[Federal Register Volume 86, Number 244 (Thursday, December 23, 2021)]
[Proposed Rules]
[Pages 72874-72891]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-27460]


 ========================================================================
 Proposed Rules
                                                 Federal Register
 ________________________________________________________________________
 
 This section of the FEDERAL REGISTER contains notices to the public of 
 the proposed issuance of rules and regulations. The purpose of these 
 notices is to give interested persons an opportunity to participate in 
 the rule making prior to the adoption of the final rules.
 
 ========================================================================
 

  Federal Register / Vol. 86, No. 244 / Thursday, December 23, 2021 / 
Proposed Rules  

[[Page 72874]]



DEPARTMENT OF ENERGY

10 CFR Parts 429 and 431

[EERE-2017-BT-TP-0018]
RIN 1904-AE46


Energy Conservation Program: Test Procedure for Direct Expansion-
Dedicated Outdoor Air Systems

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

ACTION: Supplemental notice of proposed rulemaking and request for 
comment.

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

SUMMARY: The U.S. Department of Energy (``DOE'') is publishing a 
supplemental notice of proposed rulemaking (``SNOPR'') to establish a 
test procedure for direct-expansion dedicated outdoor systems (``DX-
DOASes'') pursuant to the Energy Policy and Conservation Act, as 
amended. This document presents an updated proposal based on 
stakeholder feedback received in response to the July 7, 2021, notice 
of proposed rulemaking. DOE is revising its proposals regarding the 
terminology used to describe the equipment at issue and to provide 
additional direction for testing equipment with special components. DOE 
welcomes written comment from the public on any subject within the 
scope of this document, as well as the submission of data and other 
relevant information.

DATES: Comments: DOE will accept written comments, data, and 
information regarding this SNOPR on or before January 24, 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-0018, by any of the following methods:
    1. Federal eRulemaking Portal: www.regulations.gov.
    2. Email: to [email protected]. Include 
docket number EERE-2017-BT-TP-0018 in the subject line of the message.
    No telefacsimiles (faxes) will be accepted. For detailed 
instructions on submitting comments and additional information on this 
process, see section V of this document (Public Participation).
    Although DOE has routinely accepted public comment submissions 
through a variety of mechanisms, including 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 coronavirus (COVID-19) pandemic. DOE is currently accepting 
only 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/webinar attendee lists and transcripts, comments, and other 
supporting documents/materials, is available for review at 
www.regulations.gov. All documents in the docket are listed in the 
www.regulations.gov index. However, some documents listed in the index, 
such as those containing information that is exempt from public 
disclosure, may not be publicly available.
    The docket web page can be found at: www.regulations.gov/docket/EERE-2017-BT-TP-0018. The docket web page contains instructions on how 
to access all documents, including public comments, in the docket. See 
section V (Public Participation) for information on how to submit 
comments through www.regulations.gov.

FOR FURTHER INFORMATION CONTACT: Ms. Catherine Rivest, U.S. Department 
of Energy, Office of Energy Efficiency and Renewable Energy, Building 
Technologies Office, EE-5B, 1000 Independence Avenue SW, Washington, DC 
20585-0121. Telephone: (202) 586-7335. Email: 
[email protected].
    Mr. Matthew Ring, U.S. Department of Energy, Office of the General 
Counsel, GC-33, 1000 Independence Avenue SW, Washington, DC 20585. 
Telephone: (202) 586-2555. Email: [email protected].
    For further information on how to submit a comment, review other 
public comments and the docket, or participate in the webinar, contact 
the Appliance and Equipment Standards Program staff at (202) 287-1445 
or by email: [email protected].

SUPPLEMENTARY INFORMATION: DOE maintains its proposal to incorporate by 
reference the following industry standards into title 10 of the Code of 
Federal Regulations (``CFR'') part 431:
    Air-Conditioning, Heating, and Refrigeration Institute (``AHRI'') 
Standard 920-2020 (I-P), ``2020 Standard for Performance Rating of 
Direct Expansion-Dedicated Outdoor Air System Units,'' approved 
February 4, 2020.
    AHRI Standard 1060-2018, ``2018 Standard for Performance Rating of 
Air-to-Air Exchangers for Energy Recovery Ventilation Equipment,'' 
approved 2018.
    Copies of AHRI Standard 920-2020 (I-P), and AHRI Standard 1060-2018 
can be obtained from the Air-conditioning, Heating, and Refrigeration 
Institute, 2311 Wilson Blvd., Suite 400, Arlington, VA 22201, (703) 
524-8800, or online at: www.ahrinet.org/.
    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.
    ANSI/ASHRAE Standard 41.1-2013, ``Standard Method for Temperature 
Measurement,'' ANSI approved January 30, 2013.
    ANSI/ASHRAE Standard 41.6-2014, ``Standard Method for Humidity 
Measurement,'' ANSI approved July 3, 2014.
    ANSI/ASHRAE Standard 198-2013, ``Method of Test for Rating DX-
Dedicated Outdoor Air Systems for Moisture Removal Capacity and 
Moisture Removal Efficiency,'' ANSI approved January 30, 2013.
    Copies of ANSI/ASHRAE Standard 37-2009, ANSI/ASHRAE Standard

[[Page 72875]]

41.1-2013, ANSI/ASHRAE Standard 41.6-2014, and ANSI/ASHRAE Standard 
198-2013 can be obtained from the American Society of Heating, 
Refrigerating and Air-Conditioning Engineers, 180 Technology Parkway, 
Peachtree Corners, GA 30092, (404) 636-8400, or online at: 
www.ashrae.org.
    See section IV.M of this document for a further discussion of these 
standards.

Table of Contents

I. Authority and Background
    A. Authority
    B. Background
II. Synopsis of the Supplemental Notice of Proposed Rulemaking
III. Discussion
    A. Terminology for Covered Equipment
    B. Specific Components
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. Submission of Comments
    B. Issues on Which DOE Seeks Comment
VI. Approval of the Office of the Secretary

I. Authority and Background

A. Authority

    The Energy Policy and Conservation Act (``EPCA''),\1\ as amended, 
among other things, authorizes DOE to regulate the energy efficiency of 
a number of consumer products and certain industrial equipment. Title 
III, Part C \2\ of EPCA, Public Law 94-163 (42 U.S.C. 6311-6317, as 
codified), added by Public Law 95-619, Title IV, section 441(a), 
established the Energy Conservation Program for Certain Industrial 
Equipment, which sets forth a variety of provisions designed to improve 
energy efficiency. This covered equipment includes small, large, and 
very large commercial package air conditioning and heating equipment. 
(42 U.S.C. 6311(1)(B)-(D)) DOE has initially determined that commercial 
package air conditioning and heating equipment includes unitary 
dedicated outdoor air systems (``Unitary DOASes'').\3\ As discussed in 
section I.B of this document, these equipment have not previously been 
addressed in DOE rulemakings and are not currently subject to Federal 
test procedures or energy conservation standards.
---------------------------------------------------------------------------

    \1\ All references to EPCA in this document refer to the statute 
as amended through the Energy Act of 2020, Public Law 116-260 (Dec. 
27, 2020).
    \2\ For editorial reasons, upon codification in the U.S. Code, 
Part C was redesignated Part A-1.
    \3\ As discussed in section III.A of this SNOPR, DOE is 
proposing to use the terms DX-DOAS and Unitary DOAS in this SNOPR, 
in place of the terms ``dehumidifying direct expansion-dedicated 
outdoor air systems'' and ``DX-DOAS'', respectively, which were used 
in the July 2021 NOPR.
---------------------------------------------------------------------------

    Under EPCA, DOE's energy conservation program consists essentially 
of four parts: (1) Testing, (2) labeling, (3) Federal energy 
conservation standards, and (4) certification and enforcement 
procedures. Relevant provisions of EPCA specifically include 
definitions (42 U.S.C. 6311), energy conservation standards (42 U.S.C. 
6313), test procedures (42 U.S.C. 6314), labeling provisions (42 U.S.C. 
6315), and the authority to require information and reports from 
manufacturers (42 U.S.C. 6316; 42 U.S.C. 6296).
    The Federal testing requirements consist of test procedures that 
manufacturers of covered equipment must use as the basis for: (1) 
Certifying to DOE that their equipment complies with the applicable 
energy conservation standards adopted pursuant to EPCA (42 U.S.C. 
6316(b); 42 U.S.C. 6296), and (2) making representations about the 
efficiency of that equipment (42 U.S.C. 6314(d)). Similarly, DOE uses 
these test procedures to determine whether the equipment complies with 
relevant standards promulgated under EPCA.
    Federal energy efficiency requirements for covered equipment 
established under EPCA generally supersede State laws and regulations 
concerning energy conservation testing, labeling, and standards. (42 
U.S.C. 6316(a) and (b); 42 U.S.C. 6297) DOE may, however, grant waivers 
of Federal preemption in limited circumstances for particular State 
laws or regulations, in accordance with the procedures and other 
provisions of EPCA. (42 U.S.C. 6316(b)(2)(D))
    Under 42 U.S.C. 6314, the statute also sets forth the criteria and 
procedures DOE is required to follow when prescribing or amending test 
procedures for covered equipment. Specifically, EPCA requires that any 
test procedure prescribed or amended shall be reasonably designed to 
produce test results which measure energy efficiency, energy use, or 
estimated annual operating cost 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))
    EPCA requires that the test procedures for commercial package air 
conditioning and heating equipment be those generally accepted industry 
testing procedures or rating procedures developed or recognized by the 
Air-Conditioning, Heating, and Refrigeration Institute (``AHRI'') or by 
the American Society of Heating, Refrigerating and Air-Conditioning 
Engineers (``ASHRAE''), as referenced in ASHRAE Standard 90.1, ``Energy 
Standard for Buildings Except Low-Rise Residential Buildings'' 
(``ASHRAE Standard 90.1''). (42 U.S.C. 6314(a)(4)(A)) Further, if such 
an industry test procedure is amended, DOE must update its test 
procedure to be consistent with the amended industry test procedure, 
unless DOE determines, by rule published in the Federal Register and 
supported by clear and convincing evidence, that such amended test 
procedure would not meet the requirements in 42 U.S.C. 6314(a)(2) and 
(3), related to representative use and test burden. (42 U.S.C. 
6314(a)(4)(B))
    EPCA also requires that, at least once every seven years, DOE 
evaluate test procedures for each type of covered equipment, including 
commercial package air conditioning and heating equipment to determine 
whether amended test procedures would more accurately or fully comply 
with the requirements for the test procedures not to be unduly 
burdensome to conduct and be reasonably designed to produce test 
results that reflect energy efficiency, energy use, and estimated 
operating costs during a representative average use cycle. (42 U.S.C. 
6314(a)(1)-(3)) In addition, if DOE determines that a test procedure 
amendment is warranted, it must publish proposed test procedures in the 
Federal Register and afford interested persons an opportunity (of not 
less than 45 days duration) to present oral and written data, views, 
and arguments on the proposed test procedures. (42 U.S.C. 6314(b)) If 
DOE determines that test procedure revisions are not appropriate, DOE 
must publish in the Federal Register its determination not to amend the 
test procedures. (42 U.S.C. 6314(a)(1)(A)(ii))
    As discussed in section I.B of this document, a test procedure for 
DX-DOASes was first specified by ASHRAE Standard 90.1 in the 2016 
edition (``ASHRAE Standard 90.1-2016''). Pursuant to 42 U.S.C. 
6314(a)(4)(B) and following updates to the relevant test procedures 
which were referenced in

[[Page 72876]]

ASHRAE Standard 90.1, DOE is conducting this rulemaking to establish a 
test procedure for DX-DOASes in satisfaction of its aforementioned 
obligations under EPCA.

