[Federal Register Volume 86, Number 234 (Thursday, December 9, 2021)]
[Proposed Rules]
[Pages 70316-70347]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-24836]



[[Page 70315]]

Vol. 86

Thursday,

No. 234

December 9, 2021

Part IV





 Department of Energy





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10 CFR Parts 429 and 431





Energy Conservation Program: Test Procedure for Air-Cooled, Three-
Phase, Small Commercial Package Air Conditioning and Heating Equipment 
With a Cooling Capacity of Less Than 65,000 Btu/h and Air-Cooled, 
Three-Phase, Variable Refrigerant Flow Air Conditioners and Heat Pumps 
With a Cooling Capacity of Less Than 65,000 Btu/h; Proposed Rule

  Federal Register / Vol. 86 , No. 234 / Thursday, December 9, 2021 / 
Proposed Rules  

[[Page 70316]]


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DEPARTMENT OF ENERGY

10 CFR Parts 429 and 431

[EERE-2017-BT-TP-0031]
RIN 1904-AE06


Energy Conservation Program: Test Procedure for Air-Cooled, 
Three-Phase, Small Commercial Package Air Conditioning and Heating 
Equipment With a Cooling Capacity of Less Than 65,000 Btu/h and Air-
Cooled, Three-Phase, Variable Refrigerant Flow Air Conditioners and 
Heat Pumps With a Cooling Capacity of Less Than 65,000 Btu/h

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

ACTION: Notice of proposed rulemaking and request for comment.

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SUMMARY: The U.S. Department of Energy (``DOE'' or ``the Department'') 
proposes to amend its test procedure for air-cooled, three-phase, small 
commercial package air conditioning and heating equipment with a 
cooling capacity of less than 65,000 British thermal units (``Btu/h'') 
per hour and air-cooled, three-phase, variable refrigerant flow air 
conditioners and heat pumps with a cooling capacity of less than 65,000 
Btu/h to incorporate by reference the latest version of the relevant 
industry test standard. DOE also proposes to adopt the seasonal energy 
efficiency ratio 2 (``SEER2'') and heating seasonal performance factor 
2 (``HSPF2'') metrics specified by that industry test standard in the 
DOE test procedures for the three-phase equipment that is the subject 
of this notice of proposed rulemaking (``NOPR''). Additionally, DOE 
proposes to amend certain provisions for representations and 
enforcement to harmonize with single-phase products.

DATES: 
    Meeting: DOE will hold a webinar on Monday, January 10, 2022, from 
1:00 p.m. to 4:00 p.m. See section V, ``Public Participation,'' for 
webinar registration information, participant instructions, and 
information about the capabilities available to webinar participants.
    Comments: DOE will accept comments, data, and information regarding 
this proposal no later than February 7, 2022. See section V, ``Public 
Participation,'' for details.

ADDRESSES: Interested persons are encouraged to submit comments using 
the Federal eRulemaking Portal at www.regulations.gov. Follow the 
instructions for submitting comments. Alternatively, interested persons 
may submit comments, identified by docket number EERE-2017-BT- TP-0031, 
by any of the following methods:
    (1) Federal eRulemaking Portal: www.regulations.gov. Follow the 
instructions for submitting comments.
    (2) Email: [email protected]. Include the docket 
number EERE-2017-BT-TP-0031 or regulatory information number (RIN) 
1904-AE06 in the subject line of the message.
    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.
    Although DOE has routinely accepted public comment submissions 
through a variety of mechanisms, including postal mail and hand 
delivery/courier, the Department has found it necessary to make 
temporary modifications to the comment submission process in light of 
the ongoing COVID-19 pandemic. DOE is currently suspending receipt of 
public comments via postal mail and hand delivery/courier, and instead, 
the Department is only accepting electronic submissions at this time. 
If a commenter finds that this change poses an undue hardship, please 
contact Appliance Standards Program staff at (202) 586-1445 to discuss 
the need for alternative arrangements. Once the COVID-19 pandemic 
health emergency is resolved, DOE anticipates resuming all of its 
regular options for public comment submission, including postal mail 
and hand delivery/courier.
    Docket: The docket, which includes Federal Register notices, public 
meeting attendee lists and transcripts (if a public meeting is held), 
comments, and other supporting documents/materials, is available for 
review at www.regulations.gov. All documents in the docket are listed 
in the www.regulations.gov index. However, some documents listed in the 
index, such as those containing information that is exempt from public 
disclosure, may not be publicly available.
    The docket web page can be found at: www.regulations.gov/docket?D=EERE-2017-BT-TP-0031.
    The docket web page contains instructions on how to access all 
documents, including public comments, in the docket. See section V for 
information on how to submit comments through www.regulations.gov.

FOR FURTHER INFORMATION CONTACT: 
    Ms. Catherine Rivest, U.S. Department of Energy, Office of Energy 
Efficiency and Renewable Energy, Building Technologies Office, EE-2J, 
1000 Independence Avenue SW, Washington, DC 20585-0121. Telephone: 
(202) 586-7335. Email: [email protected].
    Ms. Kristin Koernig, U.S. Department of Energy, Office of the 
General Counsel, GC-33, 1000 Independence Avenue SW, Washington, DC 
20585-0121. Telephone: (202) 586-8145. 
Email:[email protected].
    For further information on how to submit a comment, review other 
public comments, and the docket, contact the Appliance and Equipment 
Standards Program staff at (202) 287-1445 or by email: 
[email protected].

SUPPLEMENTARY INFORMATION: DOE proposes to maintain and update 
previously approved incorporations by references for the following 
industry standards in part 431:
    Air-Conditioning, Heating, and Refrigeration Institute (``AHRI'') 
Standard 210/240-2008, (``AHRI 210/240-2008''), ``Performance Rating of 
Unitary Air-Conditioning & Air-Source Heat Pump Equipment,'' approved 
2011 and updated by addendum 1 in June 2011 and addendum 2 in March 
2012.
    American National Standards Institute (``ANSI'')/AHRI Standard 
1230-2010, ``ANSI/AHRI 1230-2010''),''2010 Standard for Performance 
Rating of Variable Refrigerant Flow (VRF) Multi-split Air-Conditioning 
and Heat Pump Equipment,'' approved 2010 and updated by addendum 1 in 
March 2011.
    Copies of AHRI 210/240-2008 and ANSI/AHRI 1230-2010 can be obtained 
from the AHRI website by going to https://www.ahrinet.org.
    DOE proposes to incorporate by reference the following industry 
standard into parts 429 and 431:
    AHRI Standard 210/240-2023, (``AHRI 210/240-2023''), ``Performance 
Rating of Unitary Air-Conditioning & Air-Source Heat Pump Equipment,'' 
approved 2020.
    Copies of AHRI 210/240-2023 can be obtained from the AHRI website 
by going to https://www.ahrinet.org.
    DOE proposes to amend the previously approved incorporation by 
reference for the following industry standard in part 431:
    American National Standards Institute (``ANSI'')/American Society 
of Heating, Refrigerating, and Air-Conditioning Engineers (``ASHRAE'') 
Standard 37-2009, ``Methods of Testing for Rating Electrically Driven 
Unitary Air-Conditioning and Heat Pump Equipment,'' ASHRAE approved 
June 24, 2009.

[[Page 70317]]

    Copies of ANSI/ASHRAE Standard 37-2009 can be obtained from the 
American National Standards Institute, 25 W. 43rd Street, 4th Floor, 
New York, NY 10036, (212) 642-4900, or online at: https://webstore.ansi.org/.
    See section IV.M of this document for further discussion of these 
standards.

Table of Contents

I. Authority and Background
    A. Authority
    B. Background
II. Synopsis of the Notice of Proposed Rulemaking
III. Discussion
    A. Scope of Applicability
    B. Metrics
    C. Proposed Organization of the Test Procedure
    D. Updates to the Federal Test Method for Central Air 
Conditioners and Heat Pumps
    E. Updates to Industry Standards and Proposed Test Procedures 
for Three-Phase Equipment With Cooling Capacity of Less Than 65,000 
Btu/h
    1. Harmonization With Single-Phase Products
    2. AHRI 210/240
    3. AHRI 1230
    4. ASHRAE 37
    F. Certification, Compliance, and Enforcement Requirements
    1. Representation Requirements
    2. Basic Model Definition
    3. Certification Reporting Requirements
    4. Product-Specific Enforcement Provisions
    G. Test Procedure Costs
    H. Compliance Date
IV. Procedural Issues and Regulatory Review
    A. Review Under Executive Order 12866
    B. Review Under the Regulatory Flexibility Act
    C. Review Under the Paperwork Reduction Act of 1995
    D. Review Under the National Environmental Policy Act of 1969
    E. Review Under Executive Order 13132
    F. Review Under Executive Order 12988
    G. Review Under the Unfunded Mandates Reform Act of 1995
    H. Review Under the Treasury and General Government 
Appropriations Act, 1999
    I. Review Under Executive Order 12630
    J. Review Under Treasury and General Government Appropriations 
Act, 2001
    K. Review Under Executive Order 13211
    L. Review Under Section 32 of the Federal Energy Administration 
Act of 1974
    M. Description of Materials Incorporated by Reference
V. Public Participation
    A. Participation in the Webinar
    B. Procedure for Submitting Prepared General Statements for 
Distribution
    C. Conduct of the Webinar
    D. Submission of Comments
    E. Issues on Which DOE Seeks Comment
VI. Approval of the Office of the Secretary

I. Authority and Background

    Small, large, and very large commercial package air conditioning 
and heating equipment are included in the list of ``covered equipment'' 
for which DOE is authorized to establish and amend energy conservation 
standards and test procedures. (42 U.S.C. 6311(1)(B)-(D)) Air-cooled, 
three-phase, small commercial air conditioners and heat pumps with a 
cooling capacity of less than 65,000 Btu/h (``3-phase ACUACs and ACUHPs 
with cooling capacity of less than 65,000 Btu/h'') \1\ and air-cooled, 
three-phase, variable refrigerant flow (``VRF'' or ``VRF multi-split 
systems'') air conditioners and heat pumps with a cooling capacity of 
less than 65,000 Btu/h (``3-phase VRF with cooling capacity of less 
than 65,000 Btu/h'') \2\ are two separate categories of small 
commercial package air conditioning and heating equipment. DOE's test 
procedures and energy conservation standards for 3-phase ACUACs and 
ACUHPs with cooling capacity of less than 65,000 Btu/h and for 3-phase 
VRF with cooling capacity of less than 65,000 Btu/h are currently 
prescribed at title 10 of the Code of Federal Regulations (``CFR'') 
part 431. See 10 CFR 431.96 (test procedures) and 10 CFR 431.97 (energy 
conservation standards). The following sections discuss DOE's authority 
to establish and amend the test procedure for 3-phase ACUACs and ACUHPs 
with cooling capacity of less than 65,000 Btu/h and for 3-phase VRF 
with cooling capacity of less than 65,000 Btu/h, and relevant 
background information regarding DOE's consideration of test procedures 
for this equipment.
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    \1\ ACUACs and ACUHPS means air-cooled commercial unitary air 
conditioners and heat pumps and is terminology consistent with that 
used for this equipment with a cooling capacity of greater than or 
equal to 65,000 Btu/h.
    \2\ As used in this rulemaking, the term ``3-phase VRF with 
cooling capacity of less than 65,000 Btu/h'' refers only to air-
cooled equipment.
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A. Authority

    The Energy Policy and Conservation Act, as amended (``EPCA''),\3\ 
authorizes DOE to regulate the energy efficiency of a number of 
consumer products and certain industrial equipment. (42 U.S.C. 6291-
6317, as codified) Title III, Part C \2\ of EPCA, added by Public Law 
95-619, Title IV, section 441(a), established the Energy Conservation 
Program for Certain Industrial Equipment, which sets forth a variety of 
provisions designed to improve energy efficiency for certain industrial 
equipment, including 3-phase ACUACs and ACUHPs with cooling capacity of 
less than 65,000 Btu/h, and 3-phase VRF with cooling capacity of less 
than 65,000 Btu/h, the subjects of this NOPR. (42 U.S.C. 6311(1)(B))
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    \3\ All references to EPCA in this document refer to the statute 
as amended through the Energy Act of 2020, Public Law 116-260 (Dec. 
27, 2020).
    \2\ For editorial reasons, upon codification in the U.S. Code, 
Part C was redesignated Part A-1.
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    The energy conservation program under EPCA consists essentially of 
four parts: (1) Testing, (2) labeling, (3) the establishment of Federal 
energy conservation standards, and (4) certification and enforcement 
procedures. Relevant provisions of EPCA include definitions (42 U.S.C. 
6311), test procedures (42 U.S.C. 6314), labeling provisions (42 U.S.C. 
6315), energy efficiency standards (42 U.S.C. 6313), and the authority 
to require information and reports from manufacturers (42 U.S.C. 6316; 
42 U.S.C. 6296).
    The Federal testing requirements consist of test procedures that 
manufacturers of covered equipment must use as the basis for: (1) 
Certifying to DOE that their equipment complies with the applicable 
energy conservation standards adopted pursuant to EPCA (42 U.S.C. 
6316(b); 42 U.S.C. 6296), and (2) making representations about the 
efficiency of that equipment (42 U.S.C. 6314(d)). Similarly, DOE uses 
these test procedures to determine whether the equipment complies with 
relevant standards promulgated under EPCA.
    Federal energy efficiency requirements for covered equipment 
established under EPCA generally supersede State laws and regulations 
concerning energy conservation testing, labeling, and standards. (42 
U.S.C. 6316(a)-(b); 42 U.S.C. 6297) However, DOE may grant waivers of 
Federal preemption for particular State laws or regulations, in 
accordance with the procedures and other provisions of EPCA. (42 U.S.C. 
6316(b)(2)(D))
    Under 42 U.S.C. 6314, EPCA sets forth the criteria and procedures 
DOE must follow when prescribing or amending test procedures for 
covered equipment. EPCA requires that any test procedures prescribed or 
amended under this section must be reasonably designed to produce test 
results reflecting the energy efficiency, energy use, and estimated 
annual operating cost of a given type of covered equipment during a 
representative average use cycle and requires that test procedures not 
be unduly burdensome to conduct. (42 U.S.C. 6314(a)(2))
    As discussed, 3-phase ACUACs and ACUHPs with cooling capacity of 
less than 65,000 Btu/h and 3-phase VRF with cooling capacity of less 
than 65,000 Btu/h are both categories of small commercial package air 
conditioning and heating equipment. EPCA requires that the test 
procedures for small commercial package air conditioning and heating 
equipment

[[Page 70318]]

shall be those generally accepted industry testing procedures or rating 
procedures developed or recognized by AHRI or by ASHRAE, as referenced 
in ASHRAE Standard 90.1, ``Energy Standard for Buildings Except Low-
Rise Residential Buildings'' (ASHRAE Standard 90.1). (42 U.S.C. 
6314(a)(4)(A)) Further, if that industry test procedure is amended, DOE 
must amend its test procedure to be consistent with the amended 
industry test procedure, unless DOE determines, by rule published in 
the Federal Register and supported by clear and convincing evidence, 
that such amended test procedure would not meet the requirements in 42 
U.S.C. 6314(a)(2) and (3) related to representative use and test 
burden. (42 U.S.C. 6314(a)(4)(B)) In addition, 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. 6314(b))
    EPCA also requires that, at least once every 7 years, DOE shall 
evaluate test procedures for each type of covered equipment, including 
those addressed in this NOPR, to determine whether amended test 
procedures would more accurately or fully comply with the requirement 
that the test procedures not be unduly burdensome to conduct and be 
reasonably designed to produce test results that reflect energy 
efficiency, energy use, and estimated operating costs during a 
representative average use cycle. (42 U.S.C. 6314(a)(1)) In addition, 
if DOE determines that a test procedure amendment is warranted, DOE 
must publish the proposed test procedures in the Federal Register, and 
afford interested persons an opportunity of not less than 45 days to 
present oral and written data, views, and arguments on the proposed 
test procedures. (42 U.S.C. 6314(b)) If DOE determines that test 
procedure revisions are not appropriate, DOE must publish its 
determination not to amend the test procedures. (42 U.S.C. 
6314(a)(1)(A)(ii))
    DOE is publishing this NOPR consistent with its obligations under 
EPCA.

B. Background

    DOE's current test procedures for 3-phase ACUACs and ACUHPs with 
cooling capacity of less than 65,000 Btu/h and for 3-phase VRF with 
cooling capacity of less than 65,000 Btu/h are codified at 10 CFR 
431.96.
    The Federal test procedure for 3-phase ACUACs and ACUHPs with 
cooling capacity of less than 65,000 Btu/h was last amended on May 16, 
2012 to incorporate by reference the ANSI/AHRI Standard 210/240-2008, 
``Performance Rating of Unitary Air-Conditioning & Air-Source Heat Pump 
Equipment,'' approved by ANSI on October 27, 2011 and updated by 
addendum 1 in June 2011 and addendum 2 in March 2012 (``ANSI/AHRI 210/
240-2008''). 77 FR 28928 (``May 2012 final rule''). The May 2012 final 
rule also established additional testing requirements at 10 CFR 
431.96(c) and (e) that provide an optional break-in period for testing 
and specifications regarding the use of manufacturer instructions in 
set-up, respectively, applicable to measuring seasonal energy 
efficiency ratio (``SEER'') and heating seasonal performance factor 
(``HSPF'') for this equipment. 77 FR 28928, 28991 (May 16, 2012).
    The Federal test procedure for 3-phase VRF with cooling capacity of 
less than 65,000 Btu/h was also last amended in the May 2012 final 
rule, and incorporated by reference ANSI/AHRI Standard 1230-2010, 
``2010 Standard for Performance Rating of Variable Refrigerant Flow 
(VRF) Multi-Split Air-Conditioning and Heat Pump Equipment,'' approved 
August 2, 2010 and updated by addendum 1 in March 2011 (``AHRI 1230-
2010''). The testing requirements at 10 CFR 431.96(c) and (e) also 
apply to VRF multi-split systems. Additionally, the May 2012 final rule 
established additional testing requirements at 10 CFR 431.96(d) and (f) 
that provide for refrigerant line length corrections for tests 
conducted using AHRI 1230-2010, and for manufacturer involvement in 
assessment or enforcement testing for VRF multi-split systems, 
respectively. 77 FR 28928, 28991 (May 16, 2012).
    In 2017, AHRI published an updated version of its standard, 
``Performance Rating of Unitary Air-Conditioning & Air-Source Heat Pump 
Equipment'' (``AHRI 210/240-2017''). That updated testing standard made 
a number of changes that are relevant to DOE's current test procedure, 
and many of these changes were based on DOE's current test procedure 
for single-phase central air conditioners and central air conditioning 
heat pumps with a cooling capacity of less than 65,000 Btu/h (i.e., 10 
CFR part 430, subpart B, appendix M, ``Uniform Test Method for 
Measuring the Energy Consumption of Central Air Conditioners and Heat 
Pumps''; ``Appendix M'').\4\
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    \4\ Three-phase equipment models generally are identical 
physically to their single-phase, residential counterparts, except 
for the electrical systems and components designed for three-phase 
power input.
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    Following the publication of AHRI 210/240-2017, on October 2, 2018, 
DOE published in the Federal Register a request for information 
(``RFI'') seeking comments on whether DOE should align its test 
procedure (and certification and enforcement requirements) for 3-phase 
ACUACs and ACUHPs with cooling capacity of less than 65,000 Btu/h with 
that for air-cooled, single-phase, central air conditioners and central 
air conditioning heat pumps with a cooling capacity of less than 65,000 
Btu/h, consistent with the update to AHRI 210/240-2017. 83 FR 49501 
(``October 2018 RFI'').
    DOE received comments in response to the October 2018 RFI from the 
interested parties listed in Table I.I.

                Table I.I--Interested Parties Providing Written Comments to the October 2018 RFI
----------------------------------------------------------------------------------------------------------------
          Organization(s)                Reference in  this NOPR                   Organization type
----------------------------------------------------------------------------------------------------------------
Air-Conditioning Heating and        AHRI............................  Trade Association.
 Refrigeration Institute.
Pacific Gas and Electric Company    CA IOUs.........................  Utilities.
 (``PG&E''), San Diego Gas, and
 Electric (``SDG&E''), and
 Southern California Edison
 (``SCE'').
Goodman Global, Inc...............  Goodman.........................  Manufacturer.
Ingersoll Rand....................  Ingersoll Rand..................  Manufacturer.
Lennox International Inc..........  Lennox..........................  Manufacturer.
Natural Resources Defense Council   NRDC and ASAP...................  Energy Efficiency Advocates.
 (``NRDC''), and Appliance
 Standards Awareness Project
 (``ASAP'').
United Technologies Corporation     Carrier.........................  Manufacturer.
 (submitted by Carrier
 Corporation).
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[[Page 70319]]

    Throughout this document, a parenthetical reference at the end of a 
comment quotation or paraphrase provides the location of the item in 
the public record.\5\
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    \5\ The parenthetical reference provides a reference for 
information located in the docket of this rulemaking. (Docket No. 
EERE-2017-BT-TP-0031, which is maintained at www.regulations.gov). 
The references are arranged as follows: (commenter name, comment 
docket ID number, page of that document).
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    In April 2019, AHRI published the ``Performance Rating of Unitary 
Air-Conditioning & Air-Source Heat Pump Equipment (with Addendum 1)'' 
(``AHRI 210/240-2017 with Addendum 1''), which incorporated minor 
revisions to definitions, testing requirements, and efficiency 
calculations.
    On October 23, 2019, ASHRAE released ASHRAE Standard 90.1-2019, 
which maintained the reference to AHRI 210/240 as the industry testing 
standard for 3-phase ACUACs and ACUHPs with cooling capacity of less 
than 65,000 Btu/h, but updated the editions referenced. ASHRAE Standard 
90.1-2019 references AHRI 210/240-2017 for the period prior to January 
1, 2023. For the period beginning January 1, 2023, ASHRAE Standard 
90.1-2019 references AHRI 210/240-2023 (to align with ASHRAE Standard 
90.1-2019 minimum efficiency levels for this equipment in terms of 
SEER2 and HSPF2 that take effect on January 1, 2023). ASHRAE Standard 
90.1-2019 maintained the reference to AHRI 1230 as the industry testing 
standard for all VRF multi-split systems, including air-cooled, three-
phase units with a cooling capacity of less than 65,000 Btu/h, with an 
update to AHRI 1230-2014 with Addendum 1.\6\
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    \6\ Air-cooled, three-phase, VRF multi-split systems with a 
cooling capacity of less than 65,000 Btu/h are not excluded from the 
scope of either AHRI 210/240 (2017 and 2023) or AHRI 1230-2014 with 
Addendum 1.
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    In May 2020, AHRI published AHRI 210/240-2023. The updates in AHRI 
210/240-2017, AHRI 210/240-2017 with Addendum 1, and AHRI 210/240-2023 
are discussed in section III.E.2 of this NOPR. DOE has reviewed the 
comments from the October 2018 RFI in the context of these updated 
industry standards.
    In May 2021, AHRI published AHRI 1230-2021, which excludes from its 
scope air-cooled, VRF multi-split systems with a cooling capacity of 
less than 65,000 Btu/h. Both AHRI 210/240-2017 with Addendum 1 and AHRI 
210/240-2023 exclude from their scope only VRF multi-split systems that 
have capacities greater than or equal to 65,000 Btu/h. Because AHRI 
1230-2021 explicitly excludes VRF multi-split systems with a cooling 
capacity of less than 65,000 Btu/h from scope, and the scope exclusion 
in AHRI 210/240-2023 applies only to VRF multi-split systems with a 
cooling capacity of 65,000 Btu/h or greater, VRF multi-split systems 
with a cooling capacity of less than 65,000 Btu/h are included within 
the scope of AHRI 210/240-2023.
    As such, DOE has tentatively determined that AHRI 210/240-2023 is 
now the appropriate industry test standard for 3-phase VRF with cooling 
capacity of less than 65,000 Btu/h. Three-phase VRF with cooling 
capacity of less than 65,000 Btu/h do not currently exist on the 
market, but DOE expects that any such equipment introduced to the 
market in the future would likely be identical to air-cooled, single-
phase, VRF multi-split systems (except for the components designed for 
three-phase power input). Therefore, DOE has tentatively determined 
that it is appropriate to align its proposed test procedure for 3-phase 
VRF with cooling capacity of less than 65,000 Btu/h (AHRI 210/240-2023) 
with the test procedure for their single-phase counterparts (i.e., 10 
CFR part 430, subpart B, appendix M1; (``Appendix M1'')). For these 
reasons, DOE is addressing the test procedures for this equipment in 
this NOPR.

