour (Btu/Wh) and determined in section 5.2.2 of this appendix 
for single-speed room air conditioners and section 5.3.12 of this 
appendix for variable-speed room air conditioners.
    2.10 ``Cooling capacity'' means the amount of cooling, in 
British thermal units per hour (Btu/h), provided to a conditioned 
space, measured under the specified conditions and determined in 
section 4.1 of this appendix.
    2.11 ``Cooling mode'' means an active mode in which a room air 
conditioner has activated the main cooling function according to the 
thermostat or temperature sensor signal or switch (including remote 
control).
    2.12 ``Full compressor speed (full)'' means the compressor speed 
at which the unit operates at full load testing conditions, achieved 
by following the instructions certified by the manufacturer.
    2.13 ``IEC 62301'' means the test standard published by the 
International Electrotechnical Commission, titled ``Household 
electrical appliances--Measurement of standby power,'' Publication 
62301 (Edition 2.0 2011-01), (incorporated by reference; see Sec.  
430.3).
    2.14 ``Inactive mode'' means a standby mode that facilitates the 
activation of active mode by remote switch (including remote 
control) or internal sensor or which provides continuous status 
display.
    2.15 ``Intermediate compressor speed (intermediate)'' means the 
compressor speed higher than the low compressor speed by one third 
of the difference between low compressor speed and full compressor 
speed with a tolerance of plus 5 percent (designs with non-discrete 
speed stages) or the next highest inverter frequency step (designs 
with discrete speed steps), achieved by following the instructions 
certified by the manufacturer.
    2.16 ``Low compressor speed (low)'' means the compressor speed 
at which the unit operates at low load test conditions, achieved by 
following the instructions certified by the manufacturer, such that 
Capacity4, the measured cooling capacity at test 
condition 4 in Table 1 of this appendix, is no less than 47 percent 
and no greater than 57 percent of Capacity1, the measured 
cooling capacity with the full compressor speed at test condition 1 
in Table 1 of this appendix.
    2.17 ``Off mode'' means a mode in which a room air conditioner 
is connected to a mains power source and is not providing any active 
or standby mode function and where the mode may persist for an 
indefinite time, including an indicator that only shows the user 
that the product is in the off position.
    2.18 ``Single-speed room air conditioner'' means a type of room 
air conditioner that cannot automatically adjust the compressor 
speed based on detected conditions.
    2.19 ``Standby mode'' means any product mode where the unit is 
connected to a mains power source and offers one or more of the 
following user-oriented or protective functions which may persist 
for an indefinite time:
    (a) To facilitate the activation of other modes (including 
activation or deactivation of active mode) by remote switch 
(including remote control), internal sensor, or timer. A timer is a 
continuous clock function (which may or may not be associated with a 
display) that provides regular scheduled tasks (e.g., switching) and 
that operates on a continuous basis.
    (b) Continuous functions, including information or status 
displays (including clocks) or sensor-based functions.
    2.20 ``Theoretical comparable single-speed room air 
conditioner'' means a theoretical single-speed room air conditioner 
with the same cooling capacity and electrical power input as the 
variable-speed room air conditioner under test, with no cycling 
losses considered, at test condition 1 in Table 1 of this appendix.
    2.21 ``Variable-speed compressor'' means a compressor that can 
vary its rotational speed in non-discrete stages or discrete steps 
from low to full.
    2.22 ``Variable-speed room air conditioner'' means a type of 
room air conditioner that can automatically adjust compressor speed 
based on detected conditions.