B. Background

    From a functional perspective, Unitary DOASes operate similarly to 
other categories of commercial package air conditioning and heat pump 
equipment, in that they provide conditioning using a refrigeration 
cycle generally consisting of a compressor, condenser, expansion valve, 
and evaporator. Unitary DOASes provide ventilation and conditioning of 
100-percent outdoor air to the conditioned space, whereas for typical 
commercial package air conditioners that are central air conditioners, 
outdoor air makes up only a small portion of the total airflow (usually 
less than 50 percent). Unitary DOASes are typically installed in 
addition to a local, primary cooling or heating system (e.g., 
commercial unitary air conditioner, variable refrigerant flow system, 
chilled water system, water-source heat pumps)--the Unitary DOAS 
conditions the outdoor ventilation air, while the primary system 
provides cooling or heating to balance building shell and interior 
loads and solar heat gain. According to ASHRAE, a well-designed system 
using a Unitary DOAS can ventilate a building at lower installed cost, 
reduce overall annual building energy use, and improve indoor 
environmental quality.\4\
---------------------------------------------------------------------------

    \4\ From the June 2018 ASHRAE eSociety Newsletter (Available at: 
www.ashrae.org/news/esociety/what-s-new-in-doas-and-refrigerant-research) (Last accessed May 24, 2021).
---------------------------------------------------------------------------

    On October 26, 2016, ASHRAE published ASHRAE Standard 90.1-2016, 
which for the first time specified a test standard and efficiency 
standards for DX-DOASes. ASHRAE Standard 90.1-2016 (and the subsequent 
2019 edition) defines a DX-DOAS as a type of air-cooled, water-cooled, 
or water-source factory assembled product that dehumidifies 100 percent 
outdoor air to a low dew point and includes reheat that is capable of 
controlling the supply dry-bulb temperature of the dehumidified air to 
the designed supply air temperature. This conditioned outdoor air is 
then delivered directly or indirectly to the conditioned spaces. It may 
precondition outdoor air by containing an enthalpy wheel, sensible 
wheel, desiccant wheel, plate heat exchanger, heat pipes, or other heat 
or mass transfer apparatus.
    When operating in humid conditions, the dehumidification load from 
the outdoor ventilation air is a much larger percentage of the total 
cooling load for a DX-DOAS than for a typical commercial air 
conditioner. Additionally, compared to a typical commercial air 
conditioner, the amount of total cooling (both sensible and latent) is 
much greater per pound of air for a DX-DOAS at design conditions (i.e., 
the warmest/most humid expected summer conditions), and a DX-DOAS is 
designed to accommodate greater variation in entering air temperature 
and humidity (i.e., a typical commercial air conditioner would not be 
able to dehumidify 100-percent outdoor ventilation air to the levels 
achieved by a DX-DOAS). Not all Unitary DOASes have this 
dehumidification capability.
    The amendment to ASHRAE Standard 90.1 to specify an industry test 
standard for DX-DOASes triggered DOE's obligations vis-[agrave]-vis 
test procedures under 42 U.S.C. 6314(a)(4)(B), as outlined previously. 
On October 25, 2019, ASHRAE published an updated version of ASHRAE 
Standard 90.1 (``ASHRAE Standards 90.1-2019''), which maintained the 
DX-DOAS provisions as first introduced in ASHRAE Standard 90.1-2016 
without revisions.
    On July 7, 2021, DOE published a notice of proposed rulemaking 
(``NOPR'') pertaining to small, large, and very large commercial 
package air conditioning and heating equipment which provide 
conditioning and ventilation of 100-percent outdoor air. 86 FR 36018 
(July 2021 NOPR). In the July 2021 NOPR, DOE proposed to establish a 
definition for Unitary DOAS (referred to as ``DX-DOAS'' in the July 
2021 NOPR) as a category of commercial package air conditioning and 
heating equipment and adopt a new test procedure for DX-DOASes 
(referred to as ``DDX-DOASes'' in the July 2021 NOPR) that incorporates 
by reference the most up to date industry consensus test standard 
referenced in ASHRAE Standard 90.1-2019.
    The proposed test procedure would apply to all DX-DOASes for which 
ASHRAE 90.1-2019 specifies standards, with the exception of ground-
water-source equipment, as discussed in section III.A.1 of the July 
2021 NOPR. 86 FR 36018, 36023. More specifically, DOE proposed to 
update 10 CFR 431.96, ``Uniform test method for the measurement of 
energy efficiency of commercial air conditioners and heat pumps,'' to 
adopt a new test procedure for DX-DOASes as follows: (1) Incorporate by 
reference AHRI Standard 920-2020 (I-P), ``Performance Rating of Direct 
Expansion-Dedicated Outdoor Air System Units'' (``AHRI 920-2020''), the 
most recent version of the test procedure recognized by ASHRAE Standard 
90.1 for DX-DOASes, and the relevant industry standards referenced 
therein; (2) establish the scope of coverage for the test procedure; 
(3) add definitions for Unitary DOAS and DX-DOAS, as well as additional 
terminology required by the test procedure; (4) adopt the integrated 
seasonal moisture removal efficiency, as measured according to the most 
recent applicable industry standard (``ISMRE2''), and integrated 
seasonal coefficient of performance (``ISCOP2''), as measured according 
to the most recent applicable industry standard, as energy efficiency 
descriptors for dehumidification and heating mode, respectively; and 
(5) establish representation requirements. DOE also proposed to add a 
new appendix B to subpart F of part 431, titled ``Uniform test method 
for measuring the energy consumption of direct expansion-dedicated 
outdoor air systems,'' (``appendix B'') that would include these new 
test procedure requirements. In conjunction, DOE proposed to amend 
Table 1 in 10 CFR 431.96 to identify the proposed appendix B as the 
applicable test procedure for testing DX-DOASes. DOE tentatively 
determined that the proposed test procedure would not be unduly 
burdensome to conduct.
    DOE received a number of comments from interested parties in 
response to the July 2021 NOPR. Table I-1 lists the commenters, along 
with each commenter's abbreviated name used throughout this SNOPR.

                     Table I-1--Interested Parties Providing Comments on the July 2021 NOPR
----------------------------------------------------------------------------------------------------------------
                        Name                                      Abbreviation                    Type\1\
----------------------------------------------------------------------------------------------------------------
Air-Conditioning, Heating, and Refrigeration          AHRI...............................  IR
 Institute.
Appliance Standards Awareness Project (ASAP),         Joint Advocates....................  EA
 American Council for an Energy-Efficient Economy
 (ACEEE).

[[Page 72877]]

 
Pacific Gas and Electric Company (PG&E), San Diego    CA IOUs............................  U
 Gas and Electric (SDG&E), and Southern California
 Edison (SCE), collectively referred to as
 California Investor-Owned Utilities (CA IOUs).
Carrier Corporation.................................  Carrier............................  M
Emerson Commercial and Residential Solutions........  Emerson............................  M
Madison Indoor Air Quality..........................  MIAQ...............................  M
Northwest Energy Efficiency Alliance................  NEEA...............................  EA
Trane Technologies..................................  Trane..............................  M
----------------------------------------------------------------------------------------------------------------
\1\ EA: Efficiency/Environmental Advocate; IR: Industry Representative; M: Manufacturer; U: Utility.

    This SNOPR addresses only those comments relevant to the proposals 
laid out in this document; all other relevant comments will be 
addressed in a future stage of the rulemaking. 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 DOE's rulemaking to develop 
test procedures for dehumidifying direct expansion-dedicated outdoor 
air system. (Docket No. EERE-2017-BT-TP-0018, which is maintained at 
www.regulations.gov). The references are arranged as follows: 
(commenter name, comment docket ID number, page of that document).
---------------------------------------------------------------------------

II. Synopsis of the Supplemental Notice of Proposed Rulemaking

    In this SNOPR, DOE is proposing revised terminology for the 
equipment subject to this rulemaking. DOE is proposing to define the 
abbreviated term Unitary DOAS to mean unitary dedicated outdoor air 
system, instead of the term ``DX-DOAS'' as proposed in the July 2021 
NOPR. DOE also is proposing to define the abbreviated term DX-DOAS to 
mean a direct expansion-dedicated outdoor air system, as opposed to 
``dehumidifying direct-expansion dedicated outdoor air system'' (``DDX-
DOAS'') as proposed in the July 2021 NOPR. This change to the proposal 
would more closely align DOE's terminology with that used in industry. 
DOE is not, however, proposing substantial updates to the definitions 
of these terms. This topic is addressed in section III.A of this SNOPR.
    Secondly, DOE is proposing an update to the provisions pertaining 
to testing and representations for equipment with special components. 
The July 2021 NOPR proposed to reference the entirety of Appendix F of 
AHRI 920-2020, ``Unit Configuration for Standard Efficiency 
Determination,'' in section 1.1(a)(vii) and section 2.2.1(h) of the 
proposed appendix B test procedure. However, Appendix F of AHRI 920-
2020 includes two types of instructions: (1) Alternative test methods 
for certain special components, and (2) whether special components 
should be present during testing for the determination of energy 
efficiency representations. As a result, DOE has provisionally 
determined that it is necessary to reference these instructions in the 
proposed appendix B test procedure and in the proposed representation 
requirements at 10 CFR 429.43 to provide more detailed direction. DOE 
also is proposing one deviation from the instructions in Appendix F to 
AHRI 920-2020. This topic is addressed in section III.B of this SNOPR. 
Additionally, Appendix F of AHRI 920-2020 also allows an option for 
testing specially built models that do not include a feature if no 
models are distributed in commerce with that feature. DOE is proposing 
not to include this option in its certification and enforcement 
provisions. This topic is also addressed in section III.B of this 
SNOPR.
    Finally, DOE is correcting its references in the proposal to the 
industry test standard AHRI 1060-2018, ``2018 Standard for Performance 
Rating of Air-to-Air Exchangers for Energy Recovery Ventilation 
Equipment,'' which was incorrectly attributed as being certified by the 
American National Standards Institute (``ANSI'') in the July 2021 NOPR.
    DOE's proposed actions are summarized in Table II.1 and addressed 
in detail in section III of this document.

 Table II.1--Summary of Proposed Test Procedure for DX-DOASes Addressed
                              in This SNOPR
------------------------------------------------------------------------
    July 2021 NOPR proposals             SNOPR            Attribution
------------------------------------------------------------------------
Defines the abbreviated term      Replaces the term   The term ``DX-
 ``DX-DOAS'' to refer to direct    ``DX-DOAS'' with    DOAS'' will be
 expansion-dedicated outdoor air   Unitary DOAS.       used to refer to
 systems and define such                               the subcategory
 equipment as covered equipment.                       of equipment
                                                       within the scope
                                                       of the proposed
                                                       test procedure.
Defines the abbreviated term      Replaces the term   Align with
 ``DDX-DOAS'' to refer to the      ``DDX-DOAS'' with   industry
 dehumidifying direct expansion-   DX-DOAS.            terminology.
 dedicated outdoor air systems
 proposed to be within scope of
 the proposed test procedure.
Incorporates by reference AHRI    Re-organizes the    Re-organization of
 920-2020 and other relevant       instructions in     regulatory
 industry test standards           AHRI 920-2020 10    provisions.
 referenced by that standard,      CFR 429.43 for
 including a list of components    components that
 that must be present for          must be present
 testing and provisions for        for testing, and
 testing units with certain        the proposed
 optional features.                appendix B test
                                   procedure for
                                   provisions for
                                   testing units
                                   with certain
                                   optional features.
                                  Proposes to         Clarification of
                                   include             representation
                                   instruction that    requirements.
                                   coated coils be
                                   present during
                                   testing if the
                                   individual unit
                                   under test has
                                   this special
                                   component.

[[Page 72878]]

 
                                  Proposal to         Clarification of
                                   exclude industry    representation
                                   test standard       requirements.
                                   provisions
                                   regarding testing
                                   of specially
                                   built models.
Incorrectly refers to AHRI 1060-  Corrects the title  Correction of an
 2018 as being certified by ANSI.  of AHRI 1060-2018.  inaccurate
                                                       citation.
------------------------------------------------------------------------