II. Synopsis of the Notice of Proposed Rulemaking

    This NOPR proposes to update the references in the Federal test 
procedures to the most recent version of the relevant industry test 
procedures as they relate to 3-phase ACUACs and ACUHPs with cooling 
capacity of less than 65,000 Btu/h and 3-phase VRF with cooling 
capacity of less than 65,000 Btu/h. Specifically, DOE proposes to 
update its regulations at 10 CFR 431.96, ``Uniform test method for the 
measurement of energy efficiency of commercial air conditioners and 
heat pumps,'' as follows: (1) Incorporate by reference AHRI 210/240-
2023 and ANSI/ASHRAE 37-2009 ``Methods of Testing for Rating 
Electrically Driven Unitary Air-Conditioning and Heat Pump Equipment'' 
(``ANSI/ASHRAE 37-2009''); and (2) establish provisions for determining 
SEER2 and HSPF2. The current DOE test procedures for all equipment 
addressed in this NOPR would be relocated to a new appendix B of 
subpart F to 10 CFR part 431 (``Appendix B'') without change, and the 
new test procedure adopting AHRI 210/240-2023 would be established in a 
new appendix B1 of subpart F to 10 CFR part 431 (``Appendix B1'') for 
determining SEER2 and HSPF2. Compliance with appendix B1 would not be 
required until such time as compliance is required with amended energy 
conservation standards that rely on SEER2 and HSPF2, should DOE adopt 
such standards. Compliance with appendix B (which aligns with the 
current Federal test procedure) would be required beginning 360 days 
following publication of the final rule. Prior to the date 360 days 
following publication of the final rule, testing would be required to 
be conducted either per appendix B or under 10 CFR 431.96 as it 
appeared in the 10 CFR parts 200-499 edition revised as of January 1, 
2021.
    In addition, DOE proposes to update most of its compliance and 
enforcement requirements for 3-phase ACUACs and ACUHPs with cooling 
capacity of less than 65,000 Btu/h and for 3-phase VRF with cooling 
capacity of less than 65,000 Btu/h to be consistent with those for the 
consumer product counterparts (i.e., air-cooled, single-phase, central 
air conditioners and central air conditioning heat pumps with a cooling 
capacity of less than 65,000 Btu/h (which include single-phase VRF 
multi-split systems)).
    DOE's proposed actions are summarized in Table II.2 and addressed 
in detail in section III of this document.

  Table II.2--Summary of Changes in Proposed Test Procedure Relative to
                         Current Test Procedure
------------------------------------------------------------------------
  Current DOE test procedures     Proposed amendment         Reason
------------------------------------------------------------------------
Incorporates by reference ANSI/ Incorporates by         EPCA requirement
 AHRI 210/240-2008 (for          reference in a new      to harmonize
 equipment other than VRF        appendix B1 AHRI 210/   with industry
 multi-split systems) and ANSI/  240-2023 and ANSI/      test procedure.
 AHRI 1230-2010 for VRF multi-   ASHRAE 37-2009.
 split systems.

[[Page 70320]]

 
Applicable representation       Amends representation   Harmonization
 requirements are those          requirements at new     with single-
 specified at 10 CFR 429.43      10 CFR 429.64 and 10    phase consumer
 and 10 CFR 429.70 for           CFR 429.70--including   product
 commercial heating,             basic model             counterparts,
 ventilating, and air            definition, tested      and reduction
 conditioning (``HVAC'')         combination,            of testing
 equipment.                      determination of        burden on
                                 represented value,      manufacturers.
                                 and alternative
                                 energy determination
                                 method (``AEDM'')
                                 requirements--largely
                                 consistent with
                                 requirements for
                                 single-phase consumer
                                 product counterparts.
                                Amended representation
                                 requirements allow
                                 the use of an AEDM
                                 that is validated
                                 with testing of an
                                 otherwise identical
                                 single-phase central
                                 air conditioners and
                                 heat pumps for rating
                                 three-phase, less
                                 than 65,000 Btu/h
                                 single package units
                                 and split systems.
------------------------------------------------------------------------

    DOE has tentatively determined that the proposed amendments 
described in section III of this NOPR regarding the establishment of 
appendix B would not alter the measured efficiency of equipment 
addressed in this document or require retesting solely as a result of 
DOE's adoption of this proposed amendment to the test procedure. DOE 
has tentatively determined, however, that the proposed test procedure 
amendments in appendix B1 would, if adopted, alter the measured 
efficiency of the affected equipment and that such amendments are 
consistent with the updated industry test procedure. Further, 
compliance with the proposed appendix B1 and the proposed amendments to 
the representation requirements in 10 CFR 429.43 and 10 CFR 429.70 
would not be required until the compliance date of amended standards in 
terms of SEER2 and HSPF2. Additionally, DOE has tentatively determined 
that the proposed amendments, if adopted, would not increase the cost 
of testing relative to the updated industry test procedure. Discussion 
of DOE's proposed actions are addressed in detail in section III of 
this NOPR.

III. Discussion

    The discussion that follows details the specific changes that DOE 
is proposing to make to the current test procedure regulations 
affecting 3-phase ACUACs and ACUHPs with cooling capacity of less than 
65,000 Btu/h and 3-phase VRF with cooling capacity of less than 65,000 
Btu/h.

A. Scope of Applicability

    Three-phase ACUACs and ACUHPs with cooling capacity of less than 
65,000 Btu/h and 3-phase VRF with cooling capacity of less than 65,000 
Btu/h are both categories of small commercial package air conditioning 
and heating equipment. Commercial package air-conditioning and heating 
equipment may be air-cooled, water-cooled, evaporatively-cooled, or 
water source-based (not including ground water source). These equipment 
are electrically-operated and are designed as unitary central air 
conditioners or central air-conditioning heat pumps for use in 
commercial applications. 10 CFR 431.92. As discussed in the following 
sections, 3-phase ACUACs and ACUHPs with cooling capacity of less than 
65,000 Btu/h are typically nearly identical (and therefore typically 
have comparable efficiency) to single-phase central air conditioners 
and central air conditioning heat pumps with rated cooling capacities 
of less than 65,000 Btu/h, the latter being consumer products also 
subject to EPCA and for which DOE has already established energy 
conservation standards (10 CFR 430.32(c)) and test procedures (appendix 
M and appendix M1). Based on this ``nearly identical'' relationship, 
while 3-phase VRF with cooling capacity of less than 65,000 Btu/h do 
not currently exist on the market, DOE expects that any such equipment 
introduced to the market in the future would likely also be identical 
(except for the components designed for three-phase power input) to 
their single-phase counterparts, which are a subset of single-phase 
central air conditioners and central air conditioning heat pumps, and, 
as such, are also rated using appendix M and appendix M1.
    Three-phase ACUACs and ACUHPs with cooling capacity of less than 
65,000 Btu/h are further disaggregated into four equipment classes: 
Single-package air conditioners, single-package heat pumps, split-
system air conditioners, and split-system heat pumps. 10 CFR 
431.97(b).\7\ This NOPR proposes to amend the test procedure applicable 
to all four equipment classes but without amending its current scope. 
Three-phase VRF with cooling capacity of less than 65,000 Btu/h are 
further disaggregated into two equipment classes: air conditioners and 
heat pumps. 10 CFR 431.97(f). This NOPR proposes to amend the test 
procedure applicable to both equipment classes but without amending its 
current scope.
---------------------------------------------------------------------------

    \7\ The term ``single package unit'' means ``any central air 
conditioner or central air-conditioning heat pump in which all the 
major assemblies are enclosed in one cabinet.'' The term ``split 
system'' means ``any central air conditioner or central air-
conditioning heat pump in which one or more of the major assemblies 
are separate from the others.'' 10 CFR 431.92.
---------------------------------------------------------------------------

B. Metrics

    As noted, for 3-phase ACUACs and ACUHPs with cooling capacity of 
less than 65,000 Btu/h and for 3-phase VRF with cooling capacity of 
less than 65,000 Btu/h, the cooling metric and heating metric currently 
specified by DOE are the SEER metric and the HSPF metric, respectively. 
10 CFR 431.96. SEER is a seasonal efficiency metric that accounts for 
electricity consumption in active and standby cooling modes during the 
cooling season, while HSPF is a seasonal efficiency metric that 
accounts for electricity consumption in active and standby heating 
modes for heat pumps during the heating season. These are the same 
metrics that currently apply to single-phase central air conditioners 
and central air conditioning heat pumps, including single-phase, air-
cooled VRF multi-split systems with a cooling capacity of less than 
65,000 Btu/h (see appendix M).

C. Proposed Organization of the Test Procedure

    DOE is proposing to relocate and centralize the current test 
procedures for 3-phase ACUACs and ACUHPs with cooling capacity of less 
than 65,000 Btu/h and 3-phase VRF with cooling capacity of less than 
65,000 Btu/h to a new appendix B to subpart F of part 431. As proposed, 
appendix B would

[[Page 70321]]

not amend the current test procedures. The test procedures as provided 
in the proposed appendix B would continue to reference ANSI/AHRI 210/
240-2008 and ANSI/AHRI 1230-2010 and provide instructions for 
determining SEER and HSPF. DOE is proposing to also update the existing 
incorporation by reference of ANSI/AHRI 210/240-2008 and ANSI/AHRI 
1230-2010 at 10 CFR 431.95 to apply it to appendix B. The proposed 
appendix B would also centralize the additional test provisions 
currently applicable under 10 CFR 431.96, i.e., 10 CFR 431.96(c) 
through (f). As proposed, the three-phase equipment addressed in this 
document would be required to be tested according to appendix B until 
such time as compliance is required with amended energy conservation 
standards that rely on the SEER2 and HSPF2 metrics, should DOE adopt 
such standards.
    DOE is also proposing to amend the test procedures for 3-phase 
ACUACs and ACUHPs with cooling capacity of less than 65,000 Btu/h and 
3-phase VRF with cooling capacity of less than 65,000 Btu/h by adopting 
AHRI 210/240-2023 in a new appendix B1 to subpart F of part 431. As 
noted, EPCA requires DOE to amend the test procedure as necessary to be 
consistent with the amended industry test procedure unless it 
determines, by rule, published in the Federal Register and supported by 
clear and convincing evidence, that to do so would not meet the 
statutory requirements for test procedures regarding representativeness 
and no undue test burden. DOE proposes to adopt the updated version of 
AHRI 210/240, i.e., AHRI 210/240-2023, including the SEER2 and HSPF2 
metrics. As proposed, the three-phase equipment addressed in this NOPR 
would not be required to be tested using the test procedure in proposed 
Appendix B1 until such time as compliance is required with amended 
energy conservation standards that rely on the SEER2 and HSPF2 metrics, 
should DOE adopt such standards.

D. Updates to the Federal Test Method for Central Air Conditioners and 
Heat Pumps

    On June 8, 2016, DOE published a test procedure final rule amending 
appendix M. 81 FR 36992 (``June 2016 final rule'').\8\ DOE further 
amended appendix M in a final rule, published on January 5, 2017, to 
improve test repeatability, reduce testing burden, and improve the 
accuracy of field representativeness of the testing values without 
impacting the measured energy consumption. 82 FR 1426 (``January 2017 
final rule'').
---------------------------------------------------------------------------

    \8\ A correction was issued on August 18, 2016, to fix editorial 
errors. 81 FR 55111.
---------------------------------------------------------------------------

    The January 2017 final rule also included other changes to improve 
test repeatability, reduce testing burden, and improve the accuracy of 
field representativeness that would impact the results of the test 
procedure. DOE established a separate appendix M1 incorporating these 
changes and new metrics to avoid confusion with the metrics under 
appendix M. Appendix M1 specifies new efficiency metrics SEER2, energy 
efficiency ratio 2 (``EER2''), and HSPF2 that have the same definitions 
as their counterpart metrics in appendix M (i.e., SEER, EER, and HSPF) 
but reflect the amendments made to the test procedure in Appendix M1, 
which change the measured efficiency values compared to Appendix M. 
(See 82 FR 1426, 1437 (Jan. 5, 2017) explaining DOE's decision to adopt 
the new metrics SEER2, EER2, and HSPF2). Beginning on January 1, 2023, 
efficiency representations for single-phase central air conditioners 
and central air conditioning heat pumps with rated cooling capacities 
of less than 65,000 Btu/h must be based on the test procedure in 
appendix M1. 82 FR 1426.
    Both appendices M and M1 reference ANSI/AHRI 210/240-2008, sections 
6.1.3.2, 6.1.3.4, 6.1.3.5 and figures D1, D2, D4, along with sections 
of ANSI/AHRI 1230-2010 (related to VRF multi-split systems), ANSI/
ASHRAE 23.1-2010, ANSI/ASHRAE 37-2009, ANSI/ASHRAE 41.1-2013, ANSI/
ASHRAE 41.2-1987 (RA 1992), ANSI/ASHRAE 41.6-2014, ANSI/ASHRAE 41.9-
2011, ANSI/ASHRAE 116-2010, and ANSI/AMCA 210-2007.
    Additionally, both the June 2016 final rule and January 2017 final 
rule adopted amendments related to the certification, compliance, and 
enforcement of single-phase central air conditioners and central air 
conditioning heat pumps with rated cooling capacities of less than 
65,000 Btu/h, codified in 10 CFR part 429. See generally, 81 FR 36992, 
37049-37055 (June 8, 2016) and 82 FR 1426, 1468-1475 (Jan. 5, 2017). 
The amendments included revisions to the basic model definition, 
clarifications to definitions, and a variety of revisions related to 
the testing requirements for determining represented values, 
certification reporting requirements, and product-specific enforcement 
provisions. Id.

E. Updates to Industry Standards and Proposed Test Procedures for 
Three-Phase Equipment With Cooling Capacity of Less Than 65,000 Btu/h

    As noted, the current DOE test procedure at 10 CFR 431.96 for 3-
phase ACUACs and ACUHPs with cooling capacity of less than 65,000 Btu/h 
incorporates by reference ANSI/AHRI Standard 210/240-2008 with Addenda 
1 and 2 (``ANSI/AHRI 210/240-2008,'' but omitting section 6.5). ANSI/
AHRI 210/240-2008 includes as appendix C (which is designated as 
normative in the industry test standard) \9\ the entirety of the text 
of appendix M as amended by a final rule published on October 22, 2007 
(72 FR 59906). Appendix M provides the Federal test procedure for 
determining the efficiency of single-phase central air conditioners and 
central air conditioning heat pumps with rated cooling capacities of 
less than 65,000 Btu/h, which are consumer products covered under 10 
CFR part 430.
---------------------------------------------------------------------------

    \9\ The inclusion of appendix M in a normative appendix means 
that appendix M was required to be followed when testing in 
accordance with ANSI/AHRI 210/240-2008.
---------------------------------------------------------------------------

    The current DOE test procedure at 10 CFR 431.96 for 3-phase VRF 
with cooling capacity of less than 65,000 Btu/h incorporates by 
reference ANSI/AHRI Standard 1230-2010 with Addendum 1 (``ANSI/AHRI 
1230-2010'', omitting sections 5.1.2 and 6.6).
    As noted previously in this document, AHRI has recently published 
several updated industry standards: AHRI 210/240-2017 (published in 
December 2017), AHRI 210/240-2017 with Addendum 1 (published in April 
2019), and AHRI 210/240-2023 (published in May 2020). DOE has reviewed 
these documents in the development of this NOPR. In addition, AHRI has 
recently published AHRI 1230-2021 (published in May 2021).
    As discussed in the following sections, DOE is proposing to 
incorporate by reference AHRI 210/240-2023 as the test procedure for 
the three-phase equipment addressed in this document. As proposed, 
manufacturers would not be required to rely on the amended test 
procedure incorporating AHRI 210/240-2023 until such time as compliance 
is required with amended standards in terms of the new metrics, SEER2 
and HSPF2, should DOE adopt such energy conservation standards. This 
proposed test procedure update would align with the test procedure and 
metrics for central air conditioners and heat pumps specified at 
appendix M1. DOE is also proposing to incorporate by reference ANSI/
ASHRAE 37-2009, which is referenced by AHRI 210/240-2023.
1. Harmonization With Single-Phase Products
    In the October 2018 RFI, DOE stated that the three-phase equipment 
at issue

[[Page 70322]]

is often nearly identical to their single-phase counterparts. 83 FR 
49501, 49504 (Oct. 2, 2018). Specifically, three-phase models generally 
are manufactured on the same production lines and are physically 
identical to their corresponding single-phase central air conditioner 
and central air conditioning heat pump models except the former have 
three-phase electrical systems and use components, primarily motors and 
compressors, that are designed for three-phase power input. Id. Other 
key operational components, such as heat exchangers and fans (excluding 
fan motors), are typically identical for three-phase and single-phase 
designs of a given model family. Id. In addition, most manufacturers' 
model numbers for single-phase products and three-phase equipment are 
interchangeable, and three-phase and single-phase versions of the same 
model have the same energy efficiency ratings. See, e.g., 80 FR 42614, 
42622 (July 17, 2015), and 83 FR 49501, 49504 (Oct. 2, 2018).
    The October 2018 RFI raised the question of whether DOE should 
align its test procedure for 3-phase ACUACs and ACUHPs with cooling 
capacity of less than 65,000 Btu/h with the test procedure for single-
phase central air conditioners and central air conditioning heat pumps 
with a cooling capacity of less than 65,000 Btu/h. DOE requested 
comments and information on the merits of referencing the current 
version of appendix M, or some portion thereof, for the three-phase 
systems at issue versus the merits of referencing the updated AHRI 210/
240-2017, which reflects the updated appendix M. 83 FR 49501, 49504 
(Oct. 2, 2018).
    DOE notes that the October 2018 RFI did not discuss 3-phase VRF 
with cooling capacity of less than 65,000 Btu/h, as AHRI had not 
updated the scope of its industry standards for this equipment at that 
time. As previously noted in this document, this equipment does not 
currently exist on the market; however, DOE expects that any such 
equipment introduced to the market in the future would--for the same 
reasons discussed earlier--presumably be nearly identical to its 
single-phase counterparts, which are a subset of single-phase central 
air conditioners and central air conditioning heat pumps with a cooling 
capacity of less than 65,000 Btu/h.
    In response to the October 2018 RFI, all commenters supported 
harmonizing the test procedures for both 3-phase ACUACs and ACUHPs with 
cooling capacity of less than 65,000 Btu/h, and single-phase central 
air conditioners and central air conditioning heat pumps with a cooling 
capacity of less than 65,000 Btu/h.\10\ (CA IOUs, No. 2 at pp. 1-2; 
Ingersoll Rand, No. 3 at p. 2; AHRI, No. 4 at pp. 1-2; NRDC and ASAP, 
No. 5 at pp. 1-2; Lennox, No. 6 at pp. 1-2; Carrier, No. 7 at p. 1; 
Goodman, No. 8 at pp. 1-3) Specifically, AHRI, Lennox, Carrier, and 
Goodman supported harmonizing the two test procedures by referencing 
the industry standard. (AHRI, No. 4 at p. 2; Lennox, No. 6 at pp. 1-2; 
Carrier, No. 7 at p. 1; Goodman, No. 8 at p. 2) Lennox noted that EPCA 
requires that the test procedure for this equipment be those generally 
accepted industry test procedures. (Lennox, No. 6 at p. 1) Others, 
however, suggested that DOE harmonize the two test procedures by 
adopting appendix M. (CA IOUs, No. 2 at p. 2; NRDC and ASAP, No. 5 at 
pp. 1-2) CA IOUs suggested that DOE reference DOE's own regulatory 
text, and NRDC and ASAP preferred this approach to ensure consistency 
and transparency. (CA IOUs, No. 2 at p. 2; NRDC and ASAP, No. 5 at p. 
2) Ingersoll Rand agreed that harmonization of the test procedures is 
advantageous and reduces burden, but did not specify which test 
procedure DOE should reference. (Ingersoll Rand, No. 3 at p. 2)
---------------------------------------------------------------------------

    \10\ All comments are available at www.regulations.gov, in 
Docket No. EERE-2017-BT-TP-0031.
---------------------------------------------------------------------------

    Beginning January 1, 2023, Appendix M1 specifies that single-phase 
central air conditioners and central air conditioning heat pumps must 
be tested according to appendix M1. The version of AHRI 210/240 
available at the time of the October 2018 RFI publication, AHRI 210/
240-2017, does not contain updates to account for the more recent 
changes contained in appendix M1. DOE noted in the October 2018 RFI 
that AHRI intended to address appendix M1, by revising AHRI 210/240-
2017. In the October 2018 RFI, DOE requested comment on the 
appropriateness of testing 3-phase ACUACs and ACUHPs with cooling 
capacity of less than 65,000 Btu/h according to appendix M1. 83 FR 
49501, 49504-49505 (Oct. 2, 2018).
    Carrier, Goodman, and AHRI urged DOE to wait until AHRI finishes 
updating AHRI 210/240 to reference the version that would include both 
appendix M1 and appendix M. (Carrier, No. 7 at p. 2; Goodman, No. 8 at 
pp. 1-2; AHRI, No. 4 at p. 2) The CA IOUs supported several changes 
that were made as part of appendix M1, including changes to the coil-
only test, new external duct static pressure ratings, and the heating 
load line increase for heat pump HSPF tests. (CA IOUs, No. 2 at p. 2) 
The CA IOUs stated that by including these changes that were made to 
appendix M1, three-phase equipment should be subject to the same 
requirements as single-phase equipment. (Id.) NRDC and ASAP supported 
adopting appendix M1 for three-phase equipment and noted that applying 
appendix M1 in the future along with revised standards will maximize 
consistency and minimize testing burden. (NRDC and ASAP, No. 5 at p. 2) 
Lennox agreed with DOE that if DOE adopts the AHRI procedure, it would 
not conflict with appendix M or appendix M1 and would be highly 
unlikely to impact measured efficiency as compared to appendix M. 
(Lennox, No. 6 at p. 2)
    DOE is proposing to align the test procedures for 3-phase ACUACs 
and ACUHPs with cooling capacity of less than 65,000 Btu/h and for 3-
phase VRF with cooling capacity of less than 65,000 Btu/h with the test 
procedure at appendix M1 for central air conditioners, by adopting AHRI 
210/240-2023. As discussed in section III.E.2.b of this NOPR, AHRI 210/
240-2023 harmonizes with the updated Federal test method for single-
phase central air conditioners and central air conditioning heat pumps 
(i.e., appendix M1).
    DOE also considered whether to harmonize the current test 
procedures for the three-phase equipment addressed in this document 
with appendix M. However, the required 360-day compliance lead-time 
period for test procedure final rules for ASHRAE equipment specified in 
EPCA (42 U.S.C. 6314(d)(1)) would result in little to no time between 
the compliance date of the final rule for this test procedure 
rulemaking and January 1, 2023--when appendix M1 is required for 
testing central air conditioners and heat pumps (and when appendix M 
will no longer be used). Therefore, DOE has tentatively concluded that 
there would be little practical benefit to harmonizing the test 
procedures for the three phase-equipment addressed in this document 
with the current test procedures for central air conditioners and heat 
pumps at appendix M. Further, as described in the following sub-
sections, DOE has identified errors in AHRI 210/240-2017 with Addendum 
1 that DOE has tentatively determined would need to be corrected in 
regulatory text, if DOE adopted AHRI 210/240-2017 with Addendum 1.
    In the October 2018 RFI, DOE solicited comment on any other aspect 
of its current test procedure for 3-phase ACUACs and ACUHPs with 
cooling capacity of less than 65,000 Btu/h. 83 FR 49501, 49505 (Oct. 2, 
2018). The CA IOUs and NRDC and ASAP

[[Page 70323]]

recommended that DOE begin developing a dynamic load-based test 
procedure for both three-phase and single-phase equipment for the next 
rulemaking cycle. (CA IOUs, No. 2 at p. 3; NRDC and ASAP, No. 5 at p. 
2) These commenters noted that work on a Canadian Standards Association 
Express Document (``CSA EXP07'') has begun the development of a 
dynamic, load-based test procedure, and that DOE should start 
investigating a dynamic, load-based test, similar to the test procedure 
being developed by the CSA Group (CSA EXP07 Public Review Draft/
September 2017). (CA IOUs, No. 2 at p. 3; NRDC and ASAP, No. 5 at p. 
2). DOE notes that it is reviewing documents from the CSA EXP07 
development process (e.g., the public review draft and the more 
recently published ``Express Document'' CSA EXP07:19) and participating 
in stakeholder efforts, such as the Next Generation Test Method working 
group (convened by the American Council for an Energy-Efficient 
Economy), to evaluate load-based, dynamic test methods.\11\
---------------------------------------------------------------------------

    \11\ A dynamic load-based test method differs from the steady-
state test method currently used in DOE test procedures for air 
conditioning and heat pump equipment. In a steady-state test method, 
the indoor room is maintained at a constant temperature throughout 
the test. In this type of test, any variable-speed or variable-
position components of air conditioners and heat pumps are set in a 
fixed position, which is typically specified by the manufacturer. In 
contrast, a dynamic load-based test has the conditioning load 
applied to the indoor room using a load profile that approximates 
how the load varies for units installed in the field. In this type 
of test, an air conditioning system or heat pump is allowed to 
automatically determine and vary its control settings in response to 
the imposed conditioning loads, rather than relying on manufacturer-
specified settings.
---------------------------------------------------------------------------

2. AHRI 210/240
a. AHRI 210/240-2017 and AHRI 210/240-2017 With Addendum 1
    Many of the revisions in AHRI 210/240-2017 are intended to 
harmonize the industry test procedure with the updated Federal test 
method for single-phase central air conditioners and central air 
conditioning heat pumps with rated cooling capacities of less than 
65,000 Btu/h (i.e., appendix M). AHRI 210/240-2017 does not contain the 
text of appendix M in a normative appendix (as is the case in Appendix 
C of ANSI/AHRI 210/240-2008) and instead integrates requirements 
consistent with appendix M throughout the standard.\12\ AHRI 210/240-
2017 also includes additional updates beyond integrating the revised 
appendix M.\13\
---------------------------------------------------------------------------