3. Test Methods and General Instructions

    3.1 Cooling mode. The test method for testing room air 
conditioners in cooling mode (``cooling mode test'') consists of 
applying the methods and conditions in ANSI/AHAM RAC-1 Section 4, 
Paragraph 4.1 and Section 5, Paragraph 5.2.1.1, except in accordance 
with ANSI/ASHRAE 16, including the references to ANSI/ASHRAE 41.1, 
ANSI/ASHRAE 41.2-1987 (RA 1992), ANSI/ASHRAE 41.3-2014, ANSI/ASHRAE 
41.6-2014, and ANSI/ASHRAE 41.11-2014, all referenced therein, as 
defined in sections 2.3 through 2.8 of this appendix. Use the 
cooling capacity simultaneous indoor calorimeter and outdoor 
calorimeter test method in Section 7.1.a and Sections 8.1 through 
8.5 of ANSI/ASHRAE 16, except as otherwise specified in this 
appendix. If a unit can operate on multiple operating voltages as 
distributed in commerce by the manufacturer, test it and rate the 
corresponding basic models at all nameplate operating voltages. For 
a variable-speed room air conditioner, test the unit following the 
cooling mode test a total of four times: One test at each of the 
test conditions listed in Table 1 of this appendix, consistent with 
section 4.1 of this appendix.
    3.1.1 Through-the-wall installation. Install a non-louvered room 
air conditioner inside a compatible wall sleeve with the provided or 
manufacturer-required rear grille, and with the included trim frame 
and other manufacturer-provided installation materials, per 
manufacturer instructions provided to consumers.
    3.1.2 Power measurement accuracy. All instruments used for 
measuring electrical inputs to the test unit, reconditioning 
equipment, and any other equipment that operates within the 
calorimeter walls must be accurate to 0.5 percent of the 
quantity measured.
    3.1.3 Electrical supply. For cooling mode testing, test at each 
nameplate operating voltage, and maintain the input standard voltage 
within 1 percent. Test at the rated frequency, 
maintained within 1 percent.
    3.1.4 Control settings. If the room air conditioner has network 
capabilities, the

[[Page 35741]]

network settings must be disabled throughout testing.
    3.1.5 Measurement resolution. Record measurements at the 
resolution of the test instrumentation.
    3.1.6 Temperature tolerances. Maintain each of the measured 
chamber dry-bulb and wet-bulb temperatures within a range of 1.0 
[deg]F.
    3.2 Standby and off modes.
    3.2.1 Install the room air conditioner in accordance with 
section 5, paragraph 5.2 of IEC 62301 and maintain the indoor test 
conditions (and outdoor test conditions where applicable) as 
required by section 4, paragraph 4.2 of IEC 62301. If testing is not 
conducted in a facility used for testing cooling mode performance, 
the test facility must comply with section 4, paragraph 4.2 of IEC 
62301.
    3.2.2 Electrical supply. For standby mode and off mode testing, 
test at each nameplate operating voltage, and maintain the input 
standard voltage within 1 percent. Maintain the 
electrical supply at the rated frequency 1 percent.
    3.2.3 Supply voltage waveform. For the standby mode and off mode 
testing, maintain the electrical supply voltage waveform indicated 
in section 4, paragraph 4.3.2 of IEC 62301.
    3.2.4 Wattmeter. The wattmeter used to measure standby mode and 
off mode power consumption must meet the resolution and accuracy 
requirements in Section 4, Paragraph 4.4 of IEC 62301.
    3.2.5 Air ventilation damper. If the unit is equipped with an 
outdoor air ventilation damper, close this damper during standby 
mode and off mode testing.

4. Test Conditions and Measurements

    4.1 Cooling mode.
    4.1.1 Temperature conditions. Establish the test conditions 
described in sections 4 and 5 of ANSI/AHAM RAC-1 and in accordance 
with ANSI/ASHRAE 16, including the references to ANSI/ASHRAE 41.1 
and ANSI/ASHRAE 41.6-2014, for cooling mode testing, with the 
following exceptions for variable-speed room air conditioners: 
Conduct the set of four cooling mode tests with the test conditions 
presented in Table 1 of this appendix. Set the compressor speed 
required for each test condition in accordance with instructions the 
manufacturer provided to DOE.

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

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

5. Calculations

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

AECiaom = Pia x tia + Pom + tom

Where:

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

    5.2 Combined energy efficiency ratio for single-speed room air 
conditioners. Calculate the combined energy efficiency ratio for 
single-speed room air conditioners as follows:
    5.2.1 Single-speed room air conditioner annual energy 
consumption in cooling mode. Calculate the annual energy consumption 
in cooling mode for a single-speed room air conditioner, 
AECcool, expressed in kWh/year.