III. Discussion

A. Terminology for Covered Equipment

    In the July 2021 NOPR, DOE proposed to establish terms and 
definitions for dedicated outdoor air systems that are small, large, 
and very large commercial package air conditioning and heating 
equipment. 86 FR 36018, 36023. DOE proposed to refer to the general 
category of this equipment as ``DX-DOAS'' (i.e., Unitary DOAS, as 
proposed in this SNOPR), whereas the specific equipment with the 
capability to dehumidify outdoor air to a low dew point would be 
referred to as ``DDX-DOAS'' (i.e., DX-DOAS, as proposed in this SNOPR). 
However, the abbreviated term ``DX-DOAS'' is used in AHRI 920-2020 and 
ASHRAE Standard 90.1 to refer specifically to equipment with a high 
degree of dehumidification capacity. 86 FR 36018, 36020, 36023.
    DOE requested comment upon its proposed terms and definitions in 
the July 2021 NOPR. 86 FR 36018, 36022-36024. In response, DOE received 
comments from AHRI, CA IOUs, Carrier, Emerson, MIAQ, and Trane. (AHRI, 
No. 18, p. 9; AHRI, No. 22, pp. 4-6; CA IOUs, No. 25, pp. 3-4; Carrier, 
No. 20, p. 2; MIAQ, No. 19, pp. 2-3; Trane, No. 23, p. 1) The CA IOUs 
and Carrier supported DOE's proposal to use ``DX-DOAS'' (i.e., Unitary 
DOAS, as proposed in this SNOPR) as a more generic term and ``DDX-
DOAS'' (i.e., DX-DOAS, as proposed in this SNOPR) as the specific term 
to describe the equipment covered by the proposed test procedure. (CA 
IOUs, No. 25, p. 3; Carrier, No. 20, p. 2) AHRI, Emerson, MIAQ, and 
Trane raised concerns that deviating from the already industry-accepted 
terminology would cause supply-chain and market confusion. (AHRI, No. 
18, p. 9; AHRI, No. 22, pp. 4-5; MIAQ, No. 19, pp. 2-3; Trane, No. 23, 
p. 1)
    AHRI stated that specifiers, contractors, and manufacturers are 
familiar with the acronyms ``DOAS'' and ``DX-DOAS'' but not ``DDX-
DOAS''. (AHRI, No. 18, p. 9) AHRI also commented that common industry 
terminology should be maintained to prevent market confusion because 
the market is familiar with the term DX-DOAS being used to refer to 
equipment that is capable of supplying 100-percent outdoor air for 
ventilation purposes, with dehumidification. (AHRI, No. 22, pp. 4-5) 
AHRI noted that this definition was originally established in ASHRAE 
Standard 90.1-2016, and AHRI 920 has referred to dehumidifying, 
refrigerant-driven DOAS as DX-DOAS. (Id.) AHRI urged DOE to adopt DX-
DOAS as the term used to describe the dehumidifying equipment and 
stated that industry is adamantly against referring to dehumidifying 
DOAS as ``DDX-DOAS''. (Id.)
    Emerson agreed with the approach suggested by AHRI to adopt the 
term DX-DOAS and stated that this approach may be less likely to cause 
confusion in the market. (Emerson, No. 27, p. 2) MIAQ also urged DOE to 
adopt the term DX-DOAS for this purpose. (MIAQ, No. 19, p. 2)
    Trane requested that DOE use the term ``DOAS'' for the equipment 
under consideration and provided a collection of Trane product 
literature using this term across 20 years. (Trane, No. 23, p. 1) Trane 
commented that the industry recognizes a ``DOAS'' as equipment that is 
capable of dehumidifying 100-percent outdoor air below a 55 [deg]F dew 
point; changing this terminology would cause confusion to customers and 
would undermine the purpose of the AHRI 920 standard. (Id.)
    AHRI indicated that its members were largely in agreement with the 
definitions proposed, but the major concern is regarding the 
terminology or acronym used to describe the equipment. (AHRI, No. 18, 
p. 9) MIAQ also stated that MIAQ agrees with DOE's proposed terminology 
with the noted exception that DOE should use DX-DOAS instead of ``DDX-
DOAS.'' (MIAQ, No. 19, p. 3)
    DOE appreciates these comments from stakeholders and understands 
the concerns regarding introducing a new, unfamiliar term into the 
market when a different term may already be well-established. Based on 
comments received, DOE is revising its proposal to use the abbreviated 
term DX-DOAS to refer to the dedicated outdoor air system equipment 
called DDX-DOAS in the July 2021 NOPR. Unlike the simpler term ``DOAS'' 
suggested by Trane, DX-DOAS is used in ASHRAE Standard 90.1 and AHRI 
920 and thus would appear to be more generally accepted by industry to 
specifically refer to this type of equipment.
    The CA IOUs expressed that there is ambiguity regarding equipment 
that conditions 100-percent outdoor air but does not dehumidify to the 
levels specified in the DX-DOAS definition, such as makeup air units 
(``MUAs''). The CA IOUs noted that AHRI 920-2020 references, but does 
not define, ``sensible-only 100-percent outdoor air units.'' (CA IOUs, 
No. 25, pp. 3-4)
    Other industry stakeholders suggested potential ways to define 
these types of equipment that do not humidify to the levels specified 
in the proposed DX-DOAS definition. AHRI commented that DOE's 
definitions should differentiate between dehumidifying and non-
dehumidifying dedicated outdoor air systems. AHRI suggested defining 
direct-expansion units capable of providing 100-percent outdoor air but 
not capable of meeting the dehumidification criteria set forth in AHRI 
920 as ``non-dehumidifying DX-DOAS'' or ``ND-DX-DOAS.'' AHRI stated 
that DOE's regulations should focus on how these products are 
represented in the market because operating conditions, rather than 
features, differentiate DX-DOASes from ND-DX-DOASes. AHRI also 
indicated key differences between DX-DOASes and ND-DX-DOASes and 
commercial unitary air conditioners (``CUACs''), specifically stating 
that DX-DOASes may include a reheat coil to provide space-neutral 
supply air, but that ND-DX-DOASes will not have a reheat coil; design 
conditions are different for DX-DOASes, ND-DX-DOASes, and CUACs; and 
design airflow rates for these equipment are around 146.5 cubic feet 
per minute per ton (``cfm/ton'') for DX-DOASes, 360 cfm/ton for CUACs, 
and 550 cfm/ton for ND-DX-DOASes. (AHRI, No. 22, pp. 4-5)
    MIAQ provided similar comments discussing DX-DOASes, ND-DX-DOASes, 
and CUACs, and supported the adoption of a definition for ND-DX-DOASes. 
(MIAQ, No. 19, p. 2) AHRI and MIAQ urged DOE to adopt definitions

[[Page 72879]]

for DX-DOAS and ND-DX-DOAS. (AHRI, No. 22, p. 6; MIAQ, No. 19, p. 2) 
Emerson agreed with the approach proposed by AHRI. (Emerson, No. 27, p. 
2)
    DOE understands that the approach proposed by AHRI would establish 
mutually exclusive equipment categories--DX-DOAS and ND-DX-DOAS--where 
ND-DX-DOAS would likely capture the MUAs highlighted by the CA IOUs. 
However, in this SNOPR, DOE is not addressing substantive changes to 
the definitions proposed in the July 2021 NOPR. Based on stakeholder 
comment, DOE has tentatively determined that the DX-DOAS term proposed 
in this SNOPR is generally consistent with the term used in industry. 
Therefore, DOE is only proposing to update the terminology used to 
refer to the definitions proposed in the July 2021 NOPR in order to 
avoid confusion with industry. DOE is maintaining its approach proposed 
in the July 2021 NOPR (to establish one generic definition and one 
specific definition for dehumidifying equipment), but is revising its 
proposal to use the terms Unitary DOAS and DX-DOAS.
    As a result, in this SNOPR, DOE is proposing the terms Unitary 
dedicated outdoor air system, or Unitary DOAS, and Direct expansion-
dedicated outdoor air system, or DX-DOAS, be updated as set out in the 
regulatory text at the end of this document.
    Issue-1: DOE seeks comment on the revised terms for Unitary DOAS 
and DX-DOAS, which replace the terms DX-DOAS and DDX-DOAS in the July 
2021 NOPR, respectively.

B. Specific Components

    In the July 2021 NOPR, DOE proposed to adopt Appendix F of AHRI 
920-2020. AHRI 920-2020 includes Appendix F, ``Unit Configuration for 
Standard Efficiency Determination--Normative.'' Section F2.4 includes a 
list of features that are optional for testing.\6\ Section F2.4 of AHRI 
920-2020 further specifies the following general provisions regarding 
testing of units with optional features:
---------------------------------------------------------------------------

    \6\ On January 30, 2015, DOE issued a Commercial HVAC 
Enforcement Policy addressing the treatment of specific features 
during Departmental testing of commercial HVAC equipment. Many of 
the features in the Commercial HVAC Enforcement Policy are present 
in Appendix F of AHRI 920-2020, however, the Commercial HVAC 
Enforcement Policy is not applicable to DX-DOASes and is therefore 
not applicable in this rulemaking.
---------------------------------------------------------------------------

     If an otherwise identical model (within the same basic 
model) without the feature is distributed in commerce, test the 
otherwise identical model.
     If an otherwise identical model (within the same basic 
model) without the feature is not distributed in commerce, conduct 
tests with the feature present but configured and de-activated so as to 
minimize (partially or totally) the impact on the results of the test 
(as determined per the provisions in section D2). Alternatively, the 
manufacturer may indicate in the supplemental testing instructions that 
the test shall be conducted using a specially built otherwise identical 
unit that is not distributed in commerce and does not have the feature.
    DOE has tentatively determined that testing specially built units 
would not provide ratings representative of equipment distributed in 
commerce. Therefore, DOE is not proposing to include this option for 
testing specially built units in its certification and enforcement 
provisions.
    DOE notes that the list of features and provisions in Section F2.4 
of Appendix F of AHRI 920-2020 conflates features that can be addressed 
by testing provisions with features that warrant enforcement relief 
(i.e., features that, if present on a unit under test, could have a 
substantive impact on test results and that cannot be disabled or 
otherwise mitigated). This differentiation remains central to providing 
clarity in DOE's regulations. Further, provisions more explicit than 
included in Section F2.4 of AHRI 920-2020 are warranted to clarify the 
differences between how specific components must be treated when 
manufacturers are making representations as opposed to when DOE is 
conducting enforcement testing.
    In order to provide clarity between test procedure provisions 
(i.e., how to test a specific unit) and certification and enforcement 
provisions (e.g., which model to test), in this SNOPR, DOE is not 
proposing to incorporate by reference Appendix F of AHRI 920-2020 and 
instead is proposing to adopt certain related provisions in appendix B 
to subpart F of part 431 and Sec. Sec.  429.43 and 429.134.
    Specifically, in appendix B, DOE proposes test provisions for 
specific components, including the components listed in Section F2.4 of 
AHRI 920-2020 for which there is a neutralizing test procedure action 
(i.e., test procedure provisions specific to the component that are not 
addressed by general provisions in AHRI 920-2020 that negates the 
components impact on performance).\7\ These provisions would specify 
how to test a unit equipped with such a component--e.g., for a unit 
with hail guards, remove hail guards for testing.
---------------------------------------------------------------------------

    \7\ For the following components listed in Section F2.4 of AHRI 
920-2020, DOE has tentatively concluded that there is not a 
neutralizing test procedure action specified in Section F2.4 of AHRI 
920-2020 for testing a unit with the component present, and is 
therefore not proposing to include test procedure actions specific 
to these components in appendix B: Coated coils and VERS preheat.
---------------------------------------------------------------------------

    In the July 2021 NOPR, DOE noted that Section F2.3 of AHRI 920-2020 
specifies that for supply air filters, the filter shall have a 
``minimum efficiency reporting value'' (``MERV'') specification no less 
than MERV 8, and that the lowest-MERV filter distributed in commerce 
with the DOAS model may be used if it exceeds MERV 8. DOE notes that by 
no longer proposing to incorporate by reference Appendix F to AHRI 920-
2020, DOE would need to adopt this requirement elsewhere in the DOE 
test procedure. DOE is proposing to include this requirement in 
appendix B, consistent with what is specified in Section F2.3 of AHRI 
920-2020 regarding filters. AHRI 920-2020.
    DOE is proposing provisions that would allow determination of 
represented values of a model equipped with a particular component to 
be based on an individual model distributed in commerce without the 
component in specific cases. The provisions apply to certain components 
for which the test provisions for testing a unit with the component may 
result in differences in ratings compared to testing a unit without the 
component.\8\ For these such components, DOE proposes in 10 CFR 
429.43(a)(4) that:
---------------------------------------------------------------------------

    \8\ DOE has tentatively concluded that for the following 
features included in Section 2.4 of AHRI 920-2020, testing a unit 
with these components in accordance with the proposed test 
provisions would not result in differences in ratings compared to 
testing a unit without these components; therefore, DOE is not 
proposing to include these features in 10 CFR 429.43(a)(4): UV 
lights, high-effective indoor air filtration, power correction 
capacitors, and hail guards.
---------------------------------------------------------------------------

     If a basic model includes only individual models 
distributed in commerce with a specific component, or does not include 
any otherwise identical individual models without the specific 
component, the manufacturer must determine represented values for the 
basic model based on performance of an individual model with the 
component present (and consistent with any relevant proposed test 
procedure provisions in appendix B).
     If a basic model includes both individual models 
distributed in commerce with a specific component and otherwise 
identical individual models without the specific component, the 
manufacturer may determine represented values for the basic model based 
on performance of an individual