    \12\ For example, AHRI 210/240-2017 includes an updated table of 
required tests (Table 7), as well as provisions related to off-mode 
power.
    \13\ For example, AHRI 210/240-2017 has stricter requirements 
for heat balance and charge weight tolerance than appendix M. AHRI 
210/240-2017 also includes a detailed calculation section that is 
based on ANSI/ASHRAE 37 and ANSI/ASHRAE 116.
---------------------------------------------------------------------------

    AHRI 210/240-2017 with Addendum 1 includes further updates. These 
include: Additional and revised definitions (Section 3); new provisions 
regarding multi-split systems, oil recovery, and refrigerant line 
length correction factors (Section 5); specified tolerances and tests 
required for different product types provided in Table 7 and Table 8 
(Section 6); specified distinctions for total, net, cooling, and 
heating capacity (Sections 7, 11, 12, and Appendix C) along with 
multiple calculation updates (Section 11); revised testing requirements 
for systems with a cooling expansion device in the outdoor unit 
(Appendix D); reduction in the nominal overall resistance (i.e., R-
value) of the thermal insulation for indoor coil inlet and outlet duct 
connections and inclusion of provisions for sampling devices and dew-
point hygrometers (Appendix E); and a new appendix that refers to 
forthcoming changes to the industry standard to address the test 
procedure in appendix M1 (Appendix K).
    While DOE understands that AHRI 210/240-2017 and AHRI 210/240-2017 
with Addendum 1 were intended to harmonize with the Federal test 
procedure for central air conditioners and heat pumps (appendix M), DOE 
has identified errors and substantive differences from appendix M in 
both industry test standards. Specifically, DOE has identified the 
following issues:
     In Section 11 (``Calculations'') of AHRI 210/240-2017 with 
Addendum 1: (1) Multiple formulas have typographical errors; \14\ (2) 
multiple formulas are inapplicable; \15\ and (3) the section does not 
include any specification for the calculation of efficiency metrics for 
certain equipment subtypes: Units with variable-air-volume fans; 
multiple-indoor blowers; and Northern triple-capacity heat pumps (this 
issue is also present in AHRI 210/240-2017).
---------------------------------------------------------------------------

    \14\ For example, in Equation 11.64 in Section 11.2.1.2 of AHRI 
210/240-2017 with Addendum 1, the denominator of the second term 
(enclosed in braces) should read ``95-82'' instead of ``95-8''.
    \15\ For example, Equation 11.187 in Section 11.2.2.3 of AHRI 
210/240-2017 with Addendum 1 is not applicable, given that linear 
interpolation is used to determine COP at intermediate compressor 
speed for units with a variable-speed compressor.
---------------------------------------------------------------------------

     In Section 5 (``Test Requirements''), in Appendix D 
(``Secondary Capacity Check Requirements--Normative''), and in Appendix 
E (``ANSI/ASHRAE Standard 37 Clarifications/Exceptions'') of AHRI 210/
240-2017 with Addendum 1, there are multiple inconsistencies with 
appendix M (many of which are also present in AHRI 210/240-2017), such 
as the following: (1) Section 5 references the wrong table for testing 
tolerances for cyclic testing (i.e., references ``Table 11'' in Section 
5.2.4 Cycle Stability Requirements, rather than Table 3b of ASHRAE 
Standard 116); and (2) Section D7.6.4 specifies more burdensome 
condition tolerances than appendix M for the ``Closed Duct test'' of 
the outdoor air enthalpy method.\16\
---------------------------------------------------------------------------

    \16\ Section D7.6.4 of AHRI 210/240-2017 with Addendum 1 
specifies condition tolerances for indoor and outdoor entering air 
dry-bulb and wet-bulb tolerances (the target temperature for each is 
the average value measure during the free air test (``FA'') test). 
For each of these temperatures, the tolerance specified in Section 
D7.6.4 is half the condition tolerance specified in Table 9 of 
appendix M (e.g., for indoor entering dry-bulb temperature, Table 9 
of appendix M specifies a condition tolerance of 0.5 [deg]F, while 
Section 7.6.4.1 specifies a condition tolerance of 0.25 [deg]F).
---------------------------------------------------------------------------

    As noted, EPCA requires that the test procedure for 3-phase ACUACs 
and ACUHPs with cooling capacity of less than 65,000 Btu/h be the 
generally accepted industry testing procedure developed or recognized 
by AHRI or by ASHRAE, as referenced in ASHRAE Standard 90.1. (42 U.S.C. 
6314(a)(4)(A)) Further, when the industry test procedure is amended, 
DOE must amend its test procedure to be consistent with the amended 
industry test procedure, unless DOE determines, by rule published in 
the Federal Register and supported by clear and convincing evidence, 
that such amended test procedure would not meet the requirements in 42 
U.S.C. 6314(a)(2) and (3) related to representative use and test 
burden. (42 U.S.C. 6314(a)(4)(B))
    DOE tentatively determines that significant deviations in 
regulatory text would be needed to correct errors in the referenced 
industry test standard (e.g., correcting and adding certain formulas, 
correcting test tolerances for cyclic testing) if AHRI 210/240-2017 or 
AHRI 210/240-2017 with Addendum 1 were to be adopted in the Federal 
test procedure for 3-phase ACUACs and ACUHPs with cooling capacity of 
less than 65,000 Btu/h. Additionally, without further deviations in the 
regulatory text, testing to AHRI 210/240-2017 or AHRI 210/240-2017 with 
Addendum 1 would still not align with appendix M, because, as 
discussed, there are discrepancies between the industry test standards 
and appendix M.
    Further, as discussed, there would be minimal, if any, practical 
benefit from

[[Page 70324]]

harmonizing the test procedure for 3-phase ACUACs and ACUHPs with 
cooling capacity of less than 65,000 Btu/h with the test procedure for 
single-phase products at appendix M, given that the applicability of 
appendix M for determining compliance of central air conditioners will 
end January 1, 2023, and it is unlikely that a compliance date for a 
final rule for this rulemaking, which would be 360 days after final 
rule publication if a final rule is issued, would precede January 1, 
2023 by any significant amount of time.
    For these reasons, DOE has tentatively concluded that adopting a 
revised test procedure (i.e., referencing AHRI 210/240-2017 or AHRI 
210/240-2017 with Addendum 1, along with the substantive corrections 
and deviations that would be required) for 3-phase ACUACs and ACUHPs 
with cooling capacity of less than 65,000 Btu/h would be unduly 
burdensome to manufacturers. DOE considers the reasoning discussed in 
the paragraphs above to constitute clear and convincing evidence that 
adopting AHRI 210/240-2017 or AHRI 210/240-2017 with Addendum 1 would 
not meet the requirements specified in 42 U.S.C. 6314(a)(2).
    As such, DOE proposes to maintain the current test procedure for 3-
phase ACUACs and ACUHPs with cooling capacity of less than 65,000 Btu/
h, which incorporates by reference ANSI/AHRI 210/240-2008, until such 
time as compliance with the amended test procedure referencing AHRI 
210/240-2023 would be required.
    Issue 1: DOE seeks comment on its proposal to maintain reference to 
ANSI/AHRI 210/240-2008 with Addenda 1 and 2 as the Federal test 
procedure for 3-phase ACUACs and ACUHPs with cooling capacity of less 
than 65,000 Btu/h, until such time as compliance would be required with 
the amended test procedure referencing AHRI 210/240-2023.
b. AHRI 210/240-2023
    DOE notes that AHRI 210/240-2023 generally corrects the errors in 
AHRI 210/240-2017 with Addendum 1 and harmonizes with the updated 
Federal test method for single-phase central air conditioners and 
central air conditioning heat pumps with rated cooling capacities of 
less than 65,000 Btu/h (i.e., appendix M1, effective January 1, 2023), 
which includes single-phase, air-cooled, VRF multi-split systems with a 
cooling capacity of less than 65,000 Btu/h. The industry standard 
updates the performance metrics to EER2, SEER2 and HSPF2. Significant 
changes related to the new efficiency metrics include higher minimum 
external static pressure (``ESP'') requirements for conventional 
systems (Table 10) and changes in the building heating load line for 
HSPF2 (Section 11). Additional changes in AHRI 210/240-2023 to align 
with appendix M1 include the addition of: (1) Minimum ESP requirements 
in Table 10 for varieties of ducted blower systems specified in 
appendix M1 (i.e., ceiling- and wall-mount, mobile home, and low/mid 
static); (2) a separate unit configuration of single stage system with 
a single variable-speed variable-air-volume blower or multiple indoor 
blowers in Table 7; and (3) the optional H4 test (i.e., the full-load 
heating test at 5 [deg]F ambient temperature) in Table 7. These changes 
apply for testing of both 3-phase ACUACs and ACUHPs with cooling 
capacity of less than 65,000 Btu/h and 3-phase VRF with cooling 
capacity of less than 65,000 Btu/h.
    In addition, AHRI 210/240-2023 reflects and is consistent with 
DOE's appendix M1, which will be the required test procedure for 
single-phase central air conditioners and central air conditioning heat 
pumps with capacities of less than 65,000 Btu/h beginning January 1, 
2023. No commenters suggested that the test procedure in appendix M1 
would be inappropriate for the testing of three-phase equipment.
    As discussed, the updates contained in AHRI 210/240-2023 provide 
for measuring energy efficiency using the SEER2 and HSPF2 metrics, 
which are the metrics adopted by ASHRAE Standard 90.1-2019 for the 3-
phase ACUACs and ACUHPs with cooling capacity of less than 65,000 Btu/h 
standards beginning January 1, 2023.\17\ In response to this update to 
AHRI 210/240, DOE proposes to incorporate AHRI 210/240-2023 as the test 
procedure with which representations must be made beginning with the 
compliance date of any amended DOE standards for three-phase equipment 
relying on SEER2 and HSPF2 as the metrics.\18\
---------------------------------------------------------------------------

    \17\ ASHRAE 90.1-2019 did not update the metrics for air-cooled, 
three-phase, variable refrigerant flow air conditioners and heat 
pumps with a cooling capacity of less than 65,000 Btu/h. Those 
metrics remain SEER and HSPF in ASHRAE Standard 90.1.
    \18\ The timing and implementation of any amended standards may 
be different for air-cooled, three-phase, small commercial package 
air conditioning and heating equipment with a cooling capacity of 
less than 65,000 Btu/h and for air-cooled, three-phase variable 
refrigerant flow air conditioners and heat pumps with a cooling 
capacity of less than 65,000 Btu/h, depending on DOE rulemaking 
related to energy conservation standards for those separate 
categories of equipment.
---------------------------------------------------------------------------

    Harmonization of the test procedures would provide for more 
comparable information between three-phase equipment and single-phase 
products. Commercial customers considering either single-phase or 
three-phase equipment would have ratings for both sets of equipment 
that are based on identical testing requirements when evaluating 
product options. Because AHRI 210/240-2023 aligns with appendix M1, the 
proposed incorporation of this industry testing procedure for the 
three-phase equipment at issue would produce comparable ratings between 
single-phase and three-phase equipment (as discussed in section III.E.1 
of this NOPR). Consequently, DOE has tentatively concluded that this 
proposed test procedure would not be unduly burdensome to conduct.
    Only certain sections of AHRI 210/240-2023 apply to the DOE test 
procedures for the three-phase equipment that is the subject of this 
NOPR. Therefore, DOE is proposing to reference AHRI 210/240-2023 in the 
proposed test procedure at appendix B1 except for the following 
sections:
     Section 6--Rating Requirements (these provisions are not 
related to the method of test and DOE separately addresses these topics 
in 10 CFR part 429):
    [cir] Sections 6.1.8, 6.4.1, 6.4.2, 6.4.3, 6.4.4 (minimum testing 
and certification requirements);
    [cir] Sections 6.2 and 6.4.6 (permit a given product to have 
multiple ratings of different values);
    [cir] Section 6.5 (uncertainty allowances for testing, which are 
not relevant to the Federal test procedure);
     Sections 7 through 10, Appendix C, and Appendix I (these 
are relevant only to AHRI's certification program);
     Appendix F: Sections F15.2 and F17 (these pertain to 
electrical measurements and cyclic tolerances, respectively; DOE 
proposes modifications as discussed in the following paragraphs);
     Appendix G (pertains to configuration of the unit under 
test, discussed in the following paragraphs);
     Appendix H (pertains to Off-Mode testing, which is not 
required by DOE for three-phase equipment).
    Regarding energy measurement provisions, section 2.8 of appendix M 
requires that the watt-hour (i.e., ``W[middot][hairsp]h'', also 
referred to as ``integrated power'' or ``energy'') measuring system 
give readings that are accurate to within 0.5 percent. In 
response to the October 2018 RFI, Carrier recommended that section 
2.8.a of appendix M be revised to include a lower limit (i.e., 
``greater of 0.5 percent of reading or 0.5 watts''), stating that, 
without a lower limit, compliance

[[Page 70325]]

with this requirement at times of low power (e.g., during an OFF cycle) 
can be difficult for single-phase equipment and possibly unrealistic 
for three-phase equipment. (Carrier, No. 7 at p. 2) Section F15.2 of 
AHRI 210/240-2023 addresses Carrier's concern by adding a lower limit, 
stating that the ``watt-hour measurement system shall be accurate 
within 0.5 percent or 0.5 W/h, whichever is greater''. 
However, Section F15.2 of AHRI 210/240-2023 specifies incorrect units 
of measurement and should refer to watt hours (W[middot][hairsp]h) 
(consistent with the first words of Section F15.2) rather than to ``W/
h''. Therefore, DOE proposes not to reference Section F15.2, and 
instead to adopt similar provisions in section 3 of appendix B1 that 
correct the units of measurement to W[middot][hairsp]h.
    Regarding cyclic test tolerances, Section F17 of AHRI 210/240-2023 
appears to incorrectly reference ASHRAE 37 Table 2b for cyclic test 
operating and condition tolerances. ASHRAE 37 Table 2b does not specify 
tolerances specific to cyclic testing. Instead, as specified in 
footnote 1 to Table 8 of AHRI 210/240-2023, the tolerances in ASHRAE 
Standard 116 Table 3b (titled ``Test Tolerances for Cyclic Performance 
Tests'') should be used for cyclic testing. Therefore, DOE proposes not 
to reference Section F17, and instead to adopt similar provisions in 
section 4 of appendix B1 that do not reference ASHRAE 37 test 
tolerances.
    Regarding Appendix G, currently enforcement testing of 3-phase 
ACUACs and ACUHPs with cooling capacity of less than 65,000 Btu/h and 
3-phase VRF with cooling capacity of less than 65,000 Btu/h falls under 
DOE's Commercial HVAC Enforcement Policy,\19\ which outlines how 
certain features of this equipment will be treated for compliance 
testing. In Appendix G of AHRI 210/240-2023, AHRI included a list of 
components that must be present for testing (Section G1.2) and a list 
of features that are optional for testing (Section G2), which provides 
additional instruction to address certain of these features and 
additional details that are beyond the scope of the current Commercial 
HVAC Enforcement Policy. Also, there are five features \20\ that are 
included in the Commercial HVAC Enforcement Policy for 3-phase ACUACs 
and ACUHPs with cooling capacity of less than 65,000 Btu/h that are not 
included in Section G2 of AHRI 210/240-2023.
---------------------------------------------------------------------------

    \19\ The enforcement policy for commercial HVAC equipment can be 
found at www.energy.gov/gc/downloads/commercial-equipment-testing-enforcement-policies.
    \20\ These five features are high-static indoor blower or 
oversized motor; desuperheaters; outdoor fan with Variable Frequency 
Drive (``VFD''); indoor fan with VFD; and compressor with VFD.
---------------------------------------------------------------------------

    DOE has reviewed the market for 3-phase ACUACs and ACUHPs with 
cooling capacity of less than 65,000 Btu/h in connection with the 
specific treatment of components and optional features suggested in 
Appendix G of AHRI 210/240-2023. DOE found that certain optional 
features listed in Section G2 (as well as certain features that are 
included in DOE's current Commercial HVAC Enforcement Policy but not 
included in Section G2 of AHRI 210/240-2023) are present in models of 
3-phase ACUACs and ACUHPs with cooling capacity of less than 65,000 
Btu/h. However, these same features are also present in models of 
single-phase central air conditioners and central air conditioning heat 
pumps with cooling capacity of less than 65,000 Btu/h. As discussed in 
section III.E.1, in response to the October 2018 RFI, all commenters 
supported fully harmonizing the test procedures for both 3-phase ACUACs 
and ACUHPs with cooling capacity of less than 65,000 Btu/h and single-
phase central air conditioners and central air conditioning heat pumps 
with a cooling capacity of less than 65,000 Btu/h, which aligns with 
the proposals in this NOPR. DOE's Commercial HVAC Enforcement Policy 
does not apply to single-phase products and appendix M and M1 do not 
include any special treatment for these optional features within the 
test procedure. In addition, DOE has not received any waivers related 
to these features and DOE does not have technical justification to 
support differential treatment of such features for three-phase 
equipment as compared to single-phase products. As such, DOE has 
tentatively determined that any of these features present in 3-phase 
ACUACs and ACUHPs with cooling capacity of less than 65,000 Btu/h can 
also be tested in accordance with the proposed test procedure and that 
to maintain harmonization with single-phase products, it is not 
necessary or appropriate to adopt Appendix G of AHRI 210/240-2023 as 
part of DOE's test procedure. While there are currently no models on 
the market of 3-phase VRF with cooling capacity of less than 65,000 
Btu/h, DOE expects that, if there were, the same tentative 
determination would apply for the same reasons. Were DOE to adopt the 
proposals in this NOPR, DOE would rescind the Commercial HVAC 
Enforcement Policy to the extent that it is applicable to 3-phase 
ACUACs and ACUHPs with cooling capacity of less than 65,000 Btu/h and 
3-phase VRF with cooling capacity of less than 65,000 Btu/h. DOE notes 
that all models (with or without any specific feature) may be tested by 
DOE at any time under DOE's current authorities if such a model is 
distributed in commerce in the U.S.
    Issue 2: DOE seeks comment on its proposal to incorporate by 
reference AHRI 210/240-2023 in the DOE test procedure for 3-phase 
ACUACs and ACUHPs with cooling capacity of less than 65,000 Btu/h and 
3-phase VRF with cooling capacity of less than 65,000 Btu/h. DOE also 
seeks comment on its proposal to require compliance with this test 
procedure on the compliance date of any amended energy conservation 
standards that DOE may decide to adopt later as part of a future 
rulemaking.
3. AHRI 1230
    In May 2021, AHRI published AHRI 1230-2021, which excludes from its 
scope 3-phase VRF with cooling capacity of less than 65,000 Btu/h. As 
such, in this NOPR, DOE is considering revisions based on updated 
versions of AHRI 210/240 only, as AHRI 1230-2021 by its explicit terms 
is not applicable to the equipment considered in this NOPR.
    As discussed, DOE is proposing to reference AHRI 210/240-2023 for 
testing 3-phase VRF with cooling capacity less than 65,000 Btu/h. As 
proposed, the current Federal test procedure for this equipment (which 
references ANSI/AHRI 1230-2010), would remain the required test 
procedure until DOE decides to adopt amended energy conservation 
standards for this equipment.
4. ASHRAE 37
    ANSI/ASHRAE Standard 37, which provides a method of test for many 
categories of air conditioning and heating equipment, is referenced for 
testing by all versions of AHRI Standards 210/240 and 1230. Appendix E 
of AHRI 210/240-2023 provides additional instruction and exceptions 
regarding the application of the test methods specified in ANSI/ASHRAE 
37-2009. ANSI/ASHRAE 37-2009 is referenced in ANSI/AHRI 1230-2010, 
which is currently the referenced industry test standard in the DOE 
test procedure for VRF multi-split systems. ANSI/ASHRAE 37-2005 is 
referenced by ANSI/AHRI 210/240-2008, which is currently the referenced 
industry test standard in the DOE test procedure for 3-phase ACUACs and 
ACUHPs with cooling capacity of less than 65,000 Btu/h.
    Given the use of ANSI/ASHRAE 37-2009 when testing according to AHRI 
210/240-2023, DOE is proposing to

[[Page 70326]]

reference ANSI/ASHRAE 37-2009 in its test procedure for 3-phase ACUACs 
and ACUHPs with cooling capacity of less than 65,000 Btu/h and 3-phase 
VRF with cooling capacity of less than 65,000 Btu/h. Specifically, in 
the proposed appendix B1, DOE is proposing to reference the applicable 
sections of ANSI/ASHRAE 37-2009--i.e., all sections except sections 1, 
2 and 4.\21\
---------------------------------------------------------------------------

    \21\ DOE is proposing to exclude reference to Section 1 
(``Purpose), Section 2 (``Scope''), and Section 4 
(``Classifications'') in ANSI/ASHRAE 37-2009 to avoid any 
potentially contradictory requirements with DOE regulations.
---------------------------------------------------------------------------

F. Certification, Compliance, and Enforcement Requirements

    In the October 2018 RFI, DOE also requested comment on whether the 
general structure and language related to its certification, 
compliance, and enforcement requirements for three-phase equipment in 
10 CFR part 429 should mirror the structure and language of 
certification, compliance, and enforcement requirements for single-
phase products already found in 10 CFR part 429. 83 FR 49501, 49505 
(Oct. 2, 2018). DOE noted in the October 2018 RFI that AHRI 210/240-
2017 included many updates to mirror these requirements, which apply to 
both single-phase products and three-phase equipment. Id.
    CA IOUs, Ingersoll Rand, and NRDC and ASAP supported adopting the 
certification, compliance, and enforcement requirements for single-
phase systems and applying them to three-phase systems. (CA IOUs, No. 2 
at p. 2; Ingersoll Rand, No. 3 at p. 2; NRDC and ASAP, No. 5 at p. 2) 
AHRI stated that single-phase reporting requirements are significantly 
more onerous than what has historically been reported, and that the 
reporting requirements for both consumer and commercial products should 
be simplified. (AHRI, No. 4 at p. 2) Carrier supported harmonizing 
three-phase and single-phase requirements in 10 CFR part 429, stating 
that while the single-phase reporting requirements are significantly 
more onerous than what has historically been reported, aligning the 
reporting for the residential and commercial products is the simplest 
way to reduce manufacturer burden. (Carrier, No. 7 at p. 2)
    After reviewing the comments, and given that AHRI has updated 
Standard 210/240 to include many of the requirements found in 10 CFR 
429.16, DOE proposes to amend its representation requirements for 3-
phase ACUACs and ACUHPs with cooling capacity of less than 65,000 Btu/h 
and for 3-phase VRF with cooling capacity of less than 65,000 Btu/h by 
applying certain requirements currently applicable to single-phase 
central air conditioners and central air conditioning heat pumps 
(currently specified at 10 CFR 429.16 and 10 CFR 429.70(e)).\22\ DOE is 
not proposing to amend its certification reporting requirements for the 
three-phase equipment that is the subject of this NOPR.
---------------------------------------------------------------------------

    \22\ DOE notes that these single-phase requirements are 
consistent with a consensus recommendation made by the Central Air 
Conditioners and Heat Pumps Working Group of the Appliance Standards 
and Rulemaking Federal Advisory Committee. (See CAC/HP Term Sheet, 
Docket No. EERE-2014-BT-STD-0048, No. 0076, Recommendation #7.)
---------------------------------------------------------------------------

    DOE is proposing to amend the basic model definition and product-
specific enforcement provisions for the three-phase equipment specified 
at 10 CFR 431.92 and 10 CFR 429.134, respectively, to align with the 
provisions for single-phase products.
    Harmonizing the representation requirements for three-phase 
equipment with the representation requirements for single-phase 
products, as discussed, would not increase manufacturer burden as 
compared to industry practice under the industry certification program. 
Further, these proposals would not apply until such time as DOE amends 
the energy conservation standards for this equipment to rely on SEER2 
and HSPF2. Therefore, these proposals would not impose an undue burden 
on manufacturers. DOE's proposals are discussed in detail in the 
following sub-sections.
1. Representation Requirements
    As discussed, DOE is proposing to amend certain representation 
requirements for the three-phase equipment addressed by this NOPR, to 
align with their single-phase counterparts. As part of this proposal, 
DOE is proposing to relocate its representation and certification 
requirements for three-phase equipment. Specifically, DOE is proposing 
that the representation and certification requirements for this three-
phase equipment would be included in a new section 10 CFR 429.64 and 
excluded from the scope of 10 CFR 429.43. DOE is also proposing to 
establish a new section 10 CFR 429.70(i) for alternative energy 
determination method (``AEDM'') requirements that would apply to the 
three-phase equipment addressed in this NOPR. As proposed, 
manufacturers would not be required to comply with the amended 
representation requirements, if made final, until such time that 
amended standards are established that would require compliance with 
amended energy conservation standards that rely on SEER2 and HSPF2 (as 
applicable).
    In particular, 10 CFR 429.43, which is applicable to commercial 
heating, ventilating, and air conditioning equipment, requires 
determination of the represented value for each basic model through 
either testing or by applying an AEDM, and 10 CFR 429.70(c)(2)(iv) 
specifies that each AEDM must be validated by testing at least two 
basic models. Under 10 CFR 429.16, which is applicable to central air 
conditioners and central air conditioning heat pumps, determination of 
represented values is based on each individual model or combination 
(rather than for each basic model), and generally requires a minimum 
level of testing for each basic model. For all basic models except 
outdoor units with no match and multi-split systems, multi-circuit 
systems, and multi-head mini-split systems, represented values for 
individual models or combinations other than those required to be 
tested may be determined by using an AEDM in accordance with 10 CFR 
429.70(e), with no additional testing required to validate the AEDM 
beyond the minimum testing required by 10 CFR 429.16. For outdoor units 
with no match and multi-split systems, multi-circuit systems, and 
multi-head mini-split systems, 10 CFR 429.16 contains additional 
requirements for determining represented values.
    Through its newly proposed provisions in 10 CFR 429.64 and 10 CFR 
420.70(i), DOE would mirror the representation requirements in 10 CFR 
429.16 and 10 CFR 429.70(e), except for the minimum testing 
requirements and certain AEDM validation requirements for each basic 
model of single-package unit and single-split systems. As discussed, 10 
CFR 429.16 for central air conditioners and central air conditioning 
heat pumps generally requires testing for every basic model. For 3-
phase equipment, DOE proposes in 10 CFR 429.64 to generally maintain 
the current approach that not all basic models of three-phase, less 
than 65,000 Btu/h single-package units and single split-systems must be 
tested. The following paragraphs describe in further detail DOE's 
proposal that would allow a manufacturer to use an AEDM for rating all 
basic models of three-phase, less than 65,000 Btu/h single-package 
units and single split-systems in the case that the manufacturer rates 
all models with AEDMs validated with testing of otherwise identical 
single-phase models (i.e., no testing of 3-phase equipment required), 
and would require testing of only two basic models of 3-