AECcool = 0.75 x Pcool

Where:

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

    5.2.2 Single-speed room air conditioner combined energy 
efficiency ratio. Calculate the combined energy efficiency ratio, 
CEER, expressed in Btu/Wh, as follows:

[[Page 35742]]

[GRAPHIC] [TIFF OMITTED] TP11JN20.006

Where:

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

    5.3 Combined energy efficiency ratio for variable-speed room air 
conditioners. Calculate the combined energy efficiency ratio for 
variable-speed room air conditioners as follows:
    5.3.1 Weighted electrical power input. Calculate the weighted 
electrical power input in cooling mode, Pwt, expressed in 
watts, as follows:
[GRAPHIC] [TIFF OMITTED] TP11JN20.010

Where:

Pwt = weighted electrical power input, in watts, in 
cooling mode.
Ptc = electrical power input, in watts, in cooling mode 
for each test condition in Table 1 of this appendix.
Wtc = weighting factors for each cooling mode test 
condition: 0.05 for test condition 1, 0.16 for test condition 2, 
0.31 for test condition 3, and 0.48 for test condition 4.
tc represents the cooling mode test condition: ``1'' for test 
condition 1 (95 [deg]F condenser inlet dry-bulb temperature), ``2'' 
for test condition 2 (92 [deg]F), ``3'' for test condition 3 (87 
[deg]F), and ``4'' for test condition 4 (82 [deg]F).

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

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

Pss_tc = P1 x (1--(Mp x (95--
Ttc)))

Where:

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

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

AECtc = 0.75 x Ptc

Where:

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

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

AECwt = [Sigma]tcAECtc x Wtc

Where:

AECwt = weighted annual energy consumption in cooling 
mode for a variable-speed room air conditioner, expressed in kWh/
year.
AECtc = variable-speed room air conditioner unit's annual 
energy consumption, in kWh/year, in cooling mode for each test 
condition in Table 1 of this appendix, determined in section 5.3.3 
of this appendix.
Wtc = weighting factors for each cooling mode test 
condition: 0.05 for test condition 1, 0.16 for test condition 2, 
0.31 for test condition 3, and 0.48 for test condition 4.
tc as explained in section 5.3.1 of this appendix.

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

AECss\tc = 0.75 x Pss\tc

Where:

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

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

[[Page 35743]]

[GRAPHIC] [TIFF OMITTED] TP11JN20.007

Where:

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

    5.3.7 Theoretical comparable single-speed room air conditioner 
combined energy efficiency ratio. Calculate the combined energy 
efficiency ratio for a theoretical comparable single-speed room air 
conditioner, CEERss_tc, for each test condition, 
expressed in Btu/Wh.
[GRAPHIC] [TIFF OMITTED] TP11JN20.008

Where:

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

CEERss\tc\adj = CEERss\tc CEERtc x CLFtc

Where:

CEERss_tc_adj = theoretical comparable single-speed room 
air conditioner adjusted combined energy efficiency ratio, in Btu/
Wh, for each test condition in Table 1 of this appendix.
CEERss_tc = theoretical comparable single-speed room air 
conditioner combined energy efficiency ratio, in Btu/Wh, for each 
test condition in Table 1 of this appendix, determined in section 
5.3.7 of this appendix.
CLFtc = cycling loss factor for each test condition; 1 
for test condition 1, 0.971 for test condition 2, 0.923 for test 
condition 3, and 0.875 for test condition 4.
tc as explained in section 5.3.1 of this appendix.
    5.3.9 Weighted combined energy efficiency ratio. Calculate the 
weighted combined energy efficiency ratio for the variable-speed 
room air conditioner unit, CEERwt, and theoretical 
comparable single-speed room air conditioner, CEERss_wt, 
expressed in Btu/Wh.

CEERwt = [Sigma]tcCEERtc x Wtc

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

Where:

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

    5.3.10 Variable-speed room air conditioner performance 
adjustment factor. Calculate the variable-speed room air conditioner 
unit's performance adjustment factor, Fp.
[GRAPHIC] [TIFF OMITTED] TP11JN20.009

Where:

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

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

CEER = CEER1 x (1 + Fp)

Where:

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

[FR Doc. 2020-11215 Filed 6-10-20; 8:45 am]
BILLING CODE 6450-01-P