[[Page 72880]]

model either with the component present (and consistent with any 
relevant proposed test procedure provisions in appendix B) or without 
the component present.
    DOE's proposed provisions in 10 CFR 429.43(a)(4) include all of the 
optional features specified in Section F2.4 of AHRI 920-2020 for which 
the test provisions for testing a unit with these components may result 
in differences in ratings compared to testing a unit without these 
components, except coated coils. DOE is proposing to exclude coated 
coils from the specific components list specified in 10 CFR 439.43 
because DOE has tentatively concluded that the presence of coated coils 
does not result in a significant impact to performance of DX-DOASes, 
and therefore, that models with coated coils should be rated based on 
performance of models with coated coils present (rather than based on 
performance of an otherwise identical model without coated coils).
    DOE notes that in some cases, individual models may include 
multiple of the specified components or there may be individual models 
within a basic model that include various dehumidification components 
that result in more or less energy use. In these cases, the represented 
values of performance must be representative of the lowest efficiency 
found within the basic model.
    In response to the July 2021 NOPR, the CA IOUs recommended 
excluding furnaces from the list of optional features specified in 
Section F2.4 of AHRI 920-2020. The CA IOUs noted that the test 
procedure for commercial unitary air conditioning and heating equipment 
(i.e., AHRI 340/360) requires that a furnace is installed when testing 
models that are distributed in commerce with a furnace. More 
specifically, the CA IOUs asserted that rating units without furnaces 
is unrepresentative, and that all DX-DOASes should be rated with the 
furnaces installed (i.e., the same approach used for commercial unitary 
air conditioning and heating equipment). DOE understands AHRI 920-2020 
to represent the industry consensus position on testing DX-DOASes and 
has tentatively determined that furnaces installed in a DX-DOAS may 
result in differences in ratings compared to testing units without 
these components. As such, DOE is proposing not to deviate from the 
approach taken in Section 2.4 of AHRI 920-2020 with respect to furnaces 
at this time and is therefore including furnaces in the optional 
features list specified in 10 CFR 429.43(a)(4).
    DOE is proposing provisions in 10 CFR 429.134 regarding how DOE 
would assess compliance for basic models that include individual models 
distributed in commerce with specific components--these provisions 
would simply incorporate the representation provisions discussed above 
into DOE's product-specific enforcement provisions.
     If a basic model includes only individual models 
distributed in commerce with a specific component, or does not include 
any otherwise identical individual models without the specific 
component, DOE may assess compliance for the basic model based on 
testing an individual model with the component present (and consistent 
with any relevant proposed test procedure provisions in appendix B).
     If a basic model includes both individual models 
distributed in commerce with a specific component and otherwise 
identical individual models without the specific component, DOE will 
assess compliance for the basic model based on testing of an otherwise 
identical model within the basic model that does not include the 
component; except if DOE is not able to obtain such a model for 
testing. In such a case, DOE will assess compliance for the basic model 
based on testing of an individual model with the specific component 
present (and consistent with any relevant proposed test procedure 
provisions in appendix B).
    Were DOE to adopt the provisions in appendix B, 10 CFR 429.43, and 
10 CFR 429.134 as proposed, DOE may consider adding certification 
reporting requirements in a separate rulemaking such that manufacturers 
would be required to certify which otherwise identical models are used 
for making representations of basic models that include individual 
models with specific components.
    Issue-2: DOE requests comment on its proposals regarding specific 
components in appendix B, 10 CFR 429.43, and 10 CFR 429.134.

IV. Procedural Issues and Regulatory Review

A. Review Under Executive Order 12866

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

B. Review Under the Regulatory Flexibility Act

    The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) requires 
preparation of an initial regulatory flexibility analysis (``IRFA'') 
for any rule that by law must be proposed for public comment, unless 
the agency certifies that the rule, if promulgated, will not have a 
significant economic impact on a substantial number of small entities. 
A regulatory flexibility analysis examines the impact of the rule on 
small entities and considers alternative ways of reducing negative 
effects. 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 test procedure SNOPR pursuant to the Regulatory 
Flexibility Act and the procedures and policies previously discussed. 
DOE has concluded that this rule would not have a significant impact on 
a substantial number of small entities. The factual basis for this 
certification is set forth below.
    Under 42 U.S.C. 6293, the statute sets forth the criteria and 
procedures DOE must follow when prescribing or amending test procedures 
for covered products. EPCA requires that any test procedures prescribed 
or amended under this section must be reasonably designed to produce 
test results which measure energy efficiency, energy use or estimated 
annual operating cost of a covered product during a representative 
average use cycle or period of use and not be unduly burdensome to 
conduct. (42 U.S.C. 6293(b)(3))
    Currently, DOE does not have a test procedure or energy 
conservation standards for DX-DOASes. DOE published a NOPR proposing to 
establish a test procedure for DX-DOASes on July 7, 2021. 86 FR 36018. 
DOE conducted an initial regulatory flexibility analysis (``IRFA'') as 
part of the July 7, 2021 NOPR, and determined that there are three 
domestic small businesses that manufacture DX-DOASes. Based on 
stakeholder feedback, DOE has revised its small business count to one 
domestic small business that manufacturers DX-DOASes. DOE still 
tentatively concludes that the proposed test procedure in that

[[Page 72881]]

NOPR would not present a significant burden to small manufacturers. 86 
FR 36050.
    In this SNOPR, DOE proposes the following:
     Revising proposed terminology, changing the ``DX-DOAS'' 
term proposed in the NOPR to ``Unitary DOAS'' (the category of 
commercial package air-conditioning and heating equipment) and the 
``DDX-DOAS'' term proposed in the NOPR to ``DX-DOAS'' (the subcategory 
to which this test procedure applies); and
     Modifying the NOPR proposal to provide instructions on how 
representations shall be made for equipment with special components.
     Correcting the reference to the AHRI 1060-2018 test 
procedure.
    The proposed test procedure amendments in this SNOPR would add no 
additional costs for small businesses because they align the test 
procedure definitions with those of industry test procedures and 
provide additional specific instruction for manufacturers. Therefore, 
DOE concludes that this SNOPR would not have a ``significant economic 
impact on a substantial number of small entities,'' and that the 
preparation of an IRFA for this SNOPR is not warranted. DOE will 
transmit the certification and supporting statement of factual basis to 
the Chief Counsel for Advocacy of the Small Business Administration for 
review under 5 U.S.C. 605(b).

C. Review Under the Paperwork Reduction Act of 1995

    DOE's certification and compliance activities ensure accurate and 
comprehensive information about the energy and water use 
characteristics of covered products and covered equipment sold in the 
United States. Manufacturers of all covered products and covered 
equipment with applicable standards must submit a certification report 
before a basic model is distributed in commerce, annually thereafter, 
and if the basic model is redesigned in such a manner to increase the 
consumption or decrease the efficiency of the basic model such that the 
certified rating is no longer supported by the test data. Additionally, 
manufacturers must report when production of a basic model has ceased 
and is no longer offered for sale as part of the next annual 
certification report following such cessation. DOE requires the 
manufacturer of any covered product or covered equipment to establish, 
maintain, and retain the records of certification reports, of the 
underlying test data for all certification testing, and of any other 
testing conducted to satisfy the requirements of part 429, part 430, 
and/or part 431. Certification reports provide DOE and consumers with 
comprehensive, up-to date efficiency information and support effective 
enforcement.
    DOE is not proposing certification or reporting requirements for 
DX-DOASes in this NOPR. Certification of DX-DOAS would not be required 
until such time as DOE establishes DX-DOAS energy conservation 
standards and manufacturers are required to comply with those 
standards. DOE may consider proposals to establish certification 
requirements and reporting for DX-DOASes under a separate rulemaking 
regarding appliance and equipment certification. DOE will address 
changes to OMB Control Number 1910-1400 at that time, as necessary.
    Notwithstanding any other provision of the law, no person is 
required to respond to, nor shall any person be subject to a penalty 
for failure to comply with, a collection of information subject to the 
requirements of the PRA, unless that collection of information displays 
a currently valid OMB Control Number.

D. Review Under the National Environmental Policy Act of 1969

    In this SNOPR, DOE proposes test procedures that it expects will be 
used to develop and implement future energy conservation standards for 
DX-DOASes. DOE has determined that this proposed rule falls into a 
class of actions that are categorically excluded from review under the 
National Environmental Policy Act of 1969 (42 U.S.C. 4321 et seq.) and 
DOE's implementing regulations at 10 CFR part 1021. Specifically, DOE 
has determined that adopting test procedures for measuring energy 
efficiency of consumer products and industrial equipment is consistent 
with activities identified in 10 CFR part 1021, appendix A to subpart 
D, A5 and A6. Accordingly, neither an environmental assessment nor an 
environmental impact statement is required.

E. Review Under Executive Order 13132

    Executive Order 13132, ``Federalism,'' 64 FR 43255 (August 4, 
1999), imposes certain requirements on Federal agencies formulating and 
implementing policies or regulations that preempt State law or that 
have federalism implications. The Executive order requires agencies to 
examine the constitutional and statutory authority supporting any 
action that would limit the policymaking discretion of the States and 
to carefully assess the necessity for such actions. The Executive order 
also requires agencies to have an accountable process to ensure 
meaningful and timely input by State and local officials in the 
development of regulatory policies that have federalism implications. 
On March 14, 2000, DOE published a statement of policy describing the 
intergovernmental consultation process it will follow in the 
development of such regulations. 65 FR 13735. DOE has examined this 
proposed rule and has tentatively determined that it would not have a 
substantial direct effect on the States, on the relationship between 
the national government and the States, or on the distribution of power 
and responsibilities among the various levels of government. EPCA 
governs and prescribes Federal preemption of State regulations as to 
energy conservation for the products that are the subject of this 
proposed rule. States can petition DOE for exemption from such 
preemption to the extent, and based on criteria, set forth in EPCA. (42 
U.S.C. 6297(d)) No further action is required by Executive Order 13132.

F. Review Under Executive Order 12988

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

[[Page 72882]]

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 (Feb. 22, 2002), and 
DOE's guidelines were published at 67 FR 62446 (Oct. 7, 2002). DOE has 
reviewed this proposed rule under the OMB and DOE guidelines and has 
concluded that it is consistent with applicable policies in those 
guidelines.

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 adopt a test procedure for 
measuring the energy efficiency of DX-DOASes is not a significant 
regulatory action under Executive Order 12866. Moreover, it would not 
have a significant adverse effect on the supply, distribution, or use 
of energy, nor has it been designated as a significant energy action by 
the Administrator of OIRA. Therefore, it is not a significant energy 
action, and, accordingly, DOE has not prepared a Statement of Energy 
Effects.

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

    Under section 301 of the Department of Energy Organization Act 
(Pub. L. 95-91; 42 U.S.C. 7101), DOE must comply with section 32 of the 
Federal Energy Administration Act of 1974, as amended by the Federal 
Energy Administration Authorization Act of 1977. (15 U.S.C. 788; 
``FEAA'') Section 32 essentially provides in relevant part that, where 
a proposed rule authorizes or requires use of commercial standards, the 
notice of proposed rulemaking must inform the public of the use and 
background of such standards. In addition, section 32(c) requires DOE 
to consult with the Attorney General and the Chairman of the Federal 
Trade Commission (``FTC'') concerning the impact of the commercial or 
industry standards on competition.
    The proposed test procedure for DX-DOASes incorporate the following 
applicable industry consensus standards: AHRI 920-2020, AHRI 1060-2018, 
ANSI/ASHRAE 37-2009, ANSI/ASHRAE 41.1-2013, ANSI/ASHRAE 41.6-2014, and 
ANSI/ASHRAE 198-2013. DOE has evaluated these standards and is unable 
to conclude whether they fully comply with the requirements of section 
32(b) of the FEAA (i.e., whether they were developed in a manner that 
fully provides for public participation, comment, and review). DOE will 
consult with both the Attorney General and the Chairman of the FTC 
concerning the impact of these test procedures on competition, prior to 
prescribing a final rule.