[[Page 70327]]

phase equipment in other cases (e.g., manufacturers that do not rate 
with an AEDM validated with testing of an otherwise identical single-
phase model).
    DOE has initially determined that an AEDM validated pursuant to 10 
CFR 429.70(e) would also be appropriate for rating basic models of 
three-phase, less than 65,000 Btu/h single-package units and single 
split-systems that have otherwise identical single-phase counterparts. 
Specifically, DOE understands that the vast majority of three-phase 
equipment with a cooling capacity of less than 65,000 Btu/h has an 
otherwise identical single-phase consumer product counterpart offered 
by the same manufacturer, thus providing comparable performance between 
single-phase products and three-phase equipment with a cooling capacity 
of less than 65,000 Btu/h. Further, DOE has tentatively concluded that 
any slight differences in performance between single-phase and three-
phase models (e.g., minor differences in compressor performance 
depending on the electrical phase of the compressor motor) are well 
understood and can be accounted for within an AEDM (e.g., slightly 
different compressor coefficients used to model performance for single-
phase vs three-phase compressors), rather than requiring testing of 
three-phase models. Therefore, DOE has tentatively determined that for 
three-phase, less than 65,000 Btu/h single-package units and single 
split-systems with otherwise identical single-phase counterparts, 
ratings developed using an AEDM validated with the testing of otherwise 
identical single-phase central air conditioners and heat pumps would be 
no less representative than ratings developed using an AEDM validated 
with the testing of three-phase, less than 65,000 Btu/h equipment.
    As such, for three-phase, less than 65,000 Btu/h single-package 
units and single split-systems, DOE proposes in 10 CFR 429.70(i)(2) to 
permit a manufacturer to rely on an AEDM for central air conditioners 
and heat pumps that is validated in accordance with 10 CFR 429.70(e)(2) 
with testing of otherwise identical single-phase counterparts, without 
additional validation testing.\23\ If a manufacturer offers three-phase 
models that do not have otherwise identical single-phase counterparts, 
or the manufacturer has not validated an AEDM in accordance with 10 CFR 
429.70(e)(2) with testing of the otherwise identical single-phase 
counterparts, the manufacturer would be required to test a single unit 
sample for each of two basic models to validate an AEDM, consistent 
with the existing requirements for all capacities of three-phase 
equipment. DOE expects that this case would arise only for a small 
number of manufacturers who do not produce otherwise identical single-
phase and three-phase equipment, but instead manufacture a line of 
commercial three-phase equipment that includes equipment below DOE's 
65,000 Btu/h capacity boundary.
---------------------------------------------------------------------------

    \23\ While the AEDM would not need additional validation 
testing, it would need to reflect the slight difference in 
performance between single-phase and three-phase components.
---------------------------------------------------------------------------

    In conjunction with this proposal, DOE proposes to specify in the 
newly proposed 10 CFR 429.70(i)(3) that ``otherwise identical'' means 
differing only in the phase of the electrical system and the phase of 
power input for which the motors and compressors are designed.
    Issue 3: DOE seeks comment on its proposal to align the 
representation requirements for the three-phase equipment addressed by 
this NOPR with the requirements specified for single-phase products at 
10 CFR 429.16 and 10 CFR 429.70(e),--but with the exception of testing 
requirements and certain AEDM validation requirements for single-
package and single-split system models. Specifically, DOE requests 
comment on its proposal to permit for three-phase, less than 65,000 
Btu/h single-package and single-split system basic models with 
otherwise identical single-phase counterparts the use of ratings based 
on an AEDM validated using the test results from otherwise identical 
central air conditioners and heat pumps, rather than requiring 
validation using the test results of three-phase models. DOE also 
requests comment on its proposed specification of the term ``otherwise 
identical''. Finally, DOE requests comment on whether the proposed AEDM 
requirements should include a provision to validate the correlation 
between single-phase and three-phase performance as determined using an 
AEDM.
    As part of the harmonization with single-phase requirements, the 
proposal in 10 CFR 429.64 would require that all representations for 
outdoor units with no match and for multi-split systems, multi-circuit 
systems, and multi-head mini-split systems must be determined through 
testing or other specified means, rather than through an AEDM. As 
currently specified, 10 CFR 429.16(c)(2)-(3) do not permit AEDMs for 
single-phase products with these configurations; as such, there would 
not be any extensively validated AEDMs available for products and 
equipment with these configurations. DOE is not aware of any three-
phase models on the market with these configurations (i.e., outdoor 
unit with no match or multi-split, multi-circuit, and multi-head mini-
split systems); therefore, DOE tentatively concludes that this proposal 
would not result in increased testing burden or costs for any 
manufacturer. DOE may consider permitting the use of an AEDM for these 
three-phase equipment categories if interested parties were to 
demonstrate a market for this equipment and provide information on what 
requirements for AEDM validation should be specified.
    Issue 4: DOE seeks comment on whether there are three-phase, less 
than 65,000 Btu/h models of outdoor units with no match or multi-split, 
multi-circuit, and multi-head mini-split systems on the market, and, if 
so, whether AEDMs should be allowed for their ratings and what 
requirements for AEDM validation should be specified.
    DOE notes that, as part of the harmonization with single-phase 
requirements, the proposal in 10 CFR 429.64 would require every 
individual combination of single-split-system AC equipped with a 
single-stage or two-stage compressor distributed in commerce to be 
rated as a coil-only combination, with additional blower-coil 
representations allowed as applicable. As discussed previously in this 
section, the three-phase equipment category may include models that are 
part of a line of commercial three-phase equipment that includes 
equipment below DOE's 65,000 Btu/h capacity boundary (rather than 
models that are otherwise identical to single-phase central air 
conditioners). Based on review of models certified in the DOE 
Compliance Certification Database, DOE expects almost all of these 
models to be packaged units, which are not impacted by this proposal.
    Issue 5: DOE seeks comment on whether there are models of three-
phase single-split-system air conditioners with single-stage or two-
stage compressors that are not distributed in commerce as a coil-only 
combination (i.e., distributed in commerce only as blower-coil 
combination(s)).
2. Basic Model Definition
    DOE proposes to amend its basic model definition for 3-phase ACUACs 
and ACUHPs with cooling capacity of less than 65,000 Btu/h and for 3-
phase VRF with cooling capacity of less than 65,000 Btu/h to align with 
that for single-phase central air conditioners and central air 
conditioning heat pumps, as this definition forms the basis for the 
requirements in 10 CFR 429.16.

[[Page 70328]]

The current definition of basic model for three-phase equipment in 10 
CFR 431.92 refers to ``all units manufactured by one manufacturer 
within a single equipment class, having the same or comparably 
performing compressor(s), heat exchangers, and air moving system(s) 
that have a common ``nominal'' cooling capacity.'' See 10 CFR 
431.92(2).\24\ The definition of ``basic model'' for single-phase 
products in 10 CFR 430.2 provides additional specifications on this 
same concept. See 10 CFR 430.2 (defining the term ``basic model'' and 
detailing the application of this term to different configurations of 
central air conditioners and central air conditioner heat pumps). For 
example, for split systems manufactured by outdoor unit manufacturers, 
a basic model includes all individual combinations having the same 
model of outdoor unit but with percentage variation limits on 
compressor, outdoor coil, and outdoor fan characteristics. See id.
---------------------------------------------------------------------------

    \24\ The definition applicable to variable refrigerant flow 
systems is different in wording but similar in content. See 10 CFR 
431.92(5).
---------------------------------------------------------------------------

    Issue 6: DOE requests comment on its proposal to align the 
definition of basic model for three-phase equipment at 10 CFR 431.96 
with that for single-phase products at 10 CFR 430.2.
3. Certification Reporting Requirements
    DOE acknowledges that 10 CFR 429.16 currently requires more detail 
in filed certification reports than that required by 10 CFR 429.43. 
Therefore, DOE proposes to retain the requirements for certification 
reports (i.e., the information that must be reported for each 
individual model or combination) currently found in 10 CFR 429.43 
rather than adopting wholesale the certification report requirements 
for single-phase products found in 10 CFR 429.16.
    In response to the October 2018 RFI, Carrier commented that the 
three-phase requirements should mirror the structure, language, and 
certification requirements for single-phase systems to minimize the 
manufacturer's burden. (Carrier, No. 7 at p. 2). In general, DOE agrees 
with Carrier's comments that further aligning certification reporting 
requirements across single-phase products and three-phase equipment 
could reduce overall manufacturer burden despite the additional single-
phase requirements. Therefore, should interested parties provide detail 
as to which information required as part of the certification reports 
required under 10 CFR 429.16(e) would be particularly burdensome to 
report and not impact DOE's ability to conduct enforcement testing, DOE 
may consider changes to the reporting requirements for both single-
phase products and three-phase equipment in a separate rulemaking.
    In addition, DOE may consider minor revisions to the certification 
reporting requirements in any energy conservation standards rulemaking 
that DOE may conduct for this equipment.
    Issue 7: DOE seeks comment on its proposal not to amend 
certification reporting requirements for the three-phase equipment 
subject to this notice to align with single-phase products at this 
time. DOE also requests details on whether any particular certification 
reporting requirements in 10 CFR 429.16(e) are particularly problematic 
for manufacturers (for both single-phase products and three-phase 
equipment) and why.
4. Product-Specific Enforcement Provisions
    DOE is proposing to amend its product-specific enforcement 
requirements by adding provisions to a new 10 CFR 429.134(s) for the 
three-phase equipment addressed in this NOPR that would align with 
those already required at 10 CFR 429.134(k) for single-phase products. 
These provisions would pertain only to DOE assessment and enforcement 
testing and would not impact manufacturer testing. Additionally, these 
requirements would apply only to equipment subject to any potential 
standards that DOE may set in terms of SEER2 and HSPF2.
    Regarding cooling capacity, DOE is proposing that the cooling 
capacity of each tested unit would be measured pursuant to the test 
procedure and that the mean of the measurement(s) would be used to 
determine compliance with the applicable standards.
    Regarding cyclic degradation coefficients, which are a measure of 
efficiency loss that would occur as a result of the compressor cycling 
to meet a low load level in field applications, DOE is proposing to 
measure the cooling and/or heating cyclic degradation coefficient, 
CDc/CDh, respectively, by 
conducting the optional cyclic tests if the manufacturer certifies that 
they conducted the optional cyclic tests. If the manufacturer certifies 
that it did not conduct the optional cyclic tests, the proposal would 
require that the default CDc/
CDh values would be used as the basis for 
calculating SEER or HSPF for each unit tested.
G. Test Procedure Costs
    EPCA requires that the test procedures for commercial package air 
conditioning and heating equipment for small commercial package air 
conditioning and heating equipment, which includes 3-phase ACUACs and 
ACUHPs with cooling capacity of less than 65,000 Btu/h and 3-phase VRF 
with cooling capacity of less than 65,000 Btu/h, be generally accepted 
industry testing procedures or rating procedures developed or 
recognized by either AHRI or ASHRAE, as referenced in ASHRAE Standard 
90.1. (42 U.S.C. 6314(a)(4)(A)) Further, if such an industry test 
procedure is amended, DOE must amend its test procedure to be 
consistent with the amended industry test procedure, unless DOE 
determines, by rule published in the Federal Register and supported by 
clear and convincing evidence, that such amended test procedure would 
not meet the requirements in 42 U.S.C. 6314(a)(2)-(3) related to 
representative use and test burden. (42 U.S.C. 6314(a)(4)(B))
    In this NOPR, DOE proposes to amend the existing test procedures 
for three-phase, less than 65,000 Btu/h equipment by incorporating by 
reference, with some modification, the updated version of the 
applicable industry test method, AHRI 210/240-2023, including the 
energy efficiency metrics SEER2 and HSPF2. DOE also proposes to amend 
certain representation requirements to more closely align with the 
representation requirements for single-phase central air conditioners 
and heat pumps. Amendments to both the test procedures and 
representation requirements in this NOPR are consistent with comments 
from interested parties who supported aligning the Federal regulations 
for the three-phase equipment addressed in this document with the 
regulations of their single-phase consumer product counterparts.
    DOE has tentatively determined that these proposed test procedures 
would be representative of an average use cycle and would not be unduly 
burdensome for manufacturers to conduct. The proposed appendix B, 
measuring both SEER and HSPF per ANSI/AHRI 210/240-2008, does not 
contain any changes from the current Federal test procedure, and 
therefore would not require retesting solely as a result of DOE's 
adoption of this proposed amendment. The proposed test procedure in 
appendix B1, measuring both SEER2 and HSPF2 per AHRI 210/240-2023, 
would not lead to an increase in cost from appendix B testing. 
Specifically, DOE estimates that the cost for third-party lab testing 
according to the proposed appendix B1 would be $5,500 for air 
conditioners and $8,500 for heat

[[Page 70329]]

pumps, consistent with the current test procedures.
    As discussed in section III.F.1 of this NOPR, DOE is proposing to 
amend the representation requirements for certifying basic models of 
three-phase, less than 65,000 Btu/h equipment to harmonize with the 
requirements for single-phase products. For models of outdoor units 
with no match and multi-split, multi-circuit, and multi-head mini-split 
systems, this proposal may increase testing requirements for three-
phase equipment compared to the existing requirements. However, DOE is 
not aware of any such models on the market in these categories--
accordingly, DOE does not believe the proposed representation 
requirements will lead to an increase in testing cost for any 
manufacturer.
    As discussed in section III.F.1 of this NOPR, DOE is proposing to 
amend the AEDM \25\ requirements for certifying basic models of three-
phase, less than 65,000 Btu/h single-package units and single-split 
systems. Because most manufacturers' models of three-phase, less than 
65,000 Btu/h equipment are nearly identical to the corresponding 
single-phase, consumer products, DOE is proposing to allow the use of 
an AEDM validated using testing of otherwise identical single-phase 
counterparts for certifying basic models of three-phase, less than 
65,000 Btu/h single package units and split systems. For manufacturers 
that produce both single-phase consumer products and three-phase, less 
than 65,000 Btu/h equipment, this proposal would reduce any burden that 
might result from the proposed test procedures in appendix B1 of this 
NOPR, because for such manufacturers all certification of three-phase, 
less than 65,000 Btu/h equipment could be conducted using AEDMs without 
resorting to the testing of three-phase, less than 65,000 Btu/h 
equipment.
---------------------------------------------------------------------------

    \25\ Manufacturers are not required to perform laboratory 
testing on all basic models. In accordance with 10 CFR 429.70, 
three-phase, less than 65,000 Btu/h manufacturers may elect to use 
AEDMs. An AEDM is a computer modeling or mathematical tool that 
predicts the performance of non-tested basic models. These computer 
modeling and mathematical tools, when properly developed, can 
provide a means to predict the energy usage or efficiency 
characteristics of a basic model of a given covered product or 
equipment and reduce the burden and cost associated with testing.
---------------------------------------------------------------------------

    As discussed previously throughout this NOPR, the proposed test 
procedure in appendix B1 would not be mandatory until such time as DOE 
decides whether to amend the energy conservation standards based on 
SEER2 and HSPF2. Given that most manufacturers of three-phase equipment 
that are the subject of this NOPR are AHRI members, and DOE is 
referencing the prevailing industry test procedure that was established 
for use in AHRI's certification program (which DOE presumes will be 
updated to include SEER2 and HSPF2), DOE expects that manufacturers 
will already be testing using the test methods in AHRI 210/240-2023 by 
January 1, 2023--the effective date for minimum SEER2 and HSPF2 levels 
in ASHRAE 90.1-2019 for three-phase equipment, and also the compliance 
date for testing according to appendix M1 for single-phase central air 
conditioners. Based on this expectation, DOE also has tentatively 
determined that the proposed test procedure amendments would not be 
expected to increase the testing burden on three-phase, less than 
65,000 Btu/h equipment manufacturers. Additionally, DOE has tentatively 
determined that the test procedure amendments, if finalized, would not 
require manufacturers to redesign any of the covered equipment, would 
not require changes to how the equipment is manufactured, and would not 
impact the utility of the equipment.
    Issue 8: DOE requests comment on its understanding of the impact of 
the test procedure proposals in this NOPR, specifically DOE's tentative 
determination that the proposed DOE test procedure amendments, if 
finalized, would not increase testing burden on manufacturers, compared 
to current industry practice as indicated by AHRI 210/240-2023.
H. Compliance Date
    EPCA prescribes that, for the equipment at issue, all 
representations of energy efficiency and energy use, including those 
made on marketing materials and product labels, must be made in 
accordance with an amended test procedure, beginning 360 days after 
publication of such a test procedure final rule in the Federal 
Register. (42 U.S.C. 6314(d)(1))

IV. Procedural Issues and Regulatory Review

A. Review Under Executive Order 12866

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

B. Review Under the Regulatory Flexibility Act

    The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) requires 
preparation of an initial regulatory flexibility analysis (``IRFA'') 
for any rule that by law must be proposed for public comment, unless 
the agency certifies that the rule, if promulgated, will not have a 
significant economic impact on a substantial number of small entities. 
As required by Executive Order 13272, ``Proper Consideration of Small 
Entities in Agency Rulemaking,'' 67 FR 53461 (August 16, 2002), DOE 
published procedures and policies on February 19, 2003, to ensure that 
the potential impacts of its rules on small entities are properly 
considered during the DOE rulemaking process. 68 FR 7990. DOE has made 
its procedures and policies available on the Office of the General 
Counsel's website: www.energy.gov/gc/office-general-counsel. DOE 
reviewed this proposed rule under the provisions of the Regulatory 
Flexibility Act and the procedures and policies published on February 
19, 2003.
    The following sections detail DOE's IRFA for this test procedure 
rulemaking.
1. Description of Reasons Why Action Is Being Considered
    DOE is proposing to amend the existing DOE test procedures for 3-
phase ACUACs and ACUHPs with cooling capacity of less than 65,000 Btu/h 
and 3-phase VRF with cooling capacity of less than 65,000 Btu/h. DOE 
must update the Federal test procedures to be consistent with the 
industry update unless there is clear and convincing evidence that the 
industry update would not be representative of an average use cycle or 
would be unduly burdensome to conduct. (42 U.S.C. 6314(a)(4)(B))
2. Objective of, and Legal Basis for, Rule
    EPCA requires that the test procedures for commercial package 
heating and cooling equipment, which includes 3-phase ACUACs and ACUHPs 
with cooling capacity of less than 65,000 Btu/h and 3-phase VRF with 
cooling capacity of less than 65,000 Btu/h, be generally accepted 
industry testing procedures or rating procedures developed or 
recognized by either AHRI or ASHRAE, as referenced in ASHRAE Standard 
90.1. (42 U.S.C. 6314(a)(4)(A)) Further, if such an industry test 
procedure is amended, DOE must amend its test procedure to be 
consistent with the amended industry test procedure, unless DOE 
determines, by rule published in the Federal Register and supported by 
clear and

[[Page 70330]]

convincing evidence, that such amended test procedure would not meet 
the requirements in 42 U.S.C. 6314(a)(2) and (3) related to 
representative use and test burden. (42 U.S.C. 6314(a)(4)(B))
    EPCA also requires that, at least once every 7 years, DOE evaluate 
test procedures for each type of covered equipment, including 3-phase 
ACUACs and ACUHPs with cooling capacity of less than 65,000 Btu/h and 
3-phase VRF with cooling capacity of less than 65,000 Btu/h, to 
determine whether amended test procedures would more accurately or 
fully comply with the requirements for the test procedures to not be 
unduly burdensome to conduct and be reasonably designed to produce test 
results that reflect energy efficiency, energy use, and estimated 
operating costs during a representative average use cycle. (42 U.S.C. 
614(a)(1)(A))
3. Description and Estimate of Small Entities Regulated
    For manufacturers of 3-phase ACUACs and ACUHPs with cooling 
capacity of less than 65,000 Btu/h and 3-phase VRF with cooling 
capacity of less than 65,000 Btu/h, the Small Business Administration 
(``SBA'') has set a size threshold, which defines those entities 
classified as ``small businesses'' for the purposes of the statute. DOE 
used the SBA's small business size standards to determine whether any 
small entities would be subject to the requirements of the rule. See 13 
CFR part 121. The equipment covered by this proposed rule is classified 
under North American Industry Classification System (``NAICS'') code 
333415 ,\26\ ``Air-Conditioning and Warm Air Heating Equipment and 
Commercial and Industrial Refrigeration Equipment Manufacturing.'' In 
13 CFR 121.201, the SBA sets a threshold of 1,250 employees or fewer 
for an entity to be considered as a small business for this category.
---------------------------------------------------------------------------

    \26\ The size standards are listed by NAICS code and industry 
description and are available at: www.sba.gov/document/support--table-size-standards (Last accessed on July 16, 2021).
---------------------------------------------------------------------------

    DOE reviewed the test procedures proposed in this NOPR under the 
provisions of the Regulatory Flexibility Act and the procedures and 
policies published on February 19, 2003. DOE used publicly available 
information to identify potential small businesses that manufacture 
equipment covered this this rulemaking. DOE identified thirty-seven 
manufacturers of equipment covered by this rulemaking. Of the thirty-
seven, thirty manufacturers are original equipment manufacturers 
(``OEM''). DOE screened out companies that do not meet the definition 
of a ``small business'' or are foreign-owned and operated. DOE 
identified eight small, domestic OEMs for consideration. DOE used 
subscription-based business information tools to determine headcount 
and revenue of the small businesses.
    Of those eight small OEMs, four of them are AHRI members and four 
are not AHRI members. Of the four non-AHRI-member small OEMs, two 
certify their 3-phase, less than 65,000 Btu/h equipment models in the 
AHRI Directory of Certified Product Performance (``AHRI 
Directory'').\27\ Therefore, DOE identified two small OEMs who are not 
AHRI members and do not certify their covered equipment to the AHRI 
Directory.
---------------------------------------------------------------------------

    \27\ The AHRI Directory of Certified Product Performance is 
available at www.ahridirectory.org.
---------------------------------------------------------------------------

4. Description and Estimate of Compliance Requirements
    DOE assumed each small business would have different potential 
regulatory costs depending whether they are an OEM, they are a member 
of AHRI, and/or they currently certify equipment in the AHRI Directory. 
DOE understands all AHRI members and all manufacturers currently 
certifying in the AHRI Directory (including small businesses) will be 
testing their models in accordance with AHRI 210/240-2023, the industry 
test procedure DOE is proposing to reference, and using AHRI's 
certification program, which DOE presumes will be updated to include 
the SEER2 and HSPF2 metrics. The proposed test procedure amendments 
would not add any additional testing burden to manufacturers that are 
or will be using the AHRI 210/240-2023 test procedure for their models 
of 3-phase ACUACs and ACUHPs with cooling capacity of less than 65,000 
Btu/h and 3-phase VRF with cooling capacity of less than 65,000 Btu/h.
    DOE estimated the range of additional potential testing costs for 
the two small businesses that both are not AHRI members and do not 
certify their equipment that is the subject of this NOPR to the AHRI 
Directory. These small businesses would only incur additional testing 
costs if these small businesses would not have otherwise been using the 
AHRI 210/240-2023 test procedure to test their models of 3-phase ACUACs 
and ACUHPs with cooling capacity of less than 65,000 Btu/h and 3-phase 
VRF with cooling capacity of less than 65,000 Btu/h. Of these two small 
businesses, the first manufacturer certifies one basic model to the DOE 
Compliance Certification Database and the second manufacturer certifies 
two basic models to the DOE Compliance Certification Database.\28\
---------------------------------------------------------------------------

    \28\ DOE's Compliance Certification Database is available at: 
www.regulations.doe.gov/ccms (last accessed June 24, 2021).
---------------------------------------------------------------------------