M. Description of Materials Incorporated by Reference

    In this SNOPR, DOE maintains its previous proposal to incorporate 
by reference the following test standards:
    (1) The test standard published by AHRI, titled ``2020 Standard for 
Performance Rating of DX-Dedicated Outdoor Air System Units,'' AHRI 
Standard 920-2020 (I-P). AHRI Standard 920-2020 (I-P) is an industry-
accepted test procedure for measuring the performance of DX-dedicated 
outdoor air system units. AHRI Standard 920-2020 (I-P) is available on 
AHRI's website at: www.ahrinet.org/App_Content/ahri/files/STANDARDS/AHRI/AHRI_Standard_920_I-P_2020.pdf.
    (2) The test standard published by AHRI, titled ``2018 Standard for 
Performance Rating of Air-to-Air Exchangers for Energy Recovery 
Ventilation Equipment,'' AHRI Standard

[[Page 72883]]

1060-2018. AHRI Standard 1060-2018 is an industry-accepted test 
procedure for measuring the performance of air-to-air exchangers for 
energy recovery ventilation equipment. AHRI Standard 1060-2018 is 
available on AHRI's website at: www.ahrinet.org/App_Content/ahri/files/STANDARDS/AHRI/AHRI_Standard_1060_I-P_2018.pdf.
    (3) The test standard 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 for 
measuring the performance of electrically driven unitary air-
conditioning and heat pump equipment. ANSI/ASHRAE Standard 37-2009 is 
available on ASHRAE's website (in partnership with Techstreet) at: 
www.techstreet.com/ashrae/standards/ashrae-37-2009?product_id=1650947.
    (4) The test standard published by ASHRAE, titled ``Standard Method 
for Temperature Measurement,'' ANSI/ASHRAE Standard 41.1-2013. ANSI/
AHRAE Standard 41.1-2013 is an industry-accepted test procedure for 
measuring temperature. ANSI/ASHRAE Standard 41.1-2013 is available on 
ASHRAE's website (in partnership with Techstreet) at: 
www.techstreet.com/ashrae/standards/ashrae-41-1-2013?product_id=1853241.
    (5) The test standard published by ASHRAE, titled ``Standard Method 
for Humidity Measurement,'' ANSI/ASHRAE Standard 41.6-2014. ANSI/AHRAE 
Standard 41.6-2014 is an industry-accepted test procedure for measuring 
humidity. ANSI/ASHRAE Standard 41.6-2014 is available on ASHRAE's 
website (in partnership with Techstreet) at: www.techstreet.com/ashrae/standards/ashrae-41-6-2014?product_id=1881840.
    (6) The test standard published by ASHRAE, titled ``Method for Test 
for Rating DX-Dedicated Outdoor Air Systems for Moisture Removal 
Capacity and Moisture Removal Efficiency,'' ANSI/ASHRAE Standard 198-
2013. ANSI/ASHRAE Standard 198-2013 is an industry-accepted test 
procedure for measuring the performance of DX-dedicated outdoor air 
system units. ANSI/ASHRAE Standard 198-2013 is available on ASHRAE's 
website (in partnership with Techstreet) at: www.techstreet.com/ashrae/standards/ashrae-198-2013?product_id=1852612.

V. Public Participation

A. Submission of Comments

    DOE will accept comments, data, and information regarding this 
proposed rule no later than the date provided in the DATES section at 
the beginning of this proposed rule. Interested parties may submit 
comments using any of the methods described in the ADDRESSES section at 
the beginning of this document.
    Submitting comments via www.regulations.gov. The 
www.regulations.gov web page will require you to provide your name and 
contact information. Your contact information will be viewable to DOE 
Building Technologies staff only. Your contact information will not be 
publicly viewable except for your first and last names, organization 
name (if any), and submitter representative name (if any). If your 
comment is not processed properly because of technical difficulties, 
DOE will use this information to contact you. If DOE cannot read your 
comment due to technical difficulties and cannot contact you for 
clarification, DOE may not be able to consider your comment.
    However, your contact information will be publicly viewable if you 
include it in the comment or in any documents attached to your comment. 
Any information that you do not want to be publicly viewable should not 
be included in your comment, nor in any document attached to your 
comment. Persons viewing comments will see only first and last names, 
organization names, correspondence containing comments, and any 
documents submitted with the comments.
    Do not submit to www.regulations.gov information for which 
disclosure is restricted by statute, such as trade secrets and 
commercial or financial information (hereinafter referred to as 
Confidential Business Information (CBI)). Comments submitted through 
www.regulations.gov cannot be claimed as CBI. Comments received through 
the website will waive any CBI claims for the information submitted. 
For information on submitting CBI, see the 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 in a cover letter. Include your first 
and last names, email address, telephone number, and optional mailing 
address. The cover letter will not be publicly viewable as long as it 
does not include any comments.
    Include contact information each time you submit comments, data, 
documents, and other information to DOE. No telefacsimiles (faxes) will 
be accepted.
    Comments, data, and other information submitted to DOE 
electronically should be provided in PDF (preferred), Microsoft Word or 
Excel, WordPerfect, or text (ASCII) file format. Provide documents that 
are not secured, written in English, and free of any defects or 
viruses. Documents should not contain special characters or any form of 
encryption, and, if possible, they should carry the electronic 
signature of the author.
    Campaign form letters. Please submit campaign form letters by the 
originating organization in batches of between 50 to 500 form letters 
per PDF or as one form letter with a list of supporters' names compiled 
into one or more PDFs. This reduces comment processing and posting 
time.
    Confidential Business Information. Pursuant to 10 CFR 1004.11, any 
person submitting information that he or she believes to be 
confidential and exempt by law from public disclosure should submit via 
email two well-marked copies: One copy of the document marked 
``confidential'' including all the information believed to be 
confidential, and one copy of the document marked ``non-confidential'' 
with the information believed to be confidential deleted. DOE will make 
its own determination about the confidential status of the information 
and treat it according to its determination.
    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).

B. Issues on Which DOE Seeks Comment

    Although DOE welcomes comments on any aspect of this proposal, DOE 
is particularly interested in receiving

[[Page 72884]]

comments and views of interested parties concerning the following 
issues:
    Issue-1: DOE seeks comment on the revised terms for Unitary DOAS 
and DX-DOAS, which replace the terms DX-DOAS and DDX-DOAS in the July 
2021 NOPR, respectively.
    Issue-2: DOE requests comment on its proposals regarding specific 
components in appendix B, 10 CFR 429.43, and 10 CFR 429.134.

VI. Approval of the Office of the Secretary

    The Secretary of Energy has approved publication of this 
supplemental 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, Incorporation by reference, Reporting 
and recordkeeping requirements.

Signing Authority

    This document of the Department of Energy was signed on December 
14, 2021, by Kelly J. Speakes-Backman, Principal Deputy Assistant 
Secretary for Energy Efficiency and Renewable Energy, pursuant to 
delegated authority from the Secretary of Energy. That document with 
the original signature and date is maintained by DOE. For 
administrative purposes only, and in compliance with requirements of 
the Office of the Federal Register, the undersigned DOE Federal 
Register Liaison Officer has been authorized to sign and submit the 
document in electronic format for publication, as an official document 
of the Department of Energy. This administrative process in no way 
alters the legal effect of this document upon publication in the 
Federal Register.

    Signed in Washington, DC, on December 15, 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.  429.43 by adding paragraphs (a)(3) and (4) to read as 
follows:


Sec.  429.43  Commercial heating, ventilating, air conditioning (HVAC) 
equipment.

    (a) * * *
    (3) Refrigerants. For direct expansion-dedicated outdoor air 
systems (DX-DOASes) (see Sec.  431.92 of this chapter), if a basic 
model is distributed in commerce for which the manufacturer specifies 
the use of more than one refrigerant option, the integrated seasonal 
moisture removal efficiency 2 (ISMRE2) and integrated seasonal moisture 
removal efficiency 2 (ISCOP2) (see Sec.  431.92 of this chapter), as 
applicable, are determined for that basic model using the refrigerant 
that results in the lowest ISMRE2 and the refrigerant that results in 
the lowest ISCOP2, as applicable. For example, the dehumidification 
performance metric ISMRE2 must be based on the refrigerant yielding the 
lowest ISMRE2, and the heating performance metric ISCOP2 (if the unit 
is a heat pump DX-DOAS) must be based on the refrigerant yielding the 
lowest ISCOP2. A refrigerant is considered approved for use if it is 
listed on the nameplate of the single package unit or outdoor unit. 
Pursuant to the definition of ``basic model'' in Sec.  431.92 of this 
chapter, specification of an additional refrigerant option that 
requires use of different hardware (i.e., compressors, heat exchangers, 
or air moving systems that are not the same or comparably performing), 
results in a different basic model.
    (4) Determination of represented values for individual models with 
specific components for DX-DOAS equipment. (i) If a manufacturer 
distributes in commerce individual models with one of the components 
listed in the following table, determination of represented values is 
dependent on the selected grouping of individual models into a basic 
model, as indicated in paragraphs (a)(4)(ii) through (v) of this 
section. For the purposes of this paragraph (a)(4)(i), ``otherwise 
identical'' means differing only in the presence of specific components 
listed in table 1 to this paragraph (a)(4)(i).

                     Table 1 to Paragraph (a)(4)(i)
------------------------------------------------------------------------
             Component                           Description
------------------------------------------------------------------------
Furnaces and Steam/Hydronic Heat    Furnaces and steam/hydronic heat
 Coils.                              coils used to provide primary or
                                     supplementary heating.
Ducted Condenser Fans.............  A condenser fan/motor assembly
                                     designed for optional external
                                     ducting of condenser air that
                                     provides greater pressure rise and
                                     has a higher rated motor horsepower
                                     than the condenser fan provided as
                                     a standard component with the
                                     equipment.
Sound Traps/Sound Attenuators.....  An assembly of structures through
                                     which the supply air passes before
                                     leaving the equipment or through
                                     which the return air from the
                                     building passes immediately after
                                     entering the equipment, for which
                                     the sound insertion loss is at
                                     least 6 dB for the 125 Hz octave
                                     band frequency range.
Ventilation energy recovery system  Electric resistance, hydronic, or
 (VERS) Preheat.                     steam heating coils used for
                                     preheating outdoor air entering a
                                     VERS.
------------------------------------------------------------------------

    (ii) If a basic model includes only individual models distributed 
in commerce without a specific component listed in paragraph (a)(4)(i) 
of this section, the manufacturer must determine represented values for 
the basic model based on performance of an individual model distributed 
in commerce without the component.
    (iii) If a basic model includes only individual models distributed 
in commerce with a specific component listed in paragraph (a)(4)(i) of 
this section, the manufacturer must

[[Page 72885]]

determine represented values for the basic model based on performance 
of an individual model with the component present (and consistent with 
any component-specific test provisions specified in section 2.2.2 of 
appendix B to subpart F of part 431 of this chapter).
    (iv) If a basic model includes both individual models distributed 
in commerce with a specific component listed in paragraph (a)(4)(i) of 
this section and individual models distributed in commerce without that 
specific component, and none of the individual models distributed in 
commerce without the specific component are otherwise identical to any 
given individual model distributed in commerce with the specific 
component, the manufacturer must consider the performance of individual 
models with the component present when determining represented values 
for the basic model (and consistent with any component-specific test 
provisions specified in section 2.2.2 of appendix B to subpart F of 
part 431 of this chapter).
    (v) If a basic model includes both individual models distributed in 
commerce with a specific component listed in paragraph (a)(4)(i) of 
this section and individual models distributed in commerce without that 
specific component, and at least one of the individual models 
distributed in commerce without the specific component is otherwise 
identical to any given individual model distributed in commerce with 
the specific component, the manufacturer may determine represented 
values for the basic model either:
    (A) Based on performance of an individual model distributed in 
commerce without the specific component, or
    (B) Based on performance of an individual model with the specific 
component present (and consistent with any component-specific test 
provisions specified in section 2.2.2 of appendix B to subpart F of 
part 431 of this chapter).
    (vi) In any of the cases specified in paragraphs (a)(4)(ii) through 
(v) of this section, the represented values for a basic model must be 
determined through either testing (paragraph (a)(1) of this section) or 
an alternative efficiency determination method (AEDM) (paragraph (a)(2) 
of this section).
* * * * *
0
3. Amend Sec.  429.70 by revising the tables in paragraphs (c)(2)(iv) 
and (c)(5)(vi)(B) to read as follows:


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

* * * * *
    (c) * * *
    (2) * * *
    (iv) * * *

                                         Table 1 to Paragraph (c)(2)(iv)
----------------------------------------------------------------------------------------------------------------
                                                                Minimum number of distinct models that must be
                      Validation class                                         tested per AEDM
----------------------------------------------------------------------------------------------------------------
Air-Cooled, Split and Packaged Air Conditioners (ACs) and    2 Basic Models.
 Heat Pumps (HPs) less than 65,000 Btu/h Cooling Capacity
 (3-Phase).
----------------------------------------------------------------------------------------------------------------
                                     (A) Commercial HVAC Validation Classes
----------------------------------------------------------------------------------------------------------------
Air-Cooled, Split and Packaged ACs and HPs greater than or   2 Basic Models.
 equal to 65,000 Btu/h Cooling Capacity and Less than
 760,000 Btu/h Cooling Capacity.
Water-Cooled, Split and Packaged ACs and HPs, All Cooling    2 Basic Models.
 Capacities.
Evaporatively-Cooled, Split and Packaged ACs and HPs, All    2 Basic Models.
 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 and HPs..........  2 Basic Models.
Water-Cooled, Variable Refrigerant Flow ACs and HPs........  2 Basic Models.
Computer Room Air Conditioners, Air Cooled.................  2 Basic Models.
Computer Room Air Conditioners, Water-Cooled...............  2 Basic Models.
Direct Expansion-Dedicated Outdoor Air Systems, Air-cooled   2 Basic Models.
 or Air-source Heat Pump, Without Ventilation Energy
 Recovery Systems.
Direct Expansion-Dedicated Outdoor Air Systems, Air-cooled   2 Basic Models.
 or Air-source Heat Pump, With Ventilation Energy Recovery
 Systems.
Direct Expansion-Dedicated Outdoor Air Systems, Water-       2 Basic Models.
 cooled, Water-source Heat Pump, or Ground Source Closed-
 loop Heat Pump, Without Ventilation Energy Recovery
 Systems.
Direct Expansion-Dedicated Outdoor Air Systems, Water-       2 Basic Models.
 cooled, Water-source Heat Pump, or Ground Source Closed-
 loop Heat Pump, With Ventilation Energy Recovery Systems.
----------------------------------------------------------------------------------------------------------------
                                 (B) Commercial Water Heater Validation Classes
----------------------------------------------------------------------------------------------------------------
Gas-fired Water Heaters and Hot Water Supply Boilers Less    2 Basic Models.
 than 10 Gallons.
Gas-fired Water Heaters and Hot Water Supply Boilers         2 Basic Models.
 Greater than or Equal to 10 Gallons.
Oil-fired Water Heaters and Hot Water Supply Boilers Less    2 Basic Models.
 than 10 Gallons.
Oil-fired Water Heaters and Hot Water Supply Boilers         2 Basic Models.
 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 Packaged Boilers......  2 Basic Models.
Gas-fired, Steam Only Commercial Packaged Boilers..........  2 Basic Models.
Gas-fired Hot Water/Steam Commercial Packaged Boilers......  2 Basic Models.
Oil-fired, Hot Water Only Commercial Packaged Boilers......  2 Basic Models.
Oil-fired, Steam Only Commercial Packaged Boilers..........  2 Basic Models.

[[Page 72886]]

 
Oil-fired Hot Water/Steam Commercial Packaged Boilers......  2 Basic Models.
----------------------------------------------------------------------------------------------------------------
                                    (D) Commercial Furnace Validation Classes
----------------------------------------------------------------------------------------------------------------
Gas-fired Furnaces.........................................  2 Basic Models.
Oil-fired Furnaces.........................................  2 Basic Models.
----------------------------------------------------------------------------------------------------------------
                          (E) Commercial Refrigeration Equipment Validation Classes \1\
----------------------------------------------------------------------------------------------------------------
Self-Contained Open Refrigerators..........................  2 Basic Models.
Self-Contained Open Freezers...............................  2 Basic Models.
Remote Condensing Open Refrigerators.......................  2 Basic Models.
Remote Condensing Open Freezers............................  2 Basic Models.
Self-Contained Closed Refrigerators........................  2 Basic Models.
Self-Contained Closed Freezers.............................  2 Basic Models.
Remote Condensing Closed Refrigerators.....................  2 Basic Models.
Remote Condensing Closed Freezers..........................  2 Basic Models.
----------------------------------------------------------------------------------------------------------------
\1\The minimum number of tests indicated above must be comprised of a transparent model, a solid model, a
  vertical model, a semi-vertical model, a horizontal model, and a service-over-the counter model, as applicable
  based on the equipment offering. However, manufacturers do not need to include all types of these models if it
  will increase the minimum number of tests that need to be conducted.

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

                   Table 2 to Paragraph (c)(5)(vi)(B)
------------------------------------------------------------------------
                                                            Applicable
             Equipment                     Metric            tolerance
------------------------------------------------------------------------
Commercial Packaged Boilers.......  Combustion                 5% (0.05)
                                     Efficiency.               5% (0.05)
                                    Thermal Efficiency..
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  Seasonal Energy-           5% (0.05)
 and HPs less than 65,000 Btu/h      Efficiency Ratio.         5% (0.05)
 Cooling Capacity (3-Phase).        Heating Season             10% (0.1)
                                     Performance Factor.
                                    Energy Efficiency
                                     Ratio.
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             10% (0.1)
 Less than 760,000 Btu/h             Performance.
 CoolingCapacity.                   Integrated Energy
                                     Efficiency Ratio.
Water-Cooled, Split and Packaged    Energy Efficiency          5% (0.05)
 ACs and HPs, All Cooling            Ratio.                    5% (0.05)
 Capacities.                        Coefficient of             10% (0.1)
                                     Performance.
                                    Integrated Energy
                                     Efficiency Ratio.
Evaporatively-Cooled, Split and     Energy Efficiency          5% (0.05)
 Packaged ACs and HPs, All           Ratio.                    5% (0.05)
 Capacities.                        Coefficient of             10% (0.1)
                                     Performance.
                                    Integrated Energy
                                     Efficiency Ratio.
Water-Source HPs, All Capacities..  Energy Efficiency          5% (0.05)
                                     Ratio.                    5% (0.05)
                                    Coefficient of             10% (0.1)
                                     Performance.
                                    Integrated Energy
                                     Efficiency Ratio.
Single Package Vertical ACs and     Energy Efficiency          5% (0.05)
 HPs.                                Ratio.                    5% (0.05)
                                    Coefficient of
                                     Performance.
Packaged Terminal ACs and HPs.....  Energy Efficiency          5% (0.05)
                                     Ratio.                    5% (0.05)
                                    Coefficient of
                                     Performance.
Variable Refrigerant Flow ACs and   Energy Efficiency          5% (0.05)
 HPs.                                Ratio.                    5% (0.05)
                                    Coefficient of             10% (0.1)
                                     Performance.
                                    Integrated Energy
                                     Efficiency Ratio.
Computer Room Air Conditioners....  Net Sensible               5% (0.05)
                                     Coefficient of
                                     Performance.
Direct Expansion--Dedicated         Integrated Seasonal        10% (0.1)
 Outdoor Air Systems.                Coefficient of
                                     Performance 2.
                                    Integrated Seasonal        10% (0.1)
                                     Moisture Removal
                                     Efficiency 2.
Commercial Warm-Air Furnaces......  Thermal Efficiency..       5% (0.05)
Commercial Refrigeration Equipment  Daily Energy               5% (0.05)
                                     Consumption.
------------------------------------------------------------------------

* * * * *
0
4. Amend Sec.  429.134 by adding paragraph (s) to read as follows:


Sec.  429.134  Product-specific enforcement provisions.

* * * * *
    (s) Direct expansion-dedicated outdoor air systems. The following 
provisions apply for assessment and enforcement testing of models 
subject to standards in terms of ISMRE2 or ISCOP2:

[[Page 72887]]

    (1) Specific components. For basic models that include individual 
models distributed in commerce with any of the specific components 
listed at Sec.  429.43(a)(4)(i), the following provisions apply. For 
the purposes of this paragraph (s)(1), ``otherwise identical'' means 
differing only in the presence of specific components listed at Sec.  
429.43(a)(4)(i).
    (i) If the basic model includes only individual models distributed 
in commerce with a specific component, or does not include any 
otherwise identical individual models without the specific component, 
DOE may assess compliance for the basic model based on testing of an 
individual model with the component present (and consistent with any 
component-specific test provisions specified in section 2.2.2 of 
appendix B to subpart F of 431 of this chapter).
    (ii) If the basic model includes both individual models distributed 
in commerce with a specific component and otherwise identical 
individual models without the specific component, DOE will assess 
compliance for the basic model based on testing an otherwise identical 
model within the basic model that does not include the component, 
unless DOE is not able, through documented reasonable effort, to obtain 
an individual model for testing that does not include the component. In 
such a situation, DOE will assess compliance for the basic model based 
on testing of an individual model with the specific component present 
(and consistent with any component-specific test provisions specified 
in section 2.2.2 of appendix B to subpart F of 431 of this chapter).
    (2) [Reserved]

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

0
4. 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
5. Amend Sec.  431.2 by revising the definition of ``Commercial HVAC & 
WH product'' to read as follows:


Sec.  431.2  Definitions.

* * * * *
    Commercial HVAC & WH product means any small, large, or very large 
commercial package air-conditioning and heating equipment (as defined 
in Sec.  431.92), packaged terminal air conditioner (as defined in 
Sec.  431.92), packaged terminal heat pump (as defined in Sec.  
431.92), single package vertical air conditioner (as defined in Sec.  
431.92), single package vertical heat pump (as defined in Sec.  
431.92), computer room air conditioner (as defined in Sec.  431.92), 
variable refrigerant flow multi-split air conditioner (as defined in 
Sec.  431.92), variable refrigerant flow multi-split heat pump (as 
defined in Sec.  431.92), unitary dedicated outdoor air system (as 
defined in Sec.  431.92), commercial packaged boiler (as defined in 
Sec.  431.82), hot water supply boiler (as defined in Sec.  431.102), 
commercial warm air furnace (as defined in Sec.  431.72), instantaneous 
water heater (as defined in Sec.  431.102), storage water heater (as 
defined in Sec.  431.102), or unfired hot water storage tank (as 
defined in Sec.  431.102).
* * * * *
0
6. Amend Sec.  431.92 by:
0
a. Revising the definition of ``Basic model''; and
0
b. Adding, in alphabetical order, the definitions of ``Direct 
expansion-dedicated outdoor air system, or DX-DOAS,'' ``Integrated 
seasonal coefficient of performance 2, or ISCOP2,'' ``Integrated 
seasonal moisture removal efficiency 2, or ISMRE2,'' ``Unitary 
dedicated outdoor air system, or Unitary DOAS,'' and ``Ventilation 
energy recovery system, or VERS''.
    The revisions and additions read as follows:


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

* * * * *
    Basic model includes:
    (1) Computer room air conditioners 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), heat exchangers, and air moving 
system(s) that have a common ``nominal'' cooling capacity.
    (2) Direct expansion-dedicated outdoor air system means all units 
manufactured by one manufacturer, having the same primary energy source 
(e.g., electric or gas), within a single equipment class; with the same 
or comparably performing compressor(s), heat exchangers, ventilation 
energy recovery system(s) (if present), and air moving system(s) that 
have a common ``nominal'' moisture removal capacity.
    (3) Packaged terminal air conditioner (PTAC) or packaged terminal 
heat pump (PTHP) 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 comparable 
compressors, same or comparable heat exchangers, and same or comparable 
air moving systems that have a cooling capacity within 300 Btu/h of one 
another.
    (4) Single package vertical units 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), heat exchangers, and air moving 
system(s) that have a rated cooling capacity within 1500 Btu/h of one 
another.
    (5) Small, large, and very large aircooled or water-cooled 
commercial package air conditioning and heating equipment 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.
    (6) Small, large, and very large water source heat pump 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 comparable compressors, same or comparable heat 
exchangers, and same or comparable ``nominal'' capacity.
    (7) Variable refrigerant flow systems 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 variable refrigerant flow (VRF) water source heat 
pumps).
* * * * *
    Direct expansion-dedicated outdoor air system, or DX-DOAS, means a 
unitary dedicated outdoor air system that is capable of dehumidifying 
air to a 55 [deg]F dew point--when operating under Standard Rating 
Condition A as specified in Table 4 or Table 5 of AHRI 920-2020 
(incorporated by reference, see Sec.  431.95) with a barometric 
pressure of 29.92 in Hg--for any part of the range of airflow rates 
advertised in manufacturer materials, and has a moisture removal 
capacity of less than 324 lb/h.
* * * * *
    Integrated seasonal coefficient of performance 2, or ISCOP2, means 
a seasonal weighted-average heating efficiency for heat pump dedicated 
outdoor air systems, expressed in W/W,

[[Page 72888]]

as measured according to appendix B of this subpart.
    Integrated seasonal moisture removal efficiency 2, or ISMRE2, means 
a seasonal weighted average dehumidification efficiency for dedicated 
outdoor air systems, expressed in lbs. of moisture/kWh, as measured 
according to appendix B of this subpart.
* * * * *
    Unitary dedicated outdoor air system, or Unitary DOAS, means a 
category of small, large, or very large commercial package air-
conditioning and heating equipment that is capable of providing 
ventilation and conditioning of 100-percent outdoor air or marketed in 
materials (including but not limited to, specification sheets, insert 
sheets, and online materials) as having such capability.
* * * * *
    Ventilation energy recovery system, or VERS, means a system that 
preconditions outdoor ventilation air entering the equipment through 
direct or indirect thermal and/or moisture exchange with the exhaust 
air, which is defined as the building air being exhausted to the 
outside from the equipment.
* * * * *
0
7. Amend Sec.  431.95 by:
0
a. Revising paragraph (a) and the introductory text to paragraph (b);
0
b. Redesignating paragraphs (b)(6) and (7) as paragraphs (b)(8) and 
(9);
0
c. Adding new paragraphs (b)(6) and (7);
0
d. Revising the introductory text to paragraph (c) and paragraph 
(c)(2);
0
e. Redesignating paragraphs (c)(3) and (4) as paragraphs (c)(5) and 
(6); and
0
f. Adding new paragraphs (c)(3) and (4) and paragraph (c)(7).
    The revisions and additions read as follows:


Sec.  431.95   Materials incorporated by reference.