    In this NOPR, DOE is proposing to relocate the current DOE test 
procedures to a new appendix B of subpart F of part 431 (``appendix 
B'') without change. DOE is also proposing an amended test procedure at 
appendix B1 to subpart F of part 431 (``appendix B1''). Specifically, 
DOE is proposing in appendix B1 to incorporate by reference the updated 
industry test standard AHRI 210/240-2023 for 3-phase ACUACs and ACUHPs 
with cooling capacity of less than 65,000 Btu/h (for which the current 
Federal test procedure references AHRI 210-240-2008) and for 3-phase 
VRF with cooling capacity of less than 65,000 Btu/h (for which the 
current Federal test procedure references AHRI 1230-2010). In addition, 
DOE is proposing to adopt the efficiency metrics, SEER2 and HSPF2, from 
AHRI 210/240-2023 in the test procedure at appendix B1. Finally, DOE is 
proposing to harmonize representation and enforcement requirements with 
those applicable to single-phase products.
    Appendix B does not contain any changes from the current Federal 
test procedure, and therefore would have no cost to industry and would 
not require retesting solely as a result of DOE's adoption of this 
proposed amendment to the test procedure, if made final. The proposed 
appendix B1 adopts the most recent industry test procedure, AHRI 210/
240-2023. DOE estimated the cost for third-party lab testing according 
to the proposed appendix B1 test procedure to be $8,500 for three-
phase, less than 65,000 Btu/h heating equipment and $5,500 for three-
phase, less than 65,000 Btu/h air conditioning equipment. If 
manufacturers conduct physical testing to certify a basic model of the 
equipment that is the subject of this NOPR, two units are required to 
be tested per basic model. However, manufacturers are not required to 
perform laboratory testing on all basic models, as manufacturers may 
elect to use AEDMs.\29\ An AEDM is a computer modeling or mathematical 
tool that predicts the performance of non-tested basic models. These 
computer modeling and mathematical tools, when properly developed, can 
provide a means to predict the energy usage or efficiency 
characteristics of a basic model of a given covered product or 
equipment

[[Page 70331]]

and reduce the burden and cost associated with testing.
---------------------------------------------------------------------------

    \29\ In accordance with 10 CFR 429.70.
---------------------------------------------------------------------------

    The first of the two analyzed small businesses manufactures one 
basic model of three-phase equipment with a cooling capacity less than 
65,000 Btu/h--the model is an air conditioner. If this manufacturer 
used a third-party lab to test this basic model, DOE estimates this 
small business would incur additional testing costs of approximately 
$11,000. The annual revenue of the first small business is 
approximately $82.5 million. DOE estimates testing costs to be less 
than 0.01 percent of annual revenue for this small business.
    The second of two analyzed small businesses manufactures two basic 
model of three-phase equipment with a cooling capacity of less than 
65,000 Btu/h--the models are air conditioners. If this manufacturer 
used a third-party lab to test these basic models, DOE estimates this 
small business would incur additional testing costs of approximately 
$22,000. DOE estimates that annual revenue of this small business to be 
approximately $4 million. DOE estimates testing costs to be less than 
0.6 percent of annual revenue for this small manufacturer. However, DOE 
notes that this second small business also manufactures single-phase 
central air conditioners and heat pumps; therefore, this manufacturer 
may use an AEDM for certifying their central air conditioner and heat 
pump (``CAC/HP'') models. Because the proposed test procedure in 
appendix B1 aligns with the test procedure for CACs/HPs at appendix M1 
to subpart B of 10 CFR part 430, this manufacturer could avoid testing 
costs and, as a lower-cost alternative, use their CAC/HP AEDM to 
certify performance for the equipment that is the subject of this 
notice and further reduce potential costs.\30\
---------------------------------------------------------------------------

    \30\ As discussed in section 111.G.1 of this NOPR, DOE is 
proposing to allow the use of a AEDM that is validated with single-
phase CACs/HPs to be used for certifying 3-phase ACUACs and ACUHPs 
with cooling capacity less than 65,000 Btu/h.
---------------------------------------------------------------------------

    Issue 9: DOE requests comment on the number of small businesses DOE 
identified. DOE also seeks comment on the potential cost estimates for 
each small business identified, compared to current industry practice, 
as indicated in AHRI 210/240-2023.
5. Duplication, Overlap, and Conflict With Other Rules and Regulations
    DOE is not aware of any rules or regulations that duplicate, 
overlap, or conflict with the proposed rule being considered today.
6. Significant Alternatives to the Rule
    DOE proposes to reduce burden on manufacturers, including small 
businesses, by allowing AEDMs in lieu of physically testing all basic 
models. The use of an AEDM is less costly than physical testing of 
models of 3-phase ACUACs and ACUHPs with cooling capacity of less than 
65,000 Btu/h and 3-phase VRF with cooling capacity of less than 65,000 
Btu/h.
    Additionally, DOE considered alternative test methods and 
modifications to the AHRI 210/240-2023 test procedure for three-phase, 
small commercial package heating and cooling equipment with a cooling 
capacity of less than 65,000 Btu/h. However, DOE has tentatively 
determined that there are no better alternatives than the existing 
industry test procedures, in terms of both meeting the agency's 
objectives and reducing burden on manufacturers. Therefore, DOE is 
proposing to amend the existing DOE test procedure for this equipment 
through incorporation by reference of AHRI 210/240-2023.
    In addition, individual manufacturers may petition for a waiver of 
the applicable test procedure. (See 10 CFR 431.401) Also, Section 504 
of the Department of Energy Organization Act, 42 U.S.C. 7194, provides 
authority for the Secretary to adjust a rule issued under EPCA in order 
to prevent ``special hardship, inequity, or unfair distribution of 
burdens'' that may be imposed on that manufacturer as a result of such 
rule. Manufacturers should refer to 10 CFR part 1003 for additional 
details.

C. Review Under the Paperwork Reduction Act of 1995

    Manufacturers of 3-phase ACUACs and ACUHPs with cooling capacity of 
less than 65,000 Btu/h and 3-phase VRF with cooling capacity of less 
than 65,000 Btu/h 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 for 3-phase ACUACs and ACUHPs with 
cooling capacity of less than 65,000 Btu/h and 3-phase VRF with cooling 
capacity of less than 65,000 Btu/h. (See generally 10 CFR part 429.) 
The collection-of-information requirement for the certification and 
recordkeeping is subject to review and approval by OMB under the 
Paperwork Reduction Act (``PRA''). This requirement has been approved 
by OMB under OMB control number 1910-1400. Public reporting burden for 
the certification is estimated to average 35 hours per response, 
including the time for reviewing instructions, searching existing data 
sources, gathering and maintaining the data needed, and completing and 
reviewing the collection of information.
    Notwithstanding any other provision of the law, no person is 
required to respond to, nor shall any person be subject to a penalty 
for failure to comply with, a collection of information subject to the 
requirements of the PRA, unless that collection of information displays 
a currently valid OMB Control Number.

D. Review Under the National Environmental Policy Act of 1969

    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.

E. Review Under Executive Order 13132

    Executive Order 13132, ``Federalism,'' 64 FR 43255 (August 10, 
1999) imposes certain requirements on agencies formulating and 
implementing policies or regulations that preempt State law or that 
have federalism implications. The Executive order requires agencies to 
examine the constitutional and statutory authority supporting any 
action that would limit the policymaking discretion of the States and 
to carefully assess the necessity for such actions. The Executive order 
also requires agencies to have an accountable process to ensure 
meaningful and timely input by State and local officials in the 
development of regulatory policies that have federalism implications. 
On March 14, 2000, DOE published a statement of policy describing the 
intergovernmental consultation process it will follow in the 
development of such regulations. 65 FR

[[Page 70332]]

13735. DOE has examined this proposed rule and has determined that it 
would not have a substantial direct effect on the States, on the 
relationship between the national government and the States, or on the 
distribution of power and responsibilities among the various levels of 
government. EPCA governs and prescribes Federal preemption of State 
regulations as to energy conservation for the products that are the 
subject of this proposed rule. States can petition DOE for exemption 
from such preemption to the extent, and based on criteria, set forth in 
EPCA (42 U.S.C. 6297(d)). No further action is required by Executive 
Order 13132.

F. Review Under Executive Order 12988

    Regarding the review of existing regulations and the promulgation 
of new regulations, section 3(a) of Executive Order 12988, ``Civil 
Justice Reform,'' 61 FR 4729 (February 7, 1996), imposes on Federal 
agencies the general duty to adhere to the following requirements: (1) 
Eliminate drafting errors and ambiguity, (2) write regulations to 
minimize litigation, (3) provide a clear legal standard for affected 
conduct rather than a general standard, and (4) promote simplification 
and burden reduction. Section 3(b) of Executive Order 12988 
specifically requires that executive agencies make every reasonable 
effort to ensure that the regulation (1) clearly specifies the 
preemptive effect, if any, (2) clearly specifies any effect on existing 
Federal law or regulation, (3) provides a clear legal standard for 
affected conduct while promoting simplification and burden reduction, 
(4) specifies the retroactive effect, if any, (5) adequately defines 
key terms, and (6) addresses other important issues affecting clarity 
and general draftsmanship under any guidelines issued by the Attorney 
General. Section 3(c) of Executive Order 12988 requires Executive 
agencies to review regulations in light of applicable standards in 
sections 3(a) and 3(b) to determine whether they are met, or it is 
unreasonable to meet one or more of them. DOE has completed the 
required review and determined that, to the extent permitted by law, 
the proposed rule meets the relevant standards of Executive Order 
12988.

G. Review Under the Unfunded Mandates Reform Act of 1995

    Title II of the Unfunded Mandates Reform Act of 1995 (``UMRA'') 
requires each Federal agency to assess the effects of Federal 
regulatory actions on State, local, and Tribal governments, and the 
private sector. Public Law 104-4, sec. 201 (codified at 2 U.S.C. 1531). 
For a proposed regulatory action likely to result in a rule that may 
cause the expenditure by State, local, and Tribal governments, in the 
aggregate, or by the private sector of $100 million or more in any one 
year (adjusted annually for inflation), section 202 of UMRA requires a 
Federal agency to publish a written statement that estimates the 
resulting costs, benefits, and other effects on the national economy. 
(2 U.S.C. 1532(a), (b)) The UMRA also requires a Federal agency to 
develop an effective process to permit timely input by elected officers 
of State, local, and Tribal governments on a proposed ``significant 
intergovernmental mandate,'' and requires an agency plan for giving 
notice and opportunity for timely input to potentially affected small 
governments before establishing any requirements that might 
significantly or uniquely affect small governments. On March 18, 1997, 
DOE published a statement of policy on its process for 
intergovernmental consultation under UMRA. 62 FR 12820; also available 
at www.energy.gov/gc/office-general-counsel. DOE examined this proposed 
rule according to UMRA and its statement of policy and determined that 
the rule contains neither an intergovernmental mandate, nor a mandate 
that may result in the expenditure of $100 million or more in any year, 
so these requirements do not apply.

H. Review Under the Treasury and General Government Appropriations Act, 
1999

    Section 654 of the Treasury and General Government Appropriations 
Act, 1999 (Pub. L. 105-277) requires Federal agencies to issue a Family 
Policymaking Assessment for any rule that may affect family well-being. 
This proposed rule would not have any impact on the autonomy or 
integrity of the family as an institution. Accordingly, DOE has 
concluded that it is not necessary to prepare a Family Policymaking 
Assessment.

I. Review Under Executive Order 12630

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

J. Review Under Treasury and General Government Appropriations Act, 
2001

    Section 515 of the Treasury and General Government Appropriations 
Act, 2001 (44 U.S.C. 3516 note) provides for agencies to review most 
disseminations of information to the public under guidelines 
established by each agency pursuant to general guidelines issued by 
OMB. OMB's guidelines were published at 67 FR 8452 (February 22, 2002), 
and DOE's guidelines were published at 67 FR 62446 (October 7, 2002). 
Pursuant to OMB Memorandum M-19-15, Improving Implementation of the 
Information Quality Act (April 24, 2019), DOE published updated 
guidelines which are available at www.energy.gov/sites/prod/files/2019/12/f70/DOE%20Final%20Updated%20IQA%20Guidelines%20Dec%202019.pdf. DOE 
has reviewed this proposed rule under the OMB and DOE guidelines and 
has concluded that it is consistent with applicable policies in those 
guidelines.

K. Review Under Executive Order 13211

    Executive Order 13211, ``Actions Concerning Regulations That 
Significantly Affect Energy Supply, Distribution, or Use,'' 66 FR 28355 
(May 22, 2001), requires Federal agencies to prepare and submit to OMB, 
a Statement of Energy Effects for any proposed significant energy 
action. A ``significant energy action'' is defined as any action by an 
agency that promulgated or is expected to lead to promulgation of a 
final rule, and that (1) is a significant regulatory action under 
Executive Order 12866, or any successor order; and (2) is likely to 
have a significant adverse effect on the supply, distribution, or use 
of energy; or (3) is designated by the Administrator of OIRA as a 
significant energy action. For any proposed significant energy action, 
the agency must give a detailed statement of any adverse effects on 
energy supply, distribution, or use should the proposal be implemented, 
and of reasonable alternatives to the action and their expected 
benefits on energy supply, distribution, and use.
    The proposed regulatory action to amend the test procedures for 
measuring the energy efficiency of 3-phase ACUACs and ACUHPs with 
cooling capacity of less than 65,000 Btu/h and 3-phase VRF with cooling 
capacity of less than 65,000 Btu/h 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.

[[Page 70333]]

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

    Under section 301 of the Department of Energy Organization Act 
(Pub. L. 95-91; 42 U.S.C. 7101), DOE must comply with section 32 of the 
Federal Energy Administration Act of 1974, as amended by the Federal 
Energy Administration Authorization Act of 1977. (15 U.S.C. 788; 
``FEAA'') Section 32 essentially provides in relevant part that, where 
a proposed rule authorizes or requires use of commercial standards, the 
notice of proposed rulemaking must inform the public of the use and 
background of such standards. In addition, section 32(c) requires DOE 
to consult with the Attorney General and the Chairman of the Federal 
Trade Commission (``FTC'') concerning the impact of the commercial or 
industry standards on competition.
    The proposed modifications to the test procedures for 3-phase 
ACUACs and ACUHPs with cooling capacity of less than 65,000 Btu/h and 
for 3-phase VRF with cooling capacity of less than 65,000 Btu/h would 
reference testing methods contained in certain sections of the 
following commercial standards: AHRI 210/240-2023 and ANSI/ASHRAE 37-
2009. DOE has evaluated these standards and is unable to conclude 
whether they fully comply with the requirements of section 32(b) of the 
FEAA (i.e., whether it was developed in a manner that fully provides 
for public participation, comment, and review). DOE will consult with 
both the Attorney General and the Chairman of the FTC concerning the 
impact of these test procedures on competition, prior to prescribing a 
final rule.

M. Description of Materials Incorporated by Reference

    In this NOPR, DOE proposes to incorporate by reference the 
following test standard:

    (1) The test standard published by AHRI, titled ``2023 Standard 
for Performance Rating of Unitary Air-Conditioning & Air-Source Heat 
Pump Equipment,'' AHRI Standard 210/240-2023. AHRI Standard 210/240-
2023 is an industry-accepted test procedure for measuring the 
performance of air conditioning and heating equipment. AHRI Standard 
210/240-2023 is available on AHRI's website www.ahrinet.org/search-standards.aspx.

    In this NOPR, DOE proposes to amend the incorporation by reference 
previously approved for the following test standard:

    (2) The test standard published by ASHRAE, titled ``Methods of 
Testing for Rating Electrically Driven Unitary Air-Conditioning and 
Heat Pump Equipment,'' ANSI/ASHRAE Standard 37-2009. ANSI/ASHRAE 
Standard 37-2009 is an industry-accepted test procedure that 
provides a method of test for many categories of air conditioning 
and heating equipment. ANSI/ASHRAE Standard 37-2009 is available on 
ANSI's website at https://webstore.ansi.org/RecordDetail.aspx?sku=ANSI%2FASHRAE+Standard+37-2009.
    (3) In this NOPR, DOE proposes to maintain and update the 
incorporation by reference previously approved for the following 
test standards: The test standard published by AHRI, titled 210/240-
2008, ``Performance Rating of Unitary Air-Conditioning & Air-Source 
Heat Pump Equipment,'' approved by ANSI on October 27, 2011 and 
updated by addendum 1 in June 2011 and addendum 2 in March 2012. 
ANSI/AHRI Standard 210/240-2008 is an industry-accepted test 
procedure for measuring the performance of air conditioning and 
heating equipment. ANSI/AHRI Standard 210/240-2008 is available on 
AHRI's website at www.ahrinet.org/search-standards.aspx.
    (4) The test standards published by AHRI titled, ANSI/AHRI 
Standard 1230-2010, ``2010 Standard for Performance Rating of 
Variable Refrigerant Flow (VRF) Multi-split Air-Conditioning and 
Heat Pump Equipment,'' approved August 2, 2010 and updated by 
addendum 1 in March 2011. ANSI/AHRI Standard 1230-2010 is an 
industry-accepted test procedure for measuring the performance of 
air conditioning and heating equipment. ANSI/AHRI Standard 1230-2010 
is available on AHRI's website www.ahrinet.org/search-standards.aspx.

V. Public Participation

A. Participation in the Webinar

    The time and date of the webinar are listed in the DATES and 
ADDRESSES sections 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: https://www1.eere.energy.gov/buildings/appliance_standards/standards.aspx?productid=75&action=viewlive Participants are 
responsible for ensuring their systems are compatible with the webinar 
software.

B. Procedure for Submitting Prepared General Statements for 
Distribution

    Any person who has an interest in the topics addressed in this 
NOPR, or who is representative of a group or class of persons that has 
an interest in these issues, may request an opportunity to make an oral 
presentation at the webinar. Such persons may submit to 
[email protected]. Persons who wish to speak 
should include with their request a computer file in WordPerfect, 
Microsoft Word, PDF, or text (ASCII) file format that briefly describes 
the nature of their interest in this rulemaking and the topics they 
wish to discuss. Such persons should also provide a daytime telephone 
number where they can be reached.
    Persons requesting to speak should briefly describe the nature of 
their interest in this rulemaking and provide a telephone number for 
contact. DOE requests persons selected to make an oral presentation to 
submit an advance copy of their statements at least two weeks before 
the webinar. At its discretion, DOE may permit persons who cannot 
supply an advance copy of their statement to participate, if those 
persons have made advance alternative arrangements with the Building 
Technologies Office. As necessary, requests to give an oral 
presentation should ask for such alternative arrangements.

C. Conduct of the Webinar

    DOE will designate a DOE official to preside at the webinar and may 
also use a professional facilitator to aid discussion. The meeting will 
not be a judicial or evidentiary-type public hearing, but DOE will 
conduct it in accordance with section 336 of EPCA (42 U.S.C. 6306). A 
court reporter will be present to record the proceedings and prepare a 
transcript. DOE reserves the right to schedule the order of 
presentations and to establish the procedures governing the conduct of 
the webinar/public meeting. There shall not be discussion of 
proprietary information, costs or prices, market share, or other 
commercial matters regulated by U.S. anti-trust laws. After the webinar 
and until the end of the comment period, interested parties may submit 
further comments on the proceedings and any aspect of the rulemaking.
    The webinar will be conducted in an informal, conference style. DOE 
will allow time for prepared general statements by participants and 
encourage all interested parties to share their views on issues 
affecting this rulemaking. Each participant will be allowed to make a 
general statement (within time limits determined by DOE), before the 
discussion of specific topics. DOE will permit, as time permits, other 
participants to comment briefly on any general statements.
    At the end of all prepared statements on a topic, DOE will permit 
participants to clarify their statements briefly. Participants should 
be prepared to answer questions by DOE and by other

[[Page 70334]]

participants concerning these issues. DOE representatives may also ask 
questions of participants concerning other matters relevant to this 
rulemaking. The official conducting the webinar/public meeting will 
accept additional comments or questions from those attending, as time 
permits. The presiding official will announce any further procedural 
rules or modification of the above procedures that may be needed for 
the proper conduct of the webinar/public meeting.
    A transcript of the webinar will be included in the docket, which 
can be viewed as described in the Docket section at the beginning of 
this NOPR. In addition, any person may buy a copy of the transcript 
from the transcribing reporter.

D. Submission of Comments

    DOE will accept comments, data, and information regarding this 
proposed rule 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 NOPR.\31\ Submitting comments via 
www.regulations.gov. The www.regulations.gov web page will require you 
to provide your name and contact information. Your contact information 
will be viewable to DOE Building Technologies staff only. Your contact 
information will not be publicly viewable except for your first and 
last names, organization name (if any), and submitter representative 
name (if any). If your comment is not processed properly because of 
technical difficulties, DOE will use this information to contact you. 
If DOE cannot read your comment due to technical difficulties and 
cannot contact you for clarification, DOE may not be able to consider 
your comment.
---------------------------------------------------------------------------

    \31\ DOE has historically provided a 75-day comment period for 
test procedure NOPRs pursuant to the North American Free Trade 
Agreement, U.S.-Canada-Mexico (``NAFTA''), Dec. 17, 1992, 32 I.L.M. 
289 (1993); the North American Free Trade Agreement Implementation 
Act, Public Law 103-182, 107 Stat. 2057 (1993) (codified as amended 
at 10 U.S.C.A. 2576) (1993) (``NAFTA Implementation Act''); and 
Executive Order 12889, ``Implementation of the North American Free 
Trade Agreement,'' 58 FR 69681 (Dec. 30, 1993). However, on July 1, 
2020, the Agreement between the United States of America, the United 
Mexican States, and the United Canadian States (``USMCA''), Nov. 30, 
2018, 134 Stat. 11 (i.e., the successor to NAFTA), went into effect, 
and Congress's action in replacing NAFTA through the USMCA 
Implementation Act, 19 U.S.C. 4501 et seq. (2020), implies the 
repeal of E.O. 12889 and its 75-day comment period requirement for 
technical regulations. Thus, the controlling laws are EPCA and the 
USMCA Implementation Act. Consistent with EPCA's public comment 
period requirements for consumer products, the USMCA only requires a 
minimum comment period of 60 days. Consequently, DOE now provides a 
60-day public comment period for test procedure NOPRs.
---------------------------------------------------------------------------

    However, your contact information will be publicly viewable if you 
include it in the comment or in any documents attached to your comment. 
Any information that you do not want to be publicly viewable should not 
be included in your comment, nor in any document attached to your 
comment. Persons viewing comments will see only first and last names, 
organization names, correspondence containing comments, and any 
documents submitted with the comments.
    Do not submit to www.regulations.gov information for which 
disclosure is restricted by statute, such as trade secrets and 
commercial or financial information (hereinafter referred to as 
Confidential Business Information (``CBI'')). Comments submitted 
through www.regulations.gov cannot be claimed as CBI. Comments received 
through the website will waive any CBI claims for the information 
submitted. For information on submitting CBI, see the Confidential 
Business Information section.
    DOE processes submissions made through www.regulations.gov before 
posting. Normally, comments will be posted within a few days of being 
submitted. However, if large volumes of comments are being processed 
simultaneously, your comment may not be viewable for up to several 
weeks. Please keep the comment tracking number that www.regulations.gov 
provides after you have successfully uploaded your comment.
    Submitting comments via email. Comments and documents submitted via 
email also will be posted to www.regulations.gov. If you do not want 
your personal contact information to be publicly viewable, do not 
include it in your comment or any accompanying documents. Instead, 
provide your contact information on a cover letter. Include your first 
and last names, email address, telephone number, and optional mailing 
address. The cover letter will not be publicly viewable as long as it 
does not include any comments.
    Include contact information each time you submit comments, data, 
documents, and other information to DOE. If you submit via postal mail 
or hand delivery/courier, please provide all items on a CD, if 
feasible. It is not necessary to submit printed copies. No facsimiles 
(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 two well-marked copies: One copy of the document marked 
confidential including all the information believed to be confidential, 
and one copy of the document marked non-confidential with the 
information believed to be confidential deleted. DOE will make its own 
determination about the confidential status of the information and 
treat it according to its determination.
    It is DOE's policy that all comments may be included in the public 
docket, without change and as received, including any personal 
information provided in the comments (except information deemed to be 
exempt from public disclosure).