    (a) Certain material is incorporated by reference into this subpart 
with the approval of the Director of the Federal Register in accordance 
with 5 U.S.C. 552(a) and 1 CFR part 51. To enforce any edition other 
than that specified in this section, DOE must publish a document in the 
Federal Register and the material must be available to the public. All 
approved material is available for inspection at the U.S. Department of 
Energy, Office of Energy Efficiency and Renewable Energy, Building 
Technologies Program, 6th Floor, 950 L'Enfant Plaza SW, Washington, DC 
20024, (202) 586-1445, [email protected] or go to: https://www.energy.gov/eere/buildings/building-technologies-office, and may be 
obtained from the other sources in this section. It is also available 
for inspection at the National Archives and Records Administration 
(NARA). For information on the availability of this material at NARA, 
email: [email protected], or go to: www.archives.gov/federal-register/cfr/ibr-locations.html.
    (b) AHRI. Air-Conditioning, Heating, and Refrigeration Institute, 
2311 Wilson Blvd., Suite 400, Arlington, VA 22201, (703) 524-8800, or 
go to: www.ahrinet.org.
* * * * *
    (6) AHRI Standard 920-2020 (I-P), (``AHRI 920-2020''), ``2020 
Standard for Performance Rating of DX-Dedicated Outdoor Air System 
Units,'' approved February 4, 2020, IBR approved for appendix B to this 
subpart.
    (7) AHRI Standard 1060-2018, (``AHRI 1060-2018''), ``2018 Standard 
for Performance Rating of Air-to-Air Exchangers for Energy Recovery 
Ventilation Equipment,'' approved 2018, IBR approved for appendix B to 
this subpart.
* * * * *
    (c) ASHRAE. American Society of Heating, Refrigerating and Air-
Conditioning Engineers, 180 Technology Parkway, Peachtree Corners, 
Georgia 30092, (404) 636-8400, or go to: www.ashrae.org.
* * * * *
    (2) ANSI/ASHRAE Standard 37-2009, (``ANSI/ASHRAE 37'' or ``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 B to 
this subpart.
    (3) ANSI/ASHRAE Standard 41.1- 2013, (``ANSI/ASHRAE 41.1-2013''), 
``Standard Method for Temperature Measurement,'' ANSI approved January 
30, 2013, IBR approved for appendix B to this subpart.
    (4) ANSI/ASHRAE Standard 41.6- 2014, (``ANSI/ASHRAE 41.6-2014''), 
``Standard Method for Humidity Measurement,'' ANSI approved July 3, 
2014, IBR approved for appendix B to this subpart.
* * * * *
    (7) ANSI/ASHRAE Standard 198- 2013, (``ANSI/ASHRAE 198-2013''), 
``Method of Test for Rating DX Dedicated Outdoor Air Systems for 
Moisture Removal Capacity and Moisture Removal Efficiency,'' approved 
by ANSI on January 30, 2013, IBR approved for appendix B to this 
subpart.
* * * * *
0
8. Amend Sec.  431.96 by:
0
a. Revising paragraph (a) and Table 1 following paragraph (b)(2); and
0
b. Designating the table in paragraph (d) as Table 2 to paragraph (d).
    The revisions read as follows:


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

    (a) Scope. This section contains test procedures for measuring, 
pursuant to EPCA, the energy efficiency of any small, large, or very 
large commercial package air-conditioning and heating equipment, 
packaged terminal air conditioners and packaged terminal heat pumps, 
computer room air conditioners, variable refrigerant flow systems, 
single package vertical air conditioners and single package vertical 
heat pumps, and direct expansion-dedicated outdoor air systems.
    (b) * * *
    (2) * * *

                                Table 1 to Paragraph (b)--Test Procedures for Commercial Air Conditioners and Heat Pumps
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                                               Additional test procedure
                                                       Cooling capacity or                                     Use tests,       provisions as indicated
         Equipment type                 Category         moisture removal   Energy efficiency descriptor    conditions, and     in the listed paragraphs
                                                             capacity                                       procedures\1\ in        of this section
--------------------------------------------------------------------------------------------------------------------------------------------------------
Small Commercial Package Air-     Air-Cooled, 3-       <65,000 Btu/h......  SEER and HSPF...............  AHRI 210/240-2008    Paragraphs (c) and (e).
 Conditioning and Heating          Phase, AC and HP.                                                       (omit section 6.5).
 Equipment.
                                  Air-Cooled AC and    >=65,000 Btu/h and   EER, IEER, and COP..........  Appendix A to this   None.
                                   HP.                  <135,000 Btu/h.                                    subpart.
                                  Water-Cooled and     <65,000 Btu/h......  EER.........................  AHRI 210/240-2008    Paragraphs (c) and (e).
                                   Evaporatively-                                                          (omit section 6.5).
                                   Cooled AC.

[[Page 72889]]

 
                                                       >=65,000 Btu/h and   EER.........................  AHRI 340/360-2007    Paragraphs (c) and (e).
                                                        <135,000 Btu/h.                                    (omit section 6.3).
                                  Water-Source HP....  <135,000 Btu/h.....  EER and COP.................  ISO Standard 13256-  Paragraph (e).
                                                                                                           1 (1998).
Large Commercial Package Air-     Air-Cooled AC and    >=135,000 Btu/h and  EER, IEER and COP...........  Appendix A to this   None.
 Conditioning and Heating          HP.                  <240,000 Btu/h.                                    subpart.
 Equipment.
                                  Water-Cooled and     >=135,000 Btu/h and  EER.........................  AHRI 340/360-2007    Paragraphs (c) and (e).
                                   Evaporatively-       <240,000 Btu/h.                                    (omit section 6.3).
                                   Cooled AC.
Very Large Commercial Package     Air-Cooled AC and    >=240,000 Btu/h and  EER, IEER and COP...........  Appendix A to this   None.
 Air-Conditioning and Heating      HP.                  <760,000 Btu/h.                                    subpart.
 Equipment.
                                  Water-Cooled and     >=240,000 Btu/h and  EER.........................  AHRI 340/360-2007    Paragraphs (c) and (e).
                                   Evaporatively-       <760,000 Btu/h.                                    (omit section 6.3).
                                   Cooled AC.
Packaged Terminal Air             AC and HP..........  <760,000 Btu/h.....  EER and COP.................  Paragraph (g) of     Paragraphs (c), (e), and
 Conditioners and Heat Pumps.                                                                              this section.        (g).
Computer Room Air Conditioners..  AC.................  <65,000 Btu/h......  SCOP........................  ASHRAE 127-2007      Paragraphs (c) and (e).
                                                                                                           (omit section
                                                                                                           5.11).
                                                       >=65,000 Btu/h and   SCOP........................  ASHRAE 127-2007      Paragraphs (c) and (e).
                                                        <760,000 Btu/h.                                    (omit section
                                                                                                           5.11).
Variable Refrigerant Flow Multi-  AC.................  <65,000 Btu/h (3-    SEER........................  AHRI 1230-2010       Paragraphs (c), (d), (e),
 split Systems.                                         phase).                                            (omit sections       and (f).
                                                                                                           5.1.2 and 6.6).
                                                       >=65,000 Btu/h and   EER.........................  AHRI 1230-2010       Paragraphs (c), (d), (e),
                                                        <760,000 Btu/h.                                    (omit sections       and (f).
                                                                                                           5.1.2 and 6.6).
Variable Refrigerant Flow Multi-  HP.................  <65,000 Btu/h (3-    SEER and HSPF...............  AHRI 1230-2010       Paragraphs (c), (d), (e),
 split Systems, Air-cooled.                             phase).                                            (omit sections       and (f).
                                                                                                           5.1.2 and 6.6).
                                                       >=65,000 Btu/h and   EER and COP.................  AHRI 1230-2010       Paragraphs (c), (d), (e),
                                                        <760,000 Btu/h.                                    (omit sections       and (f).
                                                                                                           5.1.2 and 6.6).
Variable Refrigerant Flow Multi-  HP.................  <760,000 Btu/h.....  EER and COP.................  AHRI 1230-2010       Paragraphs (c), (d), (e),
 split Systems, Water-source.                                                                              (omit sections       and (f).
                                                                                                           5.1.2 and 6.6).
Single Package Vertical Air       AC and HP..........  <760,000 Btu/h.....  EER and COP.................  AHRI 390-2003 (omit  Paragraphs (c) and (e).
 Conditioners and Single Package                                                                           section 6.4).
 Vertical Heat Pumps.
Direct Expansion-Dedicated        All................  <324 lbs. of         ISMRE2 and ISCOP2...........  Appendix B of this   None.
 Outdoor Air Systems.                                   moisture removal/                                  subpart.
                                                        hr.
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Incorporated by reference; see Sec.   431.95.
\2\ Moisture removal capacity is determined according to appendix B of this subpart.

* * * * *
0
9. 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 Measuring 
the Energy Consumption of Direct Expansion-Dedicated Outdoor Air 
Systems

    Note: Beginning [date 360 days after publication of a test 
procedure final rule], representations with respect to energy use or 
efficiency of direct expansion-dedicated outdoor air systems must be 
based on testing conducted in accordance with this appendix. 
Manufacturers may elect to use this appendix early.

1. Referenced Materials

1.1 Incorporation by Reference

    DOE incorporated by reference in Sec.  431.95, the entire 
standard for AHRI 920-2020, AHRI 1060-2018; ANSI/ASHRAE 37-2009, 
ANSI/ASHRAE 41.1-2013, ANSI/ASHRAE 41.6-2014, and ANSI/ASHRAE 198-
2013. However, only enumerated provisions of AHRI 920-2020, ANSI/
ASHRAE 37-2009, ANSI/ASHRAE 41.6-2014, and ANSI/ASHRAE 198-2013, as 
set forth in paragraphs (a) through (d) of this section are 
applicable. 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 920-2020:
    (i) Section 3--Definitions, as specified in section 2.2.1(a) of 
this appendix;
    (ii) Section 5--Test Requirements, as specified in section 
2.2.1(b) of this appendix;
    (iii) Section 6--Rating Requirements, as specified in section 
2.2.1(c) of this appendix, omitting section 6.1.2 (but retaining 
sections 6.1.2.1-6.1.2.8) and 6.6.1;
    (iv) Section 11--Symbols and Subscripts, as specified in section 
2.2.1(d) of this appendix;
    (v) Appendix A--References--Normative, as specified in section 
2.2.1(e) of this appendix;
    (vi) Appendix C--ANSI/ASHRAE Standard 198 and ANSI/ASHRAE 
Standard 37 Additions, Clarifications and Exceptions--Normative, as 
specified in section 2.2.1(f) of this appendix, and
    (b) ANSI/ASHRAE 37-2009:
    (i) Section 5.1--Temperature Measuring Instruments (excluding 
sections 5.1.1 and 5.1.2), as specified in sections 2.2.1(b) and (f) 
of this appendix;
    (ii) Section 5.2--Refrigerant, Liquid, and Barometric Pressure 
Measuring Instruments, as specified in section 2.2.1(b) of this 
appendix;
    (iii) Sections 5.3--Air Differential Pressure and Airflow 
Measurements, as specified in section 2.2.1(b) of this appendix;
    (iv) Sections 5.5(b)--Volatile Refrigerant Measurement, as 
specified in section 2.2.1(b) of this appendix;
    (iv) Section 6.1--Enthalpy Apparatus (excluding 6.1.1 and 6.1.3 
through 6.1.6), as specified in section 2.2.1(b) of this appendix;
    (v) Section 6.2--Nozzle Airflow Measuring Apparatus, as 
specified in section 2.2.1(b) of this appendix;
    (vi) Section 6.3--Nozzles, as specified in section 2.2.1(b) of 
this appendix;
    (vii) Section 6.4--External Static Pressure Measurements, as 
specified in section 2.2.1(b) of this appendix;

[[Page 72890]]