E. Issues on Which DOE Seeks Comment

    Although DOE welcomes comments on any aspect of this proposal, DOE 
is particularly interested in receiving comments and views of 
interested parties concerning the following issues:
    Issue 1: DOE seeks comment on its proposal to maintain reference to 
ANSI/AHRI 210/240-2008 with Addenda 1 and 2 as the Federal test 
procedure for 3-phase ACUACs and ACUHPs with cooling capacity of less 
than 65,000 Btu/h, until such time as compliance would be required with 
the amended test procedure referencing AHRI 210/240-2023.
    Issue 2: DOE seeks comment on its proposal to incorporate by 
reference AHRI 210/240-2023 in the DOE test procedure for 3-phase 
ACUACs and ACUHPs with cooling capacity of less than 65,000 Btu/h and 
3-phase VRF with cooling capacity of less than 65,000 Btu/h. DOE also 
seeks comment on its proposal to require compliance with this test 
procedure on the compliance date of any amended energy conservation 
standards that DOE may

[[Page 70335]]

decide to adopt later as part of a future rulemaking.
    Issue 3: DOE seeks comment on its proposal to align the 
representation requirements for the three-phase equipment addressed by 
this NOPR with the requirements specified for single-phase products at 
10 CFR 429.16 and 10 CFR 429.70(e),--but with the exception of testing 
requirements and certain AEDM validation requirements for single-
package and single-split system models. Specifically, DOE requests 
comment on its proposal to permit for three-phase, less than 65,000 
Btu/h single-package and single-split system basic models with 
otherwise identical single-phase counterparts the use of ratings based 
on an AEDM validated using the test results from otherwise identical 
central air conditioners and heat pumps, rather than requiring 
validation using the test results of three-phase models. DOE also 
requests comment on its proposed specification of the term ``otherwise 
identical''. Finally, DOE requests comment on whether the proposed AEDM 
requirements should include a provision to validate the correlation 
between single-phase and three-phase performance as determined using an 
AEDM.
    Issue 4: DOE seeks comment on whether there are three-phase, less 
than 65,000 Btu/h models of outdoor units with no match or multi-split, 
multi-circuit, and multi-head mini-split systems on the market, and, if 
so, whether AEDMs should be allowed for their ratings and what 
requirements for AEDM validation should be specified.
    Issue 5: DOE seeks comment on whether there are models of three-
phase single-split-system air conditioners with single-stage or two-
stage compressors that are not distributed in commerce as a coil-only 
combination (i.e., distributed in commerce only as blower-coil 
combination(s)).
    Issue 6: DOE requests comment on its proposal to align the 
definition of basic model for three-phase equipment at 10 CFR 431.96 
with that for single-phase products at 10 CFR 430.2.
    Issue 7: DOE seeks comment on its proposal not to amend 
certification reporting requirements for the three-phase equipment 
subject to this notice to align with single-phase products at this 
time. DOE also requests details on whether any particular certification 
reporting requirements in 10 CFR 429.16(e) are particularly problematic 
for manufacturers (for both single-phase products and three-phase 
equipment) and why.
    Issue 8: DOE requests comment on its understanding of the impact of 
the test procedure proposals in this NOPR, specifically DOE's tentative 
determination that the proposed DOE test procedure amendments, if 
finalized, would not increase testing burden on manufacturers, compared 
to current industry practice as indicated by AHRI 210/240-2023.
    Issue 9: DOE requests comment on the number of small businesses DOE 
identified. DOE also seeks comment on the potential cost estimates for 
each small business identified, compared to current industry practice, 
as indicated in AHRI 210/240-2023.

VI. Approval of the Office of the Secretary

    The Secretary of Energy has approved publication of this notice of 
proposed rulemaking and request for comment.

List of Subjects

10 CFR Part 429

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

10 CFR Part 431

    Administrative practice and procedure, Confidential business 
information, Energy conservation test procedures, Incorporation by 
reference, and Reporting and recordkeeping requirements.

Signing Authority

    This document of the Department of Energy was signed on November 5, 
2021, by Kelly Speakes-Backman, Principal Deputy Assistant Secretary 
and Acting Assistant Secretary for Energy Efficiency and Renewable 
Energy, pursuant to delegated authority from the Secretary of Energy. 
That document with the original signature and date is maintained by 
DOE. For administrative purposes only, and in compliance with 
requirements of the Office of the Federal Register, the undersigned DOE 
Federal Register Liaison Officer has been authorized to sign and submit 
the document in electronic format for publication, as an official 
document of the Department of Energy. This administrative process in no 
way alters the legal effect of this document upon publication in the 
Federal Register.

     Signed in Washington, DC, on November 9, 2021 .
Treena V. Garrett,
Federal Register Liaison Officer, U.S. Department of Energy.
    For the reasons stated in the preamble, DOE is proposing to amend 
parts 429 and 431 of Chapter II of Title 10, Code of Federal 
Regulations as set forth below:

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

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

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

0
2. Amend Sec.  429.4 by adding paragraph (c)(3) to read as follows.


Sec.  429.4  Materials incorporated by reference.

* * * * *
    (c) * * *
    (3) AHRI Standard 210/240-2023, (``AHRI 210/240-2023''), 2023 
Standard for Performance Rating of Unitary Air-Conditioning & Air-
Source Heat Pump Equipment, approved 2020, IBR approved for Sec. Sec.  
429.64 and 429.134.
* * * * *
0
3. Amend Sec.  429.12 by revising paragraph (b)(8) to read as follows:


Sec.  429.12   General requirements applicable to certification 
reports.

* * * * *
    (b) * * *
    (8) The test sample size as follows:
    (i) The number of units tested for the basic model, or
    (ii) In the case of single-split system or single-package central 
air conditioners and central air conditioning heat pumps; air-cooled, 
three-phase, small commercial package air conditioning and heating 
equipment with a cooling capacity of less than 65,000 Btu/h; air-
cooled, three-phase, variable refrigerant flow multi-split air 
conditioners and heat pumps with a cooling capacity of less than 65,000 
Btu/h; or multi-split, multi-circuit, or multi-head mini-split systems 
other than the ``tested combination'', the number of units tested for 
each individual combination or individual model, or (iii) If an AEDM 
was used in lieu of testing, enter ``0'' (and in the case of central 
air conditioners and central air conditioning heat pumps, this must be 
indicated separately for each metric);
* * * * *
0
4. Amend Sec.  429.43 by:
0
a. Revising the section heading;

[[Page 70336]]

0
b. Removing paragraphs (b)(2)(iii), (iv,) (ix) and (x);
0
c. Redesignating paragraphs (b)(2)(v) through (viii), and (xi) through 
(xv) as paragraphs (b)(2)(iii) through (vi), and (vii) through (xi), 
respectively;
0
d. Removing paragraphs (b)(4)(iii) through (vi); and
0
e. Redesignating paragraphs (b)(4)(vii) through (xiv) as paragraphs 
(b)(4)(iii) through (x).
    The revisions read as follows:


Sec.  429.43   Commercial heating, ventilating, air conditioning (HVAC) 
equipment (excluding air-cooled, three-phase, small commercial package 
air conditioning and heating equipment with a cooling capacity of less 
than 65,000 British thermal units per hour and air-cooled, three-phase, 
variable refrigerant flow multi-split air conditioners and heat pumps 
with less than 65,000 British thermal units per hour cooling capacity).

* * * * *
0
5. Add Sec.  429.64 to read as follows:


Sec.  429.64   Air-cooled, three-phase, small commercial package air 
conditioning and heating equipment with a cooling capacity of less than 
65,000 British thermal units per hour and air-cooled, three-phase, 
variable refrigerant flow multi-split air conditioners and heat pumps 
with a cooling capacity of less than 65,000 British thermal units per 
hour.

    (a) Applicability. (1) For air-cooled, three-phase, small 
commercial package air conditioning and heating equipment with a 
cooling capacity of less than 65,000 Btu/h and air-cooled, three-phase, 
variable refrigerant flow multi-split air conditioners and heat pumps 
with a cooling capacity of less than 65,000 Btu/h subject to standards 
in terms of seasonal energy efficiency ratio (SEER) and heating 
seasonal performance factor (HSPF), representations with respect to the 
energy use or efficiency, including compliance certifications, are 
subject to the requirements in Sec.  429.43 of this title as it 
appeared in the 10 CFR parts 200-499 edition revised as of January 1, 
2021.
    (2) For air-cooled, three-phase, small commercial package air 
conditioning and heating equipment with a cooling capacity of less than 
65,000 Btu/h and air-cooled, three-phase, variable refrigerant flow 
multi-split air conditioners and heat pumps with a cooling capacity of 
less than 65,000 Btu/h subject to standards in terms of seasonal energy 
efficiency ratio 2 (``SEER2'') and heating seasonal performance factor 
2 (``HSPF2'') metrics, representations with respect to the energy use 
or efficiency, including compliance certifications, are subject to the 
requirements in this section. If manufacturers choose to certify 
compliance with any standards in terms of SEER2 and HSPF2 prior to the 
applicable compliance date for those standards, the requirements of 
this section must be followed.
    (b) Determination of Represented Value--(1) Required represented 
values. Determine the represented values (including SEER2, HSPF2, 
cooling capacity, and heating capacity, as applicable) for the 
individual models/combinations (or ``tested combinations'') specified 
in the table to this paragraph (b)(1).

 
------------------------------------------------------------------------
                                    Equipment       Required represented
           Category                subcategory             values
------------------------------------------------------------------------
Single-Package unit...........  Single-Package AC  Every individual
                                 (including Space-  model distributed in
                                 Constrained).      commerce.
                                Single-Package HP
                                 (including Space-
                                 Constrained).
Outdoor Unit and Indoor Unit    Single-Split-      Every individual
 (Distributed in Commerce by     System AC with     combination
 OUM (Outdoor Unit               Single-Stage or    distributed in
 Manufacturer)).                 Two-Stage          commerce must be
                                 Compressor         rated as a coil-only
                                 (including Space-  combination. For
                                 Constrained and    each model of
                                 Small-Duct, High   outdoor unit, this
                                 Velocity Systems   must include at
                                 (SDHV)).           least one coil-only
                                                    value that is
                                                    representative of
                                                    the least efficient
                                                    combination
                                                    distributed in
                                                    commerce with that
                                                    particular model of
                                                    outdoor unit.
                                                    Additional blower-
                                                    coil representations
                                                    are allowed for any
                                                    applicable
                                                    individual
                                                    combinations, if
                                                    distributed in
                                                    commerce.
                                Single-Split-      Every individual
                                 System AC with     combination
                                 Other Than         distributed in
                                 Single-Stage or    commerce, including
                                 Two-Stage          all coil-only and
                                 Compressor         blower coil
                                 (including Space-  combinations.
                                 Constrained and
                                 SDHV).
                                Single-Split-      Every individual
                                 System HP          combination
                                 (including Space-  distributed in
                                 Constrained and    commerce.
                                 SDHV).
                                Multi-Split,       For each model of
                                 Multi-Circuit,     outdoor unit, at a
                                 or Multi-Head      minimum, a non-
                                 Mini-Split Split   ducted ``tested
                                 System--non-SDHV   combination.'' For
                                 (including Space-  any model of outdoor
                                 Constrained).      unit also sold with
                                                    models of ducted
                                                    indoor units, a
                                                    ducted ``tested
                                                    combination.'' When
                                                    determining
                                                    represented values
                                                    on or after the
                                                    compliance date of
                                                    any amended energy
                                                    conservation
                                                    standards, the
                                                    ducted ``tested
                                                    combination'' must
                                                    comprise the highest
                                                    static variety of
                                                    ducted indoor unit
                                                    distributed in
                                                    commerce (i.e.,
                                                    conventional, mid-
                                                    static, or low-
                                                    static). Additional
                                                    representations are
                                                    allowed, as
                                                    described in
                                                    paragraph (d)(3) of
                                                    this section.
                                Multi-Split,       For each model of
                                 Multi-Circuit,     outdoor unit, an
                                 or Multi-Head      SDHV ``tested
                                 Mini-Split Split   combination.''
                                 System--SDHV.      Additional
                                                    representations are
                                                    allowed, as
                                                    described in
                                                    paragraph (d)(3) of
                                                    this section.
Indoor Unit Only Distributed    Single-Split-      Every individual
 in Commerce by ICM              System Air         combination
 (Independent Coil               Conditioner        distributed in
 Manufacturer).                  (including Space-  commerce.
                                 Constrained and
                                 SDHV).

[[Page 70337]]

 
                                Single-Split-      For a model of indoor
                                 System Heat Pump   unit within each
                                 (including Space-  basic model, a SDHV
                                 Constrained and    ``tested
                                 SDHV).             combination.''
                                Multi-Split,        Additional
                                 Multi-Circuit,     representations are
                                 or Multi-Head      allowed, as
                                 Mini-Split Split   described in section
                                 System--SDHV.      (d)(3)(ii) of this
                                                    section.
------------------------------------------------------------------------
Outdoor Unit with no Match.......................  Every model of
                                                    outdoor unit
                                                    distributed in
                                                    commerce (tested
                                                    with a model of coil-
                                                    only indoor unit as
                                                    specified in
                                                    paragraph (c)(2) of
                                                    this section).
------------------------------------------------------------------------

    (2) Refrigerants. (i) If a model of outdoor unit (used in a single-
split, multi-split, multi-circuit, multi-head mini-split, and/or 
outdoor unit with no match system) is distributed in commerce and 
approved for use with multiple refrigerants, a manufacturer must 
determine all represented values for that model using each refrigerant 
that can be used in an individual combination of the basic model 
(including outdoor units with no match or ``tested combinations''). 
This requirement may apply across the listed categories in the table in 
paragraph (b)(1) of this section. A refrigerant is considered approved 
for use if it is listed on the nameplate of the outdoor unit. If any of 
the refrigerants approved for use is HCFC-22 or has a 95 [deg]F 
midpoint saturation absolute pressure that is 18 percent of 
the 95 [deg]F saturation absolute pressure for HCFC-22, or if there are 
no refrigerants designated as approved for use, a manufacturer must 
determine represented values (including SEER2, HSPF2, cooling capacity, 
and heating capacity, as applicable) for, at a minimum, an outdoor unit 
with no match. If a model of outdoor unit is not charged with a 
specified refrigerant from the point of manufacture or if the unit is 
shipped requiring the addition of more than two pounds of refrigerant 
to meet the charge required for testing per section 5.1.8 of AHRI 210/
240-2023 (incorporated by reference, see Sec.  429.4) (unless either 
(a) the factory charge is equal to or greater than 70% of the outdoor 
unit internal volume multiplied by the liquid density of refrigerant at 
95 [deg]F or (b) an A2L refrigerant is approved for use and listed in 
the certification report), a manufacturer must determine represented 
values (including SEER2, HSPF2, cooling capacity, and heating capacity, 
as applicable) for, at a minimum, an outdoor unit with no match.
    (ii) If a model is approved for use with multiple refrigerants, a 
manufacturer may make multiple separate representations for the 
performance of that model (all within the same individual combination 
or outdoor unit with no match) using the multiple approved 
refrigerants. In the alternative, manufacturers may certify the model 
(all within the same individual combination or outdoor unit with no 
match) with a single representation, provided that the represented 
value is no more efficient than its performance using the least-
efficient refrigerant. A single representation made for multiple 
refrigerants may not include equipment in multiple categories or 
equipment subcategories listed in the table in paragraph (b)(1) of this 
section.
    (3) Limitations for represented values of individual combinations. 
The following paragraph explains the limitations for represented values 
of individual combinations (or ``tested combinations'').
    (i) Multiple product classes. Models of outdoor units that are 
rated and distributed in individual combinations that span multiple 
product classes must be tested, rated, and certified pursuant to 
paragraph (b) of this section as compliant with the applicable standard 
for each product class.
    (ii) Reserved.
    (4) Requirements. All represented values under paragraph (b) of 
this section must be based on testing in accordance with the 
requirements in paragraph (c) of this section or the application of an 
AEDM or other methodology as allowed in paragraph (d) of this section.
    (c) Units tested--(1) General. The general requirements of Sec.  
429.11 apply to air-cooled, three-phase, small commercial package air 
conditioning and heating equipment with a cooling capacity of less than 
65,000 Btu/h, and air-cooled, three-phase, variable refrigerant flow 
multi-split air conditioners and heat pumps with a cooling capacity of 
less than 65,000 Btu/h; and
    (2) Sampling plans and represented values. For individual models 
(for single-package systems) or individual combinations (for split-
systems, including ``tested combinations'' for multi-split, multi-
circuit, and multi-head mini-split systems) with represented values 
determined through testing, each individual model/combination (or 
``tested combination'') must have a sample of sufficient size tested in 
accordance with the applicable provisions of this subpart. For heat 
pumps (other than heating-only heat pumps), all units of the sample 
population must be tested in both the cooling and heating modes and the 
results used for determining all representations. The represented 
values for any individual model/combination must be assigned such that:
    (i) Off-Mode. Any represented value of power consumption or other 
measure of energy consumption for which consumers would favor lower 
values must be greater than or equal to the higher of:
    (A) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TP09DE21.001
    

and, x is the sample mean; n is the number of samples; and 
xi is the ith sample; or,
    (B) The upper 90 percent confidence limit (UCL) of the true mean 
divided by 1.05, where:
[GRAPHIC] [TIFF OMITTED] TP09DE21.002

    And x is the sample mean; s is the sample standard deviation; n is 
the number of samples; and t0.90 is the t statistic for a 90 
percent one-tailed confidence interval with n-1 degrees of freedom 
(from appendix A of this subpart). Round represented values of off-mode 
power consumption to the nearest watt.
    (ii) SEER2 and HSPF2. Any represented value of the energy 
efficiency or other measure of energy consumption for which consumers 
would favor higher values shall be less than or equal to the lower of:

[[Page 70338]]

    (A) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TP09DE21.003
    

and, x is the sample mean; n is the number of samples; and 
xi is the ith sample; or,
    (B) The lower 90 percent confidence limit (LCL) of the true mean 
divided by 0.95, where:
[GRAPHIC] [TIFF OMITTED] TP09DE21.004

    And x is the sample mean; s is the sample standard deviation; n is 
the number of samples; and t0.90 is the t statistic for a 90 
percent one-tailed confidence interval with n-1 degrees of freedom 
(from appendix A of this subpart). Round represented values of SEER2 
and HSPF2 to the nearest 0.05.
    (iii) Cooling Capacity and Heating Capacity. The represented values 
of cooling capacity and heating capacity must each be a self-declared 
value that is:
    (A) Less than or equal to the lower of:
    (1) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TP09DE21.005
    

and, x is the sample mean; n is the number of samples; and 
xi is the ith sample; or,
    (2) The lower 90 percent confidence limit (LCL) of the true mean 
divided by 0.95, where:
[GRAPHIC] [TIFF OMITTED] TP09DE21.006

    And x is the sample mean; s is the sample standard deviation; n is 
the number of samples; and t0.90 is the t statistic for a 90 
percent one-tailed confidence interval with n-1 degrees of freedom 
(from appendix D of this part).
    (B) Rounded according to:
    (1) The nearest 100 Btu/h if cooling capacity or heating capacity 
is less than 20,000 Btu/h,
    (2) The nearest 200 Btu/h if cooling capacity or heating capacity 
is greater than or equal to 20,000 Btu/h but less than 38,000 Btu/h, 
and
    (3) The nearest 500 Btu/h if cooling capacity or heating capacity 
is greater than or equal to 38,000 Btu/h and less than 65,000 Btu/h.
    (d) Determination of represented values--(1) All basic models 
except outdoor units with no match and multi-split systems, multi-
circuit systems, and multi-head mini-split systems.
    (i) For every individual model/combination within a basic model, 
either--
    (A) A sample of sufficient size, comprised of production units or 
representing production units, must be tested as complete systems with 
the resulting represented values for the individual model/combination 
obtained in accordance with paragraphs (c)(1) and (2) of this section; 
or
    (B) The represented values of the measures of energy efficiency or 
energy consumption through the application of an AEDM in accordance 
with paragraph (e) of this section and Sec.  429.70.
    (2) Outdoor units with no match. All models of outdoor units with 
no match within a basic model must be tested with a model of coil-only 
indoor unit meeting the requirements of section 5.1.6.2 of AHRI 210/
240-2023. Models of outdoor units with no match may not be rated with 
an AEDM, other than to determine the represented values for models 
using approved refrigerants other than the one used in testing.
    (3) For multi-split systems, multi-circuit systems, and multi-head 
mini-split systems. The following applies:
    (i) For each non-SDHV basic model, at a minimum, a manufacturer 
must test the model of outdoor unit with a ``tested combination'' 
composed entirely of non-ducted indoor units. For any models of outdoor 
units also sold with models of ducted indoor units, a manufacturer must 
test a second ``tested combination'' composed entirely of ducted indoor 
units (in addition to the non-ducted combination). The ducted ``tested 
combination'' must comprise the highest static variety of ducted indoor 
unit distributed in commerce (i.e., conventional, mid-static, or low-
static).
    (ii) If a manufacturer chooses to make representations of a variety 
of a basic model (i.e., conventional, low static, or mid-static) other 
than a variety for which a representation is required under paragraph 
(b)(1) of this section the manufacturer must conduct testing of a 
tested combination according to the requirements in paragraphs (c)(1) 
and (2) of this section.
    (iii) For basic models that include mixed combinations of indoor 
units (i.e., combinations that are comprised of any two of the 
following varieties--non-ducted, low-static, mid-static, and 
conventional ducted indoor units), the represented value for the mixed 
combination is the mean of the represented values for the individual 
component combinations as determined in accordance with paragraphs 
(c)(1) and (2) and paragraphs (d)(3)(i) and (ii) of this section.
    (iv) For each SDHV basic model distributed in commerce by an OUM, 
the OUM must, at a minimum, test the model of outdoor unit with a 
``tested combination'' composed entirely of SDHV indoor units. For each 
SDHV basic model distributed in commerce by an ICM, the ICM must test 
the model of indoor unit with a ``tested combination'' composed 
entirely of SDHV indoor units, where the outdoor unit is the least 
efficient model of outdoor unit with which the SDHV indoor unit will be 
paired. The least efficient model of outdoor unit is the model of 
outdoor unit in the lowest SEER2 combination as certified by the 
outdoor unit manufacturer. If there are multiple outdoor unit models 
with the same lowest SEER2 represented value, the indoor coil 
manufacturer may select one for testing purposes.
    (v) For basic models that include SDHV and an indoor unit of 
another variety (i.e., non-ducted, low-static, mid-static, and 
conventional ducted), the represented value for the mixed SDHV/other 
combination is the mean of the represented values for the SDHV and 
other tested combination as determined in accordance with paragraphs 
(c)(1) through (2) and paragraphs (d)(3)(i) through (ii) of this 
section.
    (vi) All other individual combinations of models of indoor units 
for the same model of outdoor unit for which the manufacturer chooses 
to make representations must be rated as separate basic models, and the 
provisions of paragraphs (c)(1) through (2) and (d)(3)(i) through (v) 
of this section apply.
    (e) Alternative efficiency determination methods. In lieu of 
testing, represented values of efficiency or consumption may be 
determined through the application of an AEDM pursuant to the 
requirements of Sec.  429.70(i) and the provisions of this section.
    (1) Power or energy consumption. Any represented value of the 
average off mode power consumption or other measure of energy 
consumption of an individual model/combination for which consumers 
would favor lower values must be greater than or equal to the output of 
the AEDM but no greater than the standard.
    (2) Energy efficiency. Any represented value of the SEER2, HSPF2, 
or other measure of energy efficiency of an individual model/
combination for which consumers would favor higher values must be less 
than or equal to the output of the AEDM but no less than the standard.
    (3) Cooling capacity. The represented value of cooling capacity of 
an individual model/combination must be no greater than the cooling 
capacity output simulated by the AEDM.

[[Page 70339]]

    (4) Heating capacity. The represented value of heating capacity of 
an individual model/combination must be no greater than the heating 
capacity output simulated by the AEDM.
    (f) Certification reports. This paragraph specifies the information 
that must be included in a certification report.
    (1) The requirements of Sec.  429.12; and
    (2) Pursuant to Sec.  429.12(b)(13), for each individual model (for 
single-package systems) or individual combination (for split-systems, 
including outdoor units with no match and ``tested combinations'' for 
multi-split, multi-circuit, and multi-head mini-split systems), a 
certification report must include the following public equipment-
specific information:
    (i) Commercial package air conditioning equipment that is air-
cooled with a cooling capacity of less than 65,000 Btu/h (3-Phase): The 
seasonal energy efficiency ratio (SEER in British thermal units per 
Watt-hour (Btu/Wh), and the rated cooling capacity in British thermal 
units per hour (Btu/h).
    (ii) Commercial package heating equipment that is air-cooled with a 
cooling capacity of less than 65,000 Btu/h (3-Phase): The seasonal 
energy efficiency ratio (SEER in British thermal units per Watt-hour 
(Btu/Wh)), the heating seasonal performance factor (HSPF in British 
thermal units per Watt-hour (Btu/Wh)), and the rated cooling capacity 
in British thermal units per hour (Btu/h).
    (iii) Variable refrigerant flow multi-split air conditioners that 
are air-cooled with rated cooling capacity of less than 65,000 Btu/h 
(3-Phase): The seasonal energy efficiency ratio (SEER in British 
thermal units per Watt-hour (Btu/Wh)) and rated cooling capacity in 
British thermal units per hour (Btu/h).
    (iv) Variable refrigerant flow multi-split heat pumps that are air-
cooled with rated cooling capacity of less than 65,000 Btu/h (3-Phase): 
The seasonal energy efficiency ratio (SEER in British thermal units per 
Watt-hour (Btu/Wh)), the heating seasonal performance factor (HSPF in 
British thermal units per Watt-hour (Btu/Wh)), and rated cooling 
capacity in British thermal units per hour (Btu/h).
    (3) Pursuant to Sec.  429.12(b)(13), for each individual model/
combination (including outdoor units with no match and ``tested 
combinations''), a certification report must include supplemental 
information submitted in PDF format. The equipment-specific, 
supplemental information must include any additional testing and 
testing set up instructions (e.g., charging instructions) for the basic 
model; identification of all special features that were included in 
rating the basic model; and all other information (e.g., operational 
codes or component settings) necessary to operate the basic model under 
the required conditions specified by the relevant test procedure. A 
manufacturer may also include with a certification report other 
supplementary items in PDF format (e.g., manuals) for DOE consideration 
in performing testing under subpart C of this part. The equipment-
specific, supplemental information must include at least the following:
    (i) Air cooled commercial package air conditioning equipment with a 
cooling capacity of less than 65,000 Btu/h (3-phase): The nominal 
cooling capacity in British thermal units per hour (Btu/h); rated 
airflow in standard cubic feet per minute (SCFM) for each fan coil; 
rated static pressure in inches of water; refrigeration charging 
instructions (e.g., refrigerant charge, superheat and/or subcooling 
temperatures); frequency or control set points for variable speed 
components (e.g., compressors, VFDs); required dip switch/control 
settings for step or variable components; a statement whether the model 
will operate at test conditions without manufacturer programming; any 
additional testing instructions, if applicable; if a variety of motors/
drive kits are offered for sale as options in the basic model to 
account for varying installation requirements, the model number and 
specifications of the motor (to include efficiency, horsepower, open/
closed, and number of poles) and the drive kit, including settings, 
associated with that specific motor that were used to determine the 
certified rating; and which, if any, special features were included in 
rating the basic model.
    (ii) Commercial package heating equipment that is air-cooled with a 
cooling capacity of less than 65,000 Btu/h (3-phase): The nominal 
cooling capacity in British thermal units per hour (Btu/h); rated 
heating capacity in British thermal units per hour (Btu/h); rated 
airflow in standard cubic feet per minute (SCFM) for each fan coil; 
rated static pressure in inches of water; refrigeration charging 
instructions (e.g., refrigerant charge, superheat and/or subcooling 
temperatures); frequency or control set points for variable speed 
components (e.g., compressors, VFDs); required dip switch/control 
settings for step or variable components; a statement whether the model 
will operate at test conditions without manufacturer programming; any 
additional testing instructions, if applicable; if a variety of motors/
drive kits are offered for sale as options in the basic model to 
account for varying installation requirements, the model number and 
specifications of the motor (to include efficiency, horsepower, open/
closed, and number of poles) and the drive kit, including settings, 
associated with that specific motor that were used to determine the 
certified rating; and which, if any, special features were included in 
rating the basic model.
    (iii) Variable refrigerant flow multi-split air conditioners that 
are air-cooled with a cooling capacity of less than 65,000 Btu/h (3-
Phase): The nominal cooling capacity in British thermal units per hour 
(Btu/h); outdoor unit(s) and indoor units identified in the tested 
combination; components needed for heat recovery, if applicable; rated 
airflow in standard cubic feet per minute (SCFM) for each indoor unit; 
rated static pressure in inches of water; compressor frequency set 
points; required dip switch/control settings for step or variable 
components; a statement whether the model will operate at test 
conditions without manufacturer programming; any additional testing 
instructions, if applicable; if a variety of motors/drive kits are 
offered for sale as options in the basic model to account for varying 
installation requirements, the model number and specifications of the 
motor (to include efficiency, horsepower, open/closed, and number of 
poles) and the drive kit, including settings, associated with that 
specific motor that were used to determine the certified rating; and 
which, if any, special features were included in rating the basic 
model. Additionally, upon DOE request, the manufacturer must provide a 
layout of the system set-up for testing including charging instructions 
consistent with the installation manual.
    (iv) Variable refrigerant flow multi-split heat pumps that are air-
cooled with rated cooling capacity of less than 65,000 Btu/h (3-Phase): 
The nominal cooling capacity in British thermal units per hour (Btu/h); 
rated heating capacity in British thermal units per hour (Btu/h); 
outdoor unit(s) and indoor units identified in the tested combination; 
components needed for heat recovery, if applicable; rated airflow in 
standard cubic feet per minute (SCFM) for each indoor unit; rated 
static pressure in inches of water; compressor frequency set points; 
required dip switch/control settings for step or variable components; a 
statement whether the model will operate at test conditions without 
manufacturer programming; any additional testing instructions, if

[[Page 70340]]

applicable; if a variety of motors/drive kits are offered for sale as 
options in the basic model to account for varying installation 
requirements, the model number and specifications of the motor (to 
include efficiency, horsepower, open/closed, and number of poles) and 
the drive kit, including settings, associated with that specific motor 
that were used to determine the certified rating; and which, if any, 
special features were included in rating the basic model. Additionally, 
upon DOE request, the manufacturer must provide a layout of the system 
set-up for testing including charging instructions consistent with the 
installation manual.
0
6. Amend Sec.  429.70 by:
0
a. Revising paragraph (c) introductory text;
0
b. Revising the tables in paragraphs (c)(2)(iv) and (c)(5)(vi)(B); and
0
c. Adding paragraph (i).
    The revisions and addition read as follows:


Sec.  429.70  Alternative methods for determining energy efficiency and 
energy use.

* * * * *
    (c) Alternative efficiency determination method (AEDM) for 
commercial HVAC & WH products (excluding air-cooled, three-phase, small 
commercial package air conditioning and heating equipment with a 
cooling capacity of less than 65,000 Btu/h and air-cooled, three-phase, 
variable refrigerant flow multi-split air conditioners and heat pumps 
with less than 65,000 Btu/h cooling capacity), and commercial 
refrigerators, freezers, and refrigerator-freezers--
* * * * *
    (2) * * *
    (iv) * * *

------------------------------------------------------------------------
                                              Minimum number of distinct
              Validation class                models that must be tested
                                                       per AEDM
------------------------------------------------------------------------
                 (A) Commercial HVAC validation classes
------------------------------------------------------------------------
Air-Cooled, Split and Packaged ACs and HPs   2 Basic Models.
 Greater than or Equal to 65,000 Btu/h
 Cooling Capacity and Less than 760,000 Btu/
 h Cooling Capacity.
Water-Cooled, Split and Packaged ACs and     2 Basic Models.
 HPs, All Cooling Capacities.
Evaporatively-Cooled, Split and Packaged     2 Basic Models.
 ACs and HPs, All Capacities.
Water-Source HPs, All Capacities...........  2 Basic Models.
Single Package Vertical ACs and HPs........  2 Basic Models.
Packaged Terminal ACs and HPs..............  2 Basic Models.
Air-Cooled, Variable Refrigerant Flow ACs    2 Basic Models.
 and HPs Greater than or Equal to 65,000
 Btu/h Cooling Capacity.
Water-Cooled, Variable Refrigerant Flow ACs  2 Basic Models.
 and HPs.
Computer Room Air Conditioners, Air Cooled.  2 Basic Models.
Computer Room Air Conditioners, Water-       2 Basic Models.
 Cooled.
------------------------------------------------------------------------
             (B) Commercial water heater validation classes
------------------------------------------------------------------------
Gas-fired Water Heaters and Hot Water        2 Basic Models.
 Supply Boilers Less than 10 Gallons.
Gas-fired Water Heaters and Hot Water        2 Basic Models.
 Supply Boilers Greater than or Equal to 10
 Gallons.
Oil-fired Water Heaters and Hot Water        2 Basic Models.
 Supply Boilers Less than 10 Gallons.
Oil-fired Water Heaters and Hot Water        2 Basic Models.
 Supply Boilers Greater than or Equal to 10
 Gallons.
Electric Water Heaters.....................  2 Basic Models.
Heat Pump Water Heaters....................  2 Basic Models.
Unfired Hot Water Storage Tanks............  2 Basic Models.
------------------------------------------------------------------------
           (C) Commercial packaged boilers validation classes
------------------------------------------------------------------------
Gas-fired, Hot Water Only Commercial         2 Basic Models.
 Packaged Boilers.
Gas-fired, Steam Only Commercial Packaged    2 Basic Models.
 Boilers.
Gas-fired Hot Water/Steam Commercial         2 Basic Models.
 Packaged Boilers.
Oil-fired, Hot Water Only Commercial         2 Basic Models.
 Packaged Boilers.
Oil-fired, Steam Only Commercial Packaged    2 Basic Models.
 Boilers.
Oil-fired Hot Water/Steam Commercial         2 Basic Models.
 Packaged Boilers.
------------------------------------------------------------------------
                (D) Commercial furnace validation classes
------------------------------------------------------------------------
Gas-fired Furnaces.........................  2 Basic Models.
Oil-fired Furnaces.........................  2 Basic Models.
------------------------------------------------------------------------
        (E) Commercial refrigeration equipment validation classes
------------------------------------------------------------------------
Self-Contained Open Refrigerators..........  2 Basic Models.
Self-Contained Open Freezers...............  2 Basic Models.
Remote Condensing Open Refrigerators.......  2 Basic Models.
Remote Condensing Open Freezers............  2 Basic Models.
Self-Contained Closed Refrigerators........  2 Basic Models.
Self-Contained Closed Freezers.............  2 Basic Models.
Remote Condensing Closed Refrigerators.....  2 Basic Models.
Remote Condensing Closed Freezers..........  2 Basic Models.
------------------------------------------------------------------------
\1\ The minimum number of tests indicated above must be comprised of a
  transparent model, a solid model, a vertical model, a semi-vertical
  model, a horizontal model, and a service-over-the counter model, as
  applicable based on the equipment offering. However, manufacturers do
  not need to include all types of these models if it will increase the
  minimum number of tests that need to be conducted.


[[Page 70341]]

* * * * *
    (5) * * *
    (vi) * * *
    (B) * * *

------------------------------------------------------------------------
                                                            Applicable
             Equipment                     Metric          tolerance (%)
------------------------------------------------------------------------
Commercial Packaged Boilers.......  Combustion                  5 (0.05)
                                     Efficiency.
                                    Thermal Efficiency..        5 (0.05)
Commercial Water Heaters or Hot     Thermal Efficiency..        5 (0.05)
 Water Supply Boilers.
                                    Standby Loss........        10 (0.1)
Unfired Storage Tanks.............  R-Value.............        10 (0.1)
Air-Cooled, Split and Packaged ACs  Energy Efficiency           5 (0.05)
 and HPs Greater than or Equal to    Ratio.                     5 (0.05)
 65,000 Btu/h Cooling Capacity and  Coefficient of
 Less than 760,000 Btu/h Cooling     Performance.
 Capacity.
                                    Integrated Energy           10 (0.1)
                                     Efficiency Ratio.
Water-Cooled, Split and Packaged    Energy Efficiency           5 (0.05)
 ACs and HPs, All Cooling            Ratio.
 Capacities.
                                    Coefficient of              5 (0.05)
                                     Performance.
                                    Integrated Energy           10 (0.1)
                                     Efficiency Ratio.
Evaporatively-Cooled, Split and     Energy Efficiency           5 (0.05)
 Packaged ACs and HPs, All           Ratio.
 Capacities.
                                    Coefficient of              5 (0.05)
                                     Performance.
                                    Integrated Energy           10 (0.1)
                                     Efficiency Ratio.
Water-Source HPs, All Capacities..  Energy Efficiency           5 (0.05)
                                     Ratio.
                                    Coefficient of              5 (0.05)
                                     Performance.
                                    Integrated Energy           10 (0.1)
                                     Efficiency Ratio.
Single Package Vertical ACs and     Energy Efficiency           5 (0.05)
 HPs.                                Ratio.
                                    Coefficient of              5 (0.05)
                                     Performance.
Packaged Terminal ACs and HPs.....  Energy Efficiency           5 (0.05)
                                     Ratio.
                                    Coefficient of              5 (0.05)
                                     Performance.
Variable Refrigerant Flow ACs and   Energy Efficiency           5 (0.05)
 HPs (Excluding Air-Cooled, Three-   Ratio.                     5 (0.05)
 phase with Less than 65,000 Btu/h  Coefficient of
 Cooling Capacity).                  Performance.
                                    Integrated Energy           10 (0.1)
                                     Efficiency Ratio.
Computer Room Air Conditioners....  Sensible Coefficient        5 (0.05)
                                     of Performance.
Commercial Warm-Air Furnaces......  Thermal Efficiency..        5 (0.05)
Commercial Refrigeration Equipment  Daily Energy                5 (0.05)
                                     Consumption.
------------------------------------------------------------------------

* * * * *
    (i) Alternate Efficiency Determination Method (AEDM) for air-
cooled, three-phase, small commercial package air conditioning and 
heating equipment with a cooling capacity of less than 65,000 Btu/h and 
air-cooled, three-phase, variable refrigerant flow multi-split air 
conditioners and heat pumps with less than 65,000 Btu/h cooling 
capacity.
    (1) Applicability. (i) For air-cooled, three-phase, small 
commercial package air conditioning and heating equipment with a 
cooling capacity of less than 65,000 Btu/h and air-cooled, three-phase, 
variable refrigerant flow multi-split air conditioners and heat pumps 
with a cooling capacity of less than 65,000 Btu/h subject to standards 
in terms of seasonal energy efficiency ratio (SEER) and heating 
seasonal performance factor (HSPF), representations with respect to the 
energy use or efficiency, including compliance certifications, are 
subject to the requirements in Sec.  429.70(c) of this title as it 
appeared in the 10 CFR parts 200-499 edition revised as of January 1, 
2021.
    (ii) For air-cooled, three-phase, small commercial package air 
conditioning and heating equipment with a cooling capacity of less than 
65,000 Btu/h and air-cooled, three-phase, variable refrigerant flow 
multi-split air conditioners and heat pumps with a cooling capacity of 
less than 65,000 Btu/h subject to standards in terms of seasonal energy 
efficiency ratio 2 (``SEER2'') and heating seasonal performance factor 
2 (``HSPF2'') metrics, representations with respect to the energy use 
or efficiency, including compliance certifications, are subject to the 
requirements in this section. If manufacturers choose to certify 
compliance with any standards in terms of SEER2 and HSPF2 prior to the 
applicable compliance date for those standards, the requirements of 
this section must be followed.
    (2) Criteria an AEDM must satisfy. A manufacturer may not apply an 
AEDM to an individual model/combination to determine its represented 
values (SEER2 and HSPF2, as applicable) pursuant to this section unless 
authorized pursuant to Sec.  429.64(e) and:
    (i) The AEDM is derived from a mathematical model that estimates 
the energy efficiency or energy consumption characteristics of the 
individual model or combination (SEER2 and HSPF2, as applicable) as 
measured by the applicable DOE test procedure; and
    (ii) The manufacturer has validated the AEDM in accordance with 
paragraph (i)(3) of this section.
    (3) Validation of an AEDM. For manufacturers whose models of air-
cooled, three-phase, small commercial package air conditioning and 
heating equipment with a cooling capacity of less than 65,000 Btu/h or 
air-cooled, three-phase, variable refrigerant flow multi-split air 
conditioners and heat pumps with a cooling capacity of less than 65,000 
Btu/h are otherwise identical to their central air conditioner and heat 
pump models (meaning differing only in phase of the electrical system 
and the phase of power input for which the motors and compressors are 
designed) and who have validated an AEDM for the otherwise identical 
central air conditioners and heat pumps under Sec.  429.70(e)(2), no 
additional validation is required. For manufacturers whose models of 
air-cooled, three-phase, small commercial package air conditioning and 
heating equipment with a cooling capacity of less than 65,000 Btu/h or 
air-cooled, three-phase, variable refrigerant flow multi-split air 
conditioners and heat pumps with a cooling capacity of less than 65,000 
Btu/h who have not validated an AEDM for otherwise identical central 
air conditioners and

[[Page 70342]]

heat pumps under Sec.  429.70(e)(2) must, before using an AEDM, 
validate the AEDM's accuracy and reliability as follows:
    (i) Minimum testing. The manufacturer must test a single unit each 
of two basic models in accordance with paragraph (i)(3)(iii) of this 
section. Using the AEDM, calculate the energy use or efficiency for 
each of the tested individual models/combinations within each basic 
model. Compare the represented value based on testing and the AEDM 
energy use or efficiency output according to paragraph (i)(3)(ii) of 
this section. The manufacturer is responsible for ensuring the accuracy 
and reliability of the AEDM and that their representations are 
appropriate and the models being distributed in commerce meet the 
applicable standards, regardless of the amount of testing required in 
this paragraph.
    (ii) Individual model/combination tolerances. This paragraph 
(i)(3)(ii) provides the tolerances applicable to individual models/
combinations rated using an AEDM.
    (A) The predicted represented values for each individual model/
combination calculated by applying the AEDM may not be more than four 
percent greater (for measures of efficiency) or less (for measures of 
consumption) than the values determined from the corresponding test of 
the individual model/combination.
    (B) The predicted energy efficiency or consumption for each 
individual model/combination calculated by applying the AEDM must meet 
or exceed the applicable federal energy conservation standard.
    (iii) Additional test unit requirements. (A) Each AEDM must be 
supported by test data obtained from physical tests of current 
individual models/combinations; and
    (B) Test results used to validate the AEDM must meet or exceed 
current, applicable Federal standards as specified in part 431 of this 
chapter; and
    (C) Each test must have been performed in accordance with the 
applicable DOE test procedure with which compliance is required at the 
time the individual models/combinations used for validation are 
distributed in commerce.
    (4) AEDM records retention requirements. If a manufacturer has used 
an AEDM to determine representative values pursuant to this section, 
the manufacturer must have available upon request for inspection by the 
Department records showing:
    (i) The AEDM, including the mathematical model, the engineering or 
statistical analysis, and/or computer simulation or modeling that is 
the basis of the AEDM;
    (ii) Product information, complete test data, AEDM calculations, 
and the statistical comparisons from the units tested that were used to 
validate the AEDM pursuant to paragraph (i)(3) of this section; and
    (iii) Product information and AEDM calculations for each individual 
model/combination to which the AEDM has been applied.
    (5) Additional AEDM requirements. If requested by the Department, 
the manufacturer must:
    (i) Conduct simulations before representatives of the Department to 
predict the performance of particular individual models/combinations;
    (ii) Provide analyses of previous simulations conducted by the 
manufacturer; and/or
    (iii) Conduct certification testing of individual models or 
combinations selected by the Department.
    (6) AEDM verification testing. DOE may use the test data for a 
given individual model/combination generated pursuant to Sec.  429.104 
to verify the represented value determined by an AEDM as long as the 
following process is followed:
    (i) Selection of units. DOE will obtain one or more units for test 
from retail, if available. If units cannot be obtained from retail, DOE 
will request that a unit be provided by the manufacturer;
    (ii) Lab requirements. DOE will conduct testing at an independent, 
third-party testing facility of its choosing. In cases where no third-
party laboratory is capable of testing the equipment, testing may be 
conducted at a manufacturer's facility upon DOE's request.
    (iii) Testing. At no time during verification testing may the lab 
and the manufacturer communicate without DOE authorization. If, during 
test set-up or testing, the lab indicates to DOE that it needs 
additional information regarding a given individual model or 
combination in order to test in accordance with the applicable DOE test 
procedure, DOE may organize a meeting between DOE, the manufacturer, 
and the lab to provide such information.
    (iv) Failure to meet certified value. If an individual model/
combination tests worse than its certified value (i.e., lower than the 
certified efficiency value or higher than the certified consumption 
value) by more than 5 percent, or the test results in cooling capacity 
that is lower than its certified cooling capacity, DOE will notify the 
manufacturer. DOE will provide the manufacturer with all documentation 
related to the test set up, test conditions, and test results for the 
unit. Within the timeframe allotted by DOE, the manufacturer may 
present any and all claims regarding testing validity.
    (v) Tolerances. This paragraph specifies the tolerances DOE will 
permit when conducting verification testing.
    (A) For consumption metrics, the result from a DOE verification 
test must be less than or equal to 1.05 multiplied by the certified 
represented value.
    (B) For efficiency metrics, the result from a DOE verification test 
must be greater than or equal to 0.95 multiplied by the certified 
represented value.
    (vi) Invalid represented value. If, following discussions with the 
manufacturer and a retest where applicable, DOE determines that the 
verification testing was conducted appropriately in accordance with the 
DOE test procedure, DOE will issue a determination that the represented 
values for the basic model are invalid. The manufacturer must conduct 
additional testing and re-rate and re-certify the individual models/
combinations within the basic model that were rated using the AEDM 
based on all test data collected, including DOE's test data.
    (vii) AEDM use. This paragraph (i)(6)(vii) specifies when a 
manufacturer's use of an AEDM may be restricted due to prior invalid 
represented values.
    (A) If DOE has determined that a manufacturer made invalid 
represented values on individual models/combinations within two or more 
basic models rated using the manufacturer's AEDM within a 24-month 
period, the manufacturer must test the least efficient and most 
efficient individual model/combination within each basic model in 
addition to the individual model/combination specified in Sec.  
429.16(b)(2). The 24-month period begins with a DOE determination that 
a represented value is invalid through the process outlined in 
paragraphs (i)(6)(i) through (vi) of this section.
    (B) If DOE has determined that a manufacturer made invalid 
represented values on more than four basic models rated using the 
manufacturer's AEDM within a 24-month period, the manufacturer may no 
longer use an AEDM.
    (C) If a manufacturer has lost the privilege of using an AEDM, the 
manufacturer may regain the ability to use an AEDM by:
    (1) Investigating and identifying cause(s) for failures;
    (2) Taking corrective action to address cause(s);
    (3) Performing six new tests per basic model, a minimum of two of 
which must be performed by an independent,

[[Page 70343]]

third-party laboratory from units obtained from retail to validate the 
AEDM; and
    (4) Obtaining DOE authorization to resume use of an AEDM.
0
7. Section 429.134 is amended by adding paragraph (s) to read as 
follows:


Sec.  429.134  Product-specific enforcement provisions.

* * * * *
    (s) Air-cooled, three-phase, small commercial package air 
conditioning and heating equipment with a cooling capacity of less than 
65,000 Btu/h and air-cooled, three-phase, variable refrigerant flow 
multi-split air conditioners and heat pumps with a cooling capacity of 
less than 65,000 Btu/h. The following provisions apply for assessment 
and enforcement testing of models subject to standards in terms of 
SEER2 and HSPF2 (as applicable).
    (1) Verification of cooling capacity. The cooling capacity of each 
tested unit of the individual model (for single-package units) or 
individual combination (for split systems) will be measured pursuant to 
the test requirements of appendix B1 to subpart F of part 431. The mean 
of the cooling capacity measurement(s) (either the measured cooling 
capacity for a single unit sample or the average of the measured 
cooling capacities for a multiple unit sample) will be used to 
determine the applicable standards for purposes of compliance.
    (2) Verification of CD value. (i) For models other than models of 
outdoor units with no match, if manufacturers certify that they did not 
conduct the optional tests to determine the Cc and/or 
Ch value for an individual model (for single-package 
systems) or individual combination (for split systems), as applicable, 
the default Cc and/or Ch value will be used as 
the basis for calculation of SEER2 or HSPF2 for each unit tested. If 
manufacturers certify that they conducted the optional tests to 
determine the Cc and/or Ch value for an 
individual model (for single-package systems) or individual combination 
(for split systems), as applicable, the Cc and/or 
Ch value will be measured pursuant to the test requirements 
of appendix B1 to subpart F of part 431 for each unit tested and the 
result for each unit tested (either the tested value or the default 
value, as selected according to the criteria for the cyclic test in 
Sections 6.1.3.1 and 6.1.3.2 of AHRI 210/240-2023 (incorporated by 
reference, see Sec.  429.4)) used as the basis for calculation of SEER2 
or HSPF2 for that unit.
    (ii) For models of outdoor units with no match, DOE will use the 
default Cc and/or Ch value pursuant to appendix B1 to subpart F of part 
431.

PART 431--ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND 
INDUSTRIAL EQUIPMENT

0
8. The authority citation for part 431 continues to read as follows:

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

0
9. Amend Sec.  431.92 in the definition of Basic model, by:
0
a. Revising paragraphs (2) and (5); and
0
b. Adding paragraph (7).
    The revisions and addition read as follows:


Sec.  431.92   Definitions concerning commercial air conditioners and 
heat pumps.