    (ix) Section 6.5--Recommended Practices for Static Pressure 
Measurements, as specified in section 2.2.1(f) of this appendix;
    (x) Section 7.3--Indoor and Outdoor Air Enthalpy Methods, as 
specified in section 2.2.1(f) of this appendix;
    (xi) Section 7.4--Compressor Calibration Method, as specified in 
section 2.2.1(f) of this appendix;
    (xii) Section 7.5--Refrigerant Enthalpy Method, as specified in 
section 2.2.1(f) of this appendix;
    (xiii) Section 7.6--Outdoor Liquid Coil Method, as specified in 
section 2.2.1(f) of this appendix;
    (xiv) Section 7.7--Airflow Rate Measurement (excluding sections 
7.7.1.2, 7.7.3, and 7.7.4), as specified in section 2.2.1(b) of this 
appendix;
    (xv) Table 1--Applicable Test Methods, as specified in section 
2.2.1(f) of this appendix;
    (xvi) Section 8.6--Additional Requirements for the Outdoor Air 
Enthalpy Method, as specified in section 2.2.1(f) of this appendix;
    (xvii) Table 2b--Test Tolerances (I-P Units), as specified in 
sections 2.2.1(c) and 2.2(f) of this appendix; and
    (xviii) Errata sheet issued on October 3, 2016, as specified in 
section 2.2.1(f) of this appendix.
    (c) ANSI/ASHRAE 41.6-2014:
    (i) Section 4--Classifications, as specified in section 2.2.1(f) 
of this appendix;
    (ii) Section 5--Requirements, as specified in section 2.2.1(f) 
of this appendix;
    (iii) Section 6--Instruments and Calibration, as specified in 
section 2.2.1(f) of this appendix;
    (iv) Section 7.1--Standard Method Using the Cooled-Surface 
Condensation Hygrometer as specified in section 2.2.1(f) of this 
appendix; and
    (v) Section 7.4--Electronic and Other Humidity Instruments. as 
specified in section 2.2.1(f) of this appendix.
    (d) ANSI/ASHRAE 198-2013:
    (i) Section 4.4--Temperature Measuring Instrument, as specified 
in section 2.2.1(b) of this appendix;
    (ii) Section 4.5--Electrical Instruments, as specified in 
section 2.2.1(b) of this appendix;
    (iii) Section 4.6--Liquid Flow Measurement, as specified in 
section 2.2.1(b) of this appendix;
    (iv) Section 4.7--Time and Mass Measurements, as specified in 
section 2.2.1(b) of this appendix;
    (iv) Section 6.1--Test Room Requirements, as specified in 
section 2.2.1(b) of this appendix;
    (v) Section 6.6--Unit Preparation, as specified in section 
2.2.1(b) of this appendix;
    (vi) Section 7.1--Preparation of the Test Room(s), as specified 
in section 2.2.1(b) of this appendix;
    (vii) Section 7.2--Equipment Installation, as specified in 
section 2.2.1(b) of this appendix;
    (ix) Section 8.2--Equilibrium, as specified in section 2.2.1(b) 
of this appendix, and
    (x) Section 8.4--Test Duration and Measurement Frequency, as 
specified in section 2.2.1(b) of this appendix.

1.2. Informational Materials

    DOE refers to the following provision of AHRI 920-2020, for 
informational purposes only:
    (a) Appendix E--Typical Test Unit Installations--Informative, as 
specified in section 2.2.1(g) of this appendix.
    (b) Reserved.

2. Test Method

2.1 Capacity

    Moisture removal capacity (in pounds per hour) and supply 
airflow rate (in standard cubic feet per minute) are determined 
according to AHRI 920-2020 as specified in section 2.2 of this 
appendix.

2.2. Efficiency

    2.2.1. Determine the ISMRE2 for all DX-DOASes and the ISCOP2 for 
all heat pump DX-DOASes in accordance with the following sections of 
AHRI 920-2020.
    (a) Section 3--Definitions, including the references to AHRI 
1060-2018;
    (i) Non-standard Low-static Fan Motor. A supply fan motor that 
cannot maintain external static pressure as high as specified in 
Table 7 of AHRI 920-2020 when operating at a manufacturer-specified 
airflow rate and that is distributed in commerce as part of an 
individual model within the same basic model of a DX-DOAS that is 
distributed in commerce with a different motor specified for testing 
that can maintain the required external static pressure.
    (ii) Reserved.
    (b) Section 5--Test Requirements, including the references to 
Sections 5.1, 5.2, 5.3, 5.5, 6.1, 6.2, 6.3, 6.4, and 7.7 (not 
including Sections 7.7.1.2, 7.7.3, and 7.7.4) of ANSI/ASHRAE 37-
2009, and Sections 4.4, 4.5, 4.6, 4.7, 5.1, 6.1, 6.6, 7.1, 7.2, 8.2, 
and 8.4 of ANSI/ASHRAE 198-2013;
    (i) All control settings are to remain unchanged for all 
Standard Rating Conditions once system set up has been completed, 
except as explicitly allowed or required by AHRI 920-2020 or as 
indicated in the supplementary test instructions (STI). Component 
operation shall be controlled by the unit under test once the 
provisions in section 2.2.1(c) of this appendix are met.
    (ii) Reserved.
    (c) Section 6--Rating Requirements (omitting sections 6.1.2 and 
6.6.1), including the references to Table 2b of ANSI/ASHRAE 37-2009, 
and ANSI/ASHRAE 198-2013.
    (i) For water-cooled DDX-DOASes, the ``Condenser Water Entering 
Temperature, Cooling Tower Water'' conditions specified in Table 4 
of AHRI 920-2020 shall be used. For water-source heat pump DDX-
DOASes, the ``Water-Source Heat Pumps'' conditions specified in 
Table 5 of AHRI 920-2020 shall be used.
    (ii) For water-cooled or water-source DX-DOASes with integral 
pumps, set the external head pressure to 20 ft. of water column, 
with a -0/+1 ft. condition tolerance and a 1 ft. operating 
tolerance.
    (iii) When using the degradation coefficient method as specified 
in Section 6.9.2 of AHRI 920-2020, Equation 20 applies to DX-DOAS 
without VERS, with deactivated VERS (see Section 5.4.3 of AHRI 920-
2020), or sensible-only VERS tested under Standard Rating Conditions 
other than D.
    (iv) Rounding requirements for representations are to be 
followed as stated in Sections 6.1.2.1 through 6.1.2.8 of AHRI 920-
2020;
    (d) Section 11--Symbols and Subscripts, including references to 
AHRI 1060-2018;
    (e) Appendix A--References--Normative;
    (f) Appendix C--ANSI/ASHRAE 198-2013 and ANSI/ASHRAE 37 
Additions, Clarifications and Exceptions--Normative, including 
references to Sections 5.1, 6.5, 7.3, 7.4, 7.5, 7.6, 8.6, Table 1, 
Table 2b, and the errata sheet of ANSI/ASHRAE 37-2009, ANSI/ASHRAE 
41.1-2013, Sections 4, 5, 6, 7.1, and 7.4 of ANSI/ASHRAE 41.6-2014, 
and AHRI 1060-2018;
    (g) Appendix E--Typical Test Unit Installations--Informative, 
for information only.
    2.2.2. Set-Up and Test Provisions for Specific Components. When 
testing a DX-DOAS that includes any of the features listed in Table 
2.1 of this section, test in accordance with the set-up and test 
provisions specified in Table 2.1.

                               Table 2.1--Test Provisions for Specific Components
----------------------------------------------------------------------------------------------------------------
             Component                            Description                          Test provisions
----------------------------------------------------------------------------------------------------------------
Return and Exhaust Dampers.........  An automatic system that enables a DX- All dampers that allow return air to
                                      DOAS Unit to supply and use some       pass into the supply airstream
                                      return air (even if an optional VERS   shall be closed and sealed. Exhaust
                                      is not utilized) to reduce or          air dampers of DOAS units with VERS
                                      eliminate the need for mechanical      shall be open. Gravity dampers
                                      dehumidification or heating when       activated by exhaust fan discharge
                                      ventilation air requirements are       airflow shall be allowed to open by
                                      less than design.                      action of the exhaust airflow.
VERS Bypass Dampers................  An automatic system that enables a DX- Test with the VERS bypass dampers
                                      DOAS Unit to let outdoor ventilation   installed, closed, and sealed.
                                      air and return air bypass the VERS     However, VERS bypass dampers may be
                                      when preconditioning of outdoor        opened if necessary for testing
                                      ventilation is not beneficial.         with deactivated VERS for Standard
                                                                             Rating Condition D.
Fire/Smoke/Isolation Dampers.......  A damper assembly including means to   The fire/smoke/isolation dampers
                                      open and close the damper mounted at   shall be removed for testing. If it
                                      the supply or return duct opening of   is not possible to remove such a
                                      the equipment.                         damper, test with the damper fully
                                                                             open. For any fire/smoke/isolation
                                                                             dampers shipped with the unit but
                                                                             not factory-installed, do not
                                                                             install the dampers for testing.

[[Page 72891]]

 
Furnaces and Steam/Hydronic Heat     Furnaces and steam/hydronic heat       Test with the coils in place but
 Coils.                               coils used to provide primary or       providing no heat.
                                      supplementary heating.
Power Correction Capacitors........  A capacitor that increases the power   Remove power correction capacitors
                                      factor measured at the line            for testing.
                                      connection to the equipment. These
                                      devices are a requirement of the
                                      power distribution system supplying
                                      the unit.
Hail Guards........................  A grille or similar structure mounted  Remove hail guards for testing.
                                      to the outside of the unit covering
                                      the outdoor coil to protect the coil
                                      from hail, flying debris and damage
                                      from large objects.
Ducted Condenser Fans..............  A condenser fan/motor assembly         Test with the ducted condenser fan
                                      designed for optional external         installed and operating using zero
                                      ducting of condenser air that          external static pressure, unless
                                      provides greater pressure rise and     the manufacturer specifies use of
                                      has a higher rated motor horsepower    an external static pressure
                                      than the condenser fan provided as a   greater. than zero, in which case,
                                      standard component with the            use the manufacturer-specified
                                      equipment.                             external static pressure.
Sound Traps/Sound Attenuators......  An assembly of structures through      Removable sound traps/sound
                                      which the Supply Air passes before     attenuators shall be removed for
                                      leaving the equipment or through       testing. Otherwise, test with sound
                                      which the return air from the          traps/attenuators in place.
                                      building passes immediately after
                                      entering the equipment for which the
                                      sound insertion loss is at least 6
                                      dB for the 125 Hz octave band
                                      frequency range.
Humidifiers........................  A device placed in the supply air      Remove humidifiers for testing.
                                      stream for moisture evaporation and
                                      distribution. The device may require
                                      building steam or water, hot water,
                                      electric or gas to operate.
UV Lights..........................  A lighting fixture and lamp mounted    Remove UV lights for testing.
                                      so that it shines light on the
                                      conditioning coil, that emits
                                      ultraviolet light to inhibit growth
                                      of organisms on the conditioning
                                      coil surfaces, the condensate drip
                                      pan, and/other locations within the
                                      equipment.
High-Effectiveness Indoor Air        Indoor air filters with greater air    Test with a MERV 8 filter or the
 Filtration.                          filtration effectiveness than MERV 8   lowest MERV filter distributed in
                                      or the lowest MERV filter              commerce, whichever is greater.
                                      distributed in commerce, whichever
                                      is greater.
----------------------------------------------------------------------------------------------------------------

    2.2.3. Optional Representations. Test provisions for the 
determination of the metrics indicated in paragraphs (a) through (d) 
of this section are optional and are determined according to the 
applicable provisions in section 2.2.1 of this appendix. For water-
cooled DX-DOASes, these optional representations may be determined 
using either the ``Condenser Water Entering Temperature, Cooling 
Tower'' or the ``Condenser Water Entering Temperature, Chilled 
Water'' conditions specified in Table 4 of AHRI 920-2020. For water-
source heat pump DX-DOASes, these optional representations may be 
determined using either the ``Water-Source Heat Pumps'' or ``Water-
Source Heat Pump, Ground-Source Closed Loop'' conditions specified 
in Table 5 of AHRI 920-2020. The following metrics in AHRI 920-2020 
are optional:
    (a) ISMRE70;
    (b) COPFull,x:
    (c) COPDOAS,x: and
    (d) ISMRE2 and ISCOP2 for water-cooled DX-DOASes using the 
``Condenser Water Entering Temperature, Chilled Water'' conditions 
specified in Table 4 of AHRI 920-2020 and for water-source heat pump 
DX-DOASes using the ``Water-Source Heat Pump, Ground-Source Closed 
Loop'' conditions specified in Table 5 of AHRI 920-2020.

2.3 Synonymous Terms

    (a) Any references to energy recovery or energy recovery 
ventilator (ERV) in AHRI 920-2020 and ANSI/ASHRAE 198-2013 shall be 
considered synonymous with ventilation energy recovery system (VERS) 
as defined in Sec.  431.92.
    (b) Reserved.

[FR Doc. 2021-27460 Filed 12-22-21; 8:45 am]
BILLING CODE 6450-01-P