* * * * *
    Basic model includes:
* * * * *
    (2) Small, large, and very large air-cooled or water-cooled 
commercial package air conditioning and heating equipment (excluding 
air-cooled, three-phase, small commercial package air conditioning and 
heating equipment with a cooling capacity of less than 65,000 Btu/h 
cooling capacity) means all units manufactured by one manufacturer 
within a single equipment class, having the same or comparably 
performing compressor(s), heat exchangers, and air moving system(s) 
that have a common ``nominal'' cooling capacity.
* * * * *
    (5) Variable refrigerant flow systems (excluding air-cooled, three-
phase, variable refrigerant flow air conditioners and heat pumps with a 
cooling capacity of less than 65,000 Btu/h) means all units 
manufactured by one manufacturer within a single equipment class, 
having the same primary energy source (e.g., electric or gas), and 
which have the same or comparably performing compressor(s) that have a 
common ``nominal'' cooling capacity and the same heat rejection medium 
(e.g., air or water) (includes VRF water source heat pumps).
* * * * *
    (7) Air-cooled, three-phase, small commercial package air 
conditioning and heating equipment with a cooling capacity of less than 
65,000 Btu/h and air-cooled, three-phase, variable refrigerant flow 
multi-split air conditioners and heat pumps with a cooling capacity of 
less than 65,000 Btu/h means all units manufactured by one 
manufacturer; having the same primary energy source; and, which have 
essentially identical electrical, physical, and functional (or 
hydraulic) characteristics that affect energy consumption, energy 
efficiency, water consumption, or water efficiency; where essentially 
identical electrical, physical, and functional (or hydraulic) 
characteristics means:
    (i) For split systems manufactured by outdoor unit manufacturers 
(OUMs): All individual combinations having the same model of outdoor 
unit, which means comparably performing compressor(s) [a variation of 
no more than five percent in displacement rate (volume per time) as 
rated by the compressor manufacturer, and no more than five percent in 
capacity and power input for the same operating conditions as rated by 
the compressor manufacturer], outdoor coil(s) [no more than five 
percent variation in face area and total fin surface area; same fin 
material; same tube material], and outdoor fan(s) [no more than ten 
percent variation in airflow and no more than twenty percent variation 
in power input];
    (ii) For split systems having indoor units manufactured by 
independent coil manufacturers (ICMs): All individual combinations 
having comparably performing indoor coil(s) [plus or minus one square 
foot face area, plus or minus one fin per inch fin density, and the 
same fin material, tube material, number of tube rows, tube pattern, 
and tube size]; and
    (iii) For single-package systems: All individual models having 
comparably performing compressor(s) [no more than five percent 
variation in displacement rate (volume per time) rated by the 
compressor manufacturer, and no more than five percent variations in 
capacity and power input rated by the compressor manufacturer 
corresponding to the same compressor rating conditions], outdoor 
coil(s) and indoor coil(s) [no more than five percent variation in face 
area and total fin surface area; same fin material; same tube 
material], outdoor fan(s) [no more than ten percent variation in 
outdoor airflow], and indoor blower(s) [no more than ten percent 
variation in indoor airflow, with no more than twenty percent variation 
in fan motor power input];
    (iv) Except that,
    (A) For single-package systems and single-split systems, 
manufacturers may instead choose to make each individual model/
combination its own basic model provided the testing and represented 
value requirements in 10 CFR 429.64 of this chapter are met; and
    (B) For multi-split, multi-circuit, and multi-head mini-split 
combinations, a

[[Page 70344]]

basic model may not include both individual small-duct, high velocity 
(SDHV) combinations and non-SDHV combinations even when they include 
the same model of outdoor unit. The manufacturer may choose to identify 
specific individual combinations as additional basic models.
* * * * *
0
10. Amend Sec.  431.95 by:
0
a. Removing paragraph (b)(1);
0
b. Redesignating paragraph (b)(2) as (b)(1);
0
c. Revising newly redesignated paragraph (b)(1);
0
d. Adding new paragraph (b)(2);
0
e. Revising paragraph (b)(6); and
0
f. Revising paragraph (c)(2).
    The revisions and addition read as follows:


Sec.  431.95   Materials incorporated by reference.

* * * * *
    (b) * * *
    (1) ANSI/AHRI Standard 210/240-2008, ``2008 Standard for 
Performance Rating of Unitary Air-Conditioning & Air-Source Heat Pump 
Equipment'', approved by ANSI on October 27, 2011 and updated by 
addendum 1 in June 2011 and addendum 2 in March 2012 (AHRI 210/240-
2008), IBR approved for Sec.  431.96 and appendix B to this subpart.
    (2) AHRI Standard 210/240-2023, ``Performance Rating of Unitary 
Air-Conditioning & Air-Source Heat Pump Equipment,'' approved May 2020 
(AHRI 210/240-2023), IBR approved for appendix B1 to this subpart.
* * * * *
    (6) ANSI/AHRI Standard 1230-2010, ``2010 Standard for Performance 
Rating of Variable Refrigerant Flow (VRF) Multi-split Air-Conditioning 
and Heat Pump Equipment,'' approved August 2, 2010 and updated by 
addendum 1 in March 2011 (AHRI 1230-2010), IBR approved for Sec.  
431.96 and appendix B to this subpart.
    (c) * * *
    (2) ANSI/ASHRAE Standard 37-2009, (``ANSI/ASHRAE 37-2009''), 
``Methods of Testing for Rating Electrically Driven Unitary Air-
Conditioning and Heat Pump Equipment,'' ASHRAE approved June 24, 2009, 
IBR approved for Sec.  431.96 and appendices A and B1 to this subpart.
* * * * *
0
11. Amend Sec.  431.96 by revising paragraph (b)(1) and Table 1 to 
paragraph (b)(2), to read as follows:


Sec.  431.96   Uniform test method for the measurement of energy 
efficiency of commercial air conditioners and heat pumps.

* * * * *
    (b) Testing and calculations. (1) Determine the energy efficiency 
of each type of covered equipment by conducting the test procedure(s) 
listed in table 1 to this section along with any additional testing 
provisions set forth in paragraphs (c) through (g) of this section and 
appendices A, B, and B1 to this subpart, that apply to the energy 
efficiency descriptor for that equipment, category, and cooling 
capacity. The omitted sections of the test procedures listed in table 1 
to this section must not be used. For equipment with multiple 
appendices listed in table 1, consult the notes at the beginning of 
those appendices to determine the applicable appendix to use for 
testing.
    (2) * * *

                                Table 1 to Sec.   431.96--Test Procedures for Commercial Air Conditioners and Heat Pumps
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                                                      Additional test
                                                                                                                  Use tests,        procedure provisions
           Equipment type                   Category            Cooling capacity       Energy efficiency       conditions, and      as indicated in the
                                                                                           descriptor         procedures in \1\     listed paragraphs of
                                                                                                                                        this section
--------------------------------------------------------------------------------------------------------------------------------------------------------
Small Commercial Package Air-        Air-Cooled, 3-Phase,    <65,000 Btu/h.........  SEER and HSPF........  Appendix B to this     None.
 Conditioning and Heating Equipment.  AC and HP.                                                             subpart \2\.
                                                                                     SEER2 and HSPF2......  Appendix B1 to this    None.
                                                                                                             subpart \2\.
                                     Air-Cooled AC and HP..  >=65,000 Btu/h and      EER, IEER, and COP...  Appendix A to this     None.
                                                              <135,000 Btu/h.                                subpart.
                                     Water-Cooled and        <65,000 Btu/h.........  EER..................  AHRI 210/240-2008      Paragraphs (c) and
                                      Evaporatively-Cooled                                                   (omit section 6.5).    (e).
                                      AC.
                                                             >=65,000 Btu/h and      EER..................  AHRI 340/360-2007      Paragraphs (c) and
                                                              <135,000 Btu/h.                                (omit section 6.3).    (e).
                                     Water-Source HP.......  <135,000 Btu/h........  EER and COP..........  ISO Standard 13256-1   Paragraph (e).
                                                                                                             (1998).
Large Commercial Package Air-        Air-Cooled AC and HP..  >=135,000 Btu/h and     EER, IEER and COP....  Appendix A to this     None.
 Conditioning and Heating Equipment.                          <240,000 Btu/h.                                subpart.
                                     Water-Cooled and        >=135,000 Btu/h and     EER..................  AHRI 340/360-2007      Paragraphs (c) and
                                      Evaporatively-Cooled    <240,000 Btu/h.                                (omit section 6.3).    (e).
                                      AC.
Very Large Commercial Package Air-   Air-Cooled AC and HP..  >=240,000 Btu/h and     EER, IEER and COP....  Appendix A to this     None.
 Conditioning and Heating Equipment.                          <760,000 Btu/h.                                subpart.
                                     Water-Cooled and        >=240,000 Btu/h and     EER..................  AHRI 340/360-2007      Paragraphs (c) and
                                      Evaporatively-Cooled    <760,000 Btu/h.                                (omit section 6.3).    (e).
                                      AC.
Packaged Terminal Air Conditioners   AC and HP.............  <760,000 Btu/h........  EER and COP..........  Paragraph (g) of this  Paragraphs (c), (e),
 and Heat Pumps.                                                                                             section.               and (g).
Computer Room Air Conditioners.....  AC....................  <65,000 Btu/h.........  SCOP.................  ASHRAE 127-2007 (omit  Paragraphs (c) and
                                                                                                             section 5.11).         (e).

[[Page 70345]]

 
                                                             >=65,000 Btu/h and      SCOP.................  ASHRAE 127-2007 (omit  Paragraphs (c) and
                                                              <760,000 Btu/h.                                section 5.11).         (e).
Variable Refrigerant Flow Multi-     AC....................  <65,000 Btu/h (3-       SEER.................  Appendix B to this     None.
 split Systems.                                               phase).                                        subpart \2\.
                                                                                     SEER2................  Appendix B1 to this    None.
                                                                                                             subpart \2\.
                                                             >=65,000 Btu/h and      EER..................  AHRI 1230-2010 (omit   Paragraphs (c), (d),
                                                              <760,000 Btu/h.                                sections 5.1.2 and     (e), and (f).
                                                                                                             6.6).
Variable Refrigerant Flow Multi-     HP....................  <65,000 Btu/h (3-       SEER and HSPF........  Appendix B to this     None.
 split Systems, Air-cooled.                                   phase).                                        subpart \2\.
                                                                                     SEER2 and HSPF2......  Appendix B1 to this    None.
                                                                                                             subpart \2\.
                                                             >=65,000 Btu/h and      EER and COP..........  AHRI 1230-2010 (omit   Paragraphs (c), (d),
                                                              <760,000 Btu/h.                                sections 5.1.2 and     (e), and (f).
                                                                                                             6.6).
Variable Refrigerant Flow Multi-     HP....................  <760,000 Btu/h........  EER and COP..........  AHRI 1230-2010 (omit   Paragraphs (c), (d),
 split Systems, Water-source.                                                                                sections 5.1.2 and     (e), and (f).
                                                                                                             6.6).
Single Package Vertical Air          AC and HP.............  <760,000 Btu/h........  EER and COP..........  AHRI 390-2003 (omit    Paragraphs (c) and
 Conditioners and Single Package                                                                             section 6.4).          (e).
 Vertical Heat Pumps.
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Incorporated by reference, as applicable; see Sec.   431.95.
\2\ For equipment with multiple appendices listed in Table 1, consult the notes at the beginning of those appendices to determine the applicable
  appendix to use for testing.

* * * * *
0
12. Add appendix B to subpart F of part 431 to read as follows:

Appendix B to Subpart F of Part 431--Uniform Test Method for the 
Measurement of Energy Consumption of Air-Cooled, Three-Phase, Small 
Commercial Package Air Conditioning and Heating Equipment With a 
Cooling Capacity of Less Than 65,000 Btu/H and Air-Cooled, Three-Phase, 
Variable Refrigerant Flow Multi-Split Air Conditioners and Heat Pumps 
With a Cooling Capacity of Less Than 65,000 BTU/H

    Note: Manufacturers must use the results of testing under this 
appendix to determine compliance with the relevant standard from 
Sec.  431.97 as that standard appeared in the January 1, 2021 
edition of 10 CFR parts 200-499. Specifically, before [Date 360 days 
following publication of the final rule] representations must be 
based upon results generated either under this appendix or under 10 
CFR 431.96 as it appeared in the 10 CFR parts 200-499 edition 
revised as of January 1, 2021.


    Note:  For any amended standards for air-cooled, three-phase, 
small commercial package air conditioning and heating equipment with 
a cooling capacity of less than 65,000 Btu/h and air-cooled, three-
phase, variable refrigerant flow multi-split air conditioners and 
heat pumps with a cooling capacity of less than 65,000 Btu/h that 
rely on SEER2 and HSPF2 published after January 1, 2021, 
manufacturers must use the results of testing under appendix B1 to 
determine compliance.

    Representations related to energy consumption must be made in 
accordance with the appropriate appendix that applies (i.e., 
appendices B or B1) when determining compliance with the relevant 
standard. Manufacturers may also use appendix B1 to certify 
compliance with any amended standards prior to the applicable 
compliance date for those standards.
    1. Incorporation by Reference
    DOE incorporated by reference in Sec.  431.95, the entire 
standard for ANSI/AHRI 210/240-2008, ``Performance Rating of Unitary 
Air-Conditioning & Air-Source Heat Pump Equipment''; and ANSI/AHRI 
1230-2010, ``Performance Rating of Variable Refrigerant Flow (VRF) 
Multi-split Air-conditioning and Heat Pump Equipment.'' However, 
certain enumerated provisions of those standards, as set forth in 
paragraphs (a) and (b) of this section, are inapplicable. To the 
extent there is a conflict between the terms or provisions of a 
referenced industry standard and the CFR, the CFR provisions 
control.
    (a) ANSI/AHRI 210/240-2008:
    (i) Section 6.5 is inapplicable as specified in section 2.1 of 
this appendix.
    (ii) Reserved.
    (b) ANSI/AHRI 1230-2010:
    (i) Section 5.1.2--Manufacturer involvement is inapplicable as 
specified in section 2.2(1) of this appendix.
    (ii) Section 6.6--Verification testing and uncertainty is 
inapplicable as specified in section 2.2(2) of this appendix.
    2. General
    2.1 Air-cooled, three-phase, small commercial package air 
conditioning and heating equipment with a cooling capacity of less 
than 65,000 Btu/h. Determine the seasonal energy efficiency ratio 
(SEER) and heating seasonal performance factor (HSPF) (as 
applicable) in accordance with ANSI/AHRI 210/240-2008; however, 
Section 6.5, Tolerances, of ANSI/AHRI 210/240-2008 is not 
applicable. Sections 3 and 4 of this appendix provide additional 
instructions for determining SEER and HSPF. In cases where there is 
a conflict, the language of this appendix takes precedence over 
ANSI/AHRI 210/240-2008.
    1.2. Air-cooled, three-phase, variable refrigerant flow multi-
split air conditioners and heat pumps with a cooling capacity of 
less than 65,000 Btu/h. Determine the SEER and HSPF (as applicable) 
in accordance with ANSI/AHRI 1230-2010; however, the following 
enumerated provisions of that document are not applicable.
    (1) Section 5.1.2--Manufacturer involvement,
    (2) Section 6.6--Verification testing and uncertainty
    Sections 3 through 6 of this appendix provide additional 
instructions for determining SEER and HSPF. In cases where there is 
a conflict, the language of this appendix takes precedence over 
ANSI/AHRI 1230-2010.
    3. Optional break-in period. Manufacturers may optionally 
specify a ``break-in'' period, not to exceed 20 hours, to operate 
the equipment under test prior to conducting the test method 
specified in this appendix. A

[[Page 70346]]

manufacturer who elects to use an optional compressor break-in 
period in its certification testing should record this period's 
duration as part of the information in the supplemental testing 
instructions under 10 CFR 429.43.
    4. Additional provisions for equipment set-up. The only 
additional specifications that may be used in setting up the basic 
model for test are those set forth in the installation and operation 
manual shipped with the unit. Each unit should be set up for test in 
accordance with the manufacturer installation and operation manuals. 
Sections 3.1 through 3.3 of this appendix provide specifications for 
addressing key information typically found in the installation and 
operation manuals.
    4.1. If a manufacturer specifies a range of superheat, sub-
cooling, and/or refrigerant pressure in its installation and 
operation manual for a given basic model, any value(s) within that 
range may be used to determine refrigerant charge or mass of 
refrigerant, unless the manufacturer clearly specifies a rating 
value in its installation and operation manual, in which case the 
specified rating value shall be used.
    4.2. The airflow rate used for testing must be that set forth in 
the installation and operation manuals being shipped to the 
commercial customer with the basic model and clearly identified as 
that used to generate the DOE performance ratings. If a rated 
airflow value for testing is not clearly identified, a value of 400 
standard cubic feet per minute (scfm) per ton shall be used.
    4.3. For air-cooled, three-phase, variable refrigerant flow 
multi-split air conditioners and heat pumps with a cooling capacity 
of less than 65,000 Btu/h, the test set-up and the fixed compressor 
speeds (i.e., the maximum, minimum, and any intermediate speeds used 
for testing) should be recorded and maintained as part of the test 
data underlying the certified ratings that is required to be 
maintained under 10 CFR 429.71.
    5. Refrigerant line length corrections for air-cooled, three-
phase, variable refrigerant flow multi-split air conditioners and 
heat pumps with a cooling capacity of less than 65,000 Btu/h. For 
test setups where it is physically impossible for the laboratory to 
use the required line length listed in Table 3 of the ANSI/AHRI 
1230-2010, then the actual refrigerant line length used by the 
laboratory may exceed the required length and the following cooling 
capacity correction factors are applied:

------------------------------------------------------------------------
 Piping length beyond minimum,   Piping length beyond   Cooling capacity
            X (ft)                  minimum, Y (m)       correction (%)
------------------------------------------------------------------------
0 > X <= 20...................  0 > Y <= 6.1.........                  1
20 > X <= 40..................  6.1 > Y <= 12.2......                  2
40 > X <= 60..................  12.2 > Y <= 18.3.....                  3
60 > X <= 80..................  18.3 > Y <= 24.4.....                  4
80 > X <= 100.................  24.4 > Y <= 30.5.....                  5
100 > X <= 120................  30.5 > Y <= 36.6.....                  6
------------------------------------------------------------------------

    6. Manufacturer involvement in assessment or enforcement testing 
for air-cooled, three-phase, variable refrigerant flow multi-split 
air conditioners and heat pumps with a cooling capacity of less than 
65,000 Btu/h. A manufacturer's representative will be allowed to 
witness assessment and/or enforcement testing. The manufacturer's 
representative will be allowed to inspect and discuss set-up only 
with a DOE representative and adjust only the modulating components 
during testing in the presence of a DOE representative that are 
necessary to achieve steady-state operation. Only previously 
documented specifications for set-up as specified under sections 3 
and 4 of this appendix will be used.

0
13. Add appendix B1 to subpart F of part 431 to read as follows:

Appendix B1 to Subpart F of Part 431--Uniform Test Method for the 
Measurement of Energy Consumption of Air-Cooled, Three-Phase, Small 
Commercial Package Air Conditioning and Heating Equipment With a 
Cooling Capacity of Less Than 65,000 BTU/H and Air-Cooled, Three-Phase, 
Variable Refrigerant Flow Multi-Split Air Conditioners and Heat Pumps 
With a Cooling Capacity of Less Than 65,000 BTU/H

    Note: Manufacturers must use the results of testing under this 
appendix to determine compliance with any amended standards for air-
cooled, three-phase, small commercial package air conditioning and 
heating equipment with a cooling capacity of less than 65,000 Btu/h 
and air-cooled, three-phase, variable refrigerant flow multi-split 
air conditioners and heat pumps with a cooling capacity of less than 
65,000 Btu/h provided in Sec.  431.97 that are published after 
January 1, 2021, and that rely on seasonal energy efficiency ratio 2 
(SEER2) and heating seasonal performance factor 2 (HSPF2). 
Representations related to energy consumption must be made in 
accordance with the appropriate appendix that applies (i.e., 
appendices B or B1) when determining compliance with the relevant 
standard. Manufacturers may also use this appendix to certify 
compliance with any amended standards prior to the applicable 
compliance date for those standards.

    1. Incorporation by Reference
    DOE incorporated by reference in Sec.  431.95, the entire 
standard for AHRI Standard 210/240-2023, ``Performance Rating of 
Unitary Air-Conditioning & Air-Source Heat Pump Equipment,'' 
approved 2020 (AHRI 210/240-2023); and ANSI/ASHRAE Standard 37-2009, 
(``ANSI/ASHRAE 37-2009''), ``Methods of Testing for Rating 
Electrically Driven Unitary Air-Conditioning and Heat Pump 
Equipment,'' ASHRAE approved June 24, 2009. However, certain 
enumerated provisions of AHRI 210/240-2023 and ANSI/ASHRAE 37-2009, 
as set forth in paragraphs (a) and (b) of this section, are 
inapplicable. To the extent there is a conflict between the terms or 
provisions of a referenced industry standard and the CFR, the CFR 
provisions control.
    (a) AHRI 210/240-2023:
    (i) Section 6 Rating Requirements--6.1 Standard Ratings--6.1.8 
Tested Combinations or Tested Units is inapplicable as specified in 
section 2.1(1) of this appendix,
    (ii) Section 6 Rating Requirements--6.2 Application Ratings is 
inapplicable as specified in section 2.1(2) of this appendix,
    (iii) Section 6 Rating Requirements--6.4 Ratings is inapplicable 
as specified in section 2.1(3) of this appendix,
    (iv) Section 6 Rating Requirements--6.5 Uncertainty and 
Variability is inapplicable as specified in section 2.1(4) of this 
appendix,
    (v) Section 7 Minimum Data Requirements for Published Ratings is 
inapplicable as specified in section 2.1(5) of this appendix,
    (vi) Section 8 Operating Requirements is inapplicable as 
specified in section 2.1(6) of this appendix,
    (vii) Section 9 Marking and Nameplate Data is inapplicable as 
specified in section 2.1(7) of this appendix,
    (viii) Section 10 Conformance Conditions is inapplicable as 
specified in section 2.1(8) of this appendix,
    (ix) Appendix C Certification of Laboratory Facilities Used to 
Determine Performance of Unitary Air-Conditioning & Air-Source Heat 
Pump Equipment--Informative is inapplicable as specified in section 
2.1(9) of this appendix,
    (x) Appendix F ANSI/ASHRAE Standard 116-2010 Clarifications/
Exceptions--Normative--F15.2 and F17 are inapplicable as specified 
in section 2.1(10) of this appendix,
    (xi) Appendix G Unit Configuration for Standard Efficiency 
Determination--Normative is inapplicable as specified in section 
2.1(11) of this appendix,
    (xi) Appendix H Off-Mode Testing--Normative is inapplicable as 
specified in section 2.1(12) of this appendix,
    (xii) Appendix I Verification Testing--Normative is inapplicable 
as specified in section 2.1(13) of this appendix.
    (b) ANSI/ASHRAE 37-2009:
    (i) Section 1 Purpose is inapplicable as specified in section 
2.2(1) of this appendix,

[[Page 70347]]

    (ii) Section 2 Scope is inapplicable as specified in section 
2.2(2) of this appendix, and
    (iii) Section 4 Classification is inapplicable as specified in 
section 2.2(3) of this appendix.
    2. General. Determine the seasonal energy efficiency ratio 2 
(SEER2) and heating seasonal performance factor 2 (HSPF2) (as 
applicable) in accordance with AHRI 210/240-2023, ``Performance 
Rating of Unitary Air-Conditioning & Air-Source Heat Pump 
Equipment'' and ANSI/ASHRAE 37-2009 ``Methods of Testing for Rating 
Electronically Driven Unitary Air-Conditioning and Heat Pump 
Equipment''; however, the following enumerated provisions of that 
document are not applicable. Sections 3 and 4 of this appendix 
provide additional instructions for determining SEER2 and HSPF2. In 
cases where there is a conflict, the language of this appendix takes 
precedence over AHRI 210/240-2023. Any subsequent amendment to a 
referenced document by the standard-setting organization will not 
affect the test procedure in this appendix, unless and until the 
test procedure is amended by DOE. Material is incorporated as it 
exists on the date of the approval, and a notice of any change in 
the incorporation will be published in the Federal Register.
    2.1. Excepted sections of AHRI 210/240-2023
    (1) Section 6 Rating Requirements--6.1 Standard Ratings--6.1.8 
Tested Combinations or Tested Units,
    (2) Section 6 Rating Requirements--6.2 Application Ratings,
    (3) Section 6 Rating Requirements--6.4 Ratings,
    (4) Section 6 Rating Requirements--6.5 Uncertainty and 
Variability,
    (5) Section 7 Minimum Data Requirements for Published Ratings,
    (6) Section 8 Operating Requirements,
    (7) Section 9 Marking and Nameplate Data,
    (8) Section 10 Conformance Conditions,
    (9) Appendix C Certification of Laboratory Facilities Used to 
Determine Performance of Unitary Air-Conditioning & Air-Source Heat 
Pump Equipment--Informative,
    (10) Appendix F ANSI/ASHRAE Standard 116-2010 Clarifications/
Exceptions--Normative--F15.2 and F17,
    (11) Appendix G Unit Configuration for Standard Efficiency 
Determination--Normative,
    (12) Appendix H Off-Mode Testing--Normative, and
    (13) Appendix I Verification Testing--Normative.
    2.2. Excepted sections of ANSI/ASHRAE 37-2009
    (1) Section 1 Purpose,
    (2) Section 2 Scope,
    (3) Section 4 Classification.
    3. Energy Measurement Accuracy. The watt-hour (W[sdot]h) 
measurement system(s) shall be accurate within 0.5 
percent or 0.5 W[middot]h, whichever is greater, for both ON and OFF 
cycles. If two measurement systems are used, then the meters shall 
be switched within 15 seconds of the start of the OFF cycle and 
switched within 15 seconds prior to the start of the ON cycle.
    4. Cycle Stability Requirements. Conduct three complete 
compressor OFF/ON cycles. Calculate the degradation coefficient 
CD for each complete cycle. If all three CD 
values are within 0.02 of the average CD then stability 
has been achieved, and the highest CD value of these 
three shall be used. If stability has not been achieved, conduct 
additional cycles, up to a maximum of eight cycles total, until 
stability has been achieved between three consecutive cycles. Once 
stability has been achieved, use the highest CD value of 
the three consecutive cycles that establish stability. If stability 
has not been achieved after eight cycles, use the highest 
CD from cycle one through cycle eight, or the default 
CD, whichever is lower.

[FR Doc. 2021-24836 Filed 12-8-21; 8:45 am]
BILLING CODE 6450-01-P