[Federal Register Volume 87, Number 143 (Wednesday, July 27, 2022)]
[Rules and Regulations]
[Pages 45164-45201]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2022-15493]



[[Page 45163]]

Vol. 87

Wednesday,

No. 143

July 27, 2022

Part II





Department of Energy





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10 CFR Parts 429 and 431





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

  Federal Register / Vol. 87 , No. 143 / Wednesday, July 27, 2022 / 
Rules and Regulations  

[[Page 45164]]


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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: Final rule.

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SUMMARY: The U.S. Department of Energy (``DOE'') is publishing a final 
rule to establish definitions for ``direct expansion-dedicated outdoor 
air systems'' (``DX-DOASes'') and ``unitary dedicated outdoor air 
systems'' (``unitary DOASes''). Unitary DOASes are a category of small, 
large, and very large commercial package air conditioning and heating 
equipment under the Energy Policy and Conservation Act, as amended. In 
addition, DOE is establishing a test procedure to measure the energy 
efficiency of DX-DOASes, which aligns with the most recent version of 
the relevant industry consensus test standards for DX-DOASes, with 
certain minor modifications. Lastly, DOE is adopting supporting 
definitions, energy efficiency metrics for dehumidification and heating 
modes, and provisions governing public representations as part of this 
rulemaking.

DATES: The effective date of this rule is August 26, 2022. The 
incorporation by reference of certain publications listed in the rule 
is approved by the Director of the Federal Register on August 26, 2022. 
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 final rule on or after July 24, 2023.

ADDRESSES: The docket, which includes Federal Register notices, public 
meeting attendee lists and transcripts, comments, and other supporting 
documents/materials, is available for review at www.regulations.gov. 
All documents in the docket are listed in the www.regulations.gov 
index. However, some documents listed in the index, such as those 
containing information that is exempt from public disclosure, may not 
be publicly available.
    A link to the docket web page can be found at www.regulations.gov/docket/EERE-2017-BT-TP-0018. The docket web page contains instructions 
on how to access all documents, including public comments, in the 
docket. For further information on how to review the docket contact the 
Appliance and Equipment Standards Program staff at (202) 287-1445 or by 
email: [email protected].

FOR FURTHER INFORMATION CONTACT: 
    Ms. Catherine Rivest, U.S. Department of Energy, Office of Energy 
Efficiency and Renewable Energy, Building Technologies Office, EE-2J, 
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 20585-0121. 
Telephone: (202) 586-2555. Email: [email protected].

SUPPLEMENTARY INFORMATION: DOE incorporates 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 (I-P) with Addendum 1, ``2020 Standard for 
Performance Rating of Direct Expansion-Dedicated Outdoor Air System 
Units,'' copyright 2021.
    AHRI Standard 1060 (I-P), ``2018 Standard for Performance Rating 
of Air-to-Air Exchangers for Energy Recovery Ventilation 
Equipment,'' copyright 2018.

    Copies of AHRI 920-2020 (I-P) with Addendum, 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 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.N of this document for a further discussion of these 
industry standards.

Table of Contents

I. Authority and Background
    A. Authority
    B. Background
II. Synopsis of the Final Rule
III. Discussion
    A. Scope of Applicability
    1. Equipment Coverage
    2. Scope of Test Procedure
    3. Capacity Limit
    4. Terminology for Covered Equipment
    B. Crosswalk
    C. Harmonization With Industry Standards
    D. Efficiency Metrics
    E. Test Method
    1. Definitions
    2. General Control Setting Requirements
    3. Test Operating Conditions
    4. Break-in Period
    5. Ventilation Energy Recovery Systems
    6. Defrost Energy Use for Air-Source Heat Pump
    7. Return External Static Pressures
    8. Tolerances for Supply and Return Airflow and External Static 
Pressure
    9. Secondary Dehumidification and Heating Capacity Tests
    10. Water Pump Effect
    11. Calculation of the Degradation Coefficient
    12. Calculation of Supplementary Heat Penalty
    13. Water-Cooled and Water-Source Heat Pump DX-DOAS
    14. Airflow Measurement Apparatus
    15. Demand-Controlled Ventilation
    F. Configuration of Unit Under Test
    1. Background
    2. Approach for Exclusion of Certain Components From 
Determination of Represented Values
    3. Specific Components for Exclusion
    G. Determination of Represented Values
    1. Basic Model
    2. Sampling Plan Requirements
    3. Multiple Refrigerants
    4. Alternative Energy-Efficiency Determination Methods
    5. Rounding
    H. Effective and Compliance Dates
    I. Test Procedure Costs
IV. Procedural Issues and Regulatory Review
    A. Review Under Executive Order 12866 and 13563
    B. Review Under the Regulatory Flexibility Act
    1. Need for, and Objective of, the Rule
    2. Significant Issues Raised in Response to the Initial 
Regulatory Flexibility Analysis
    3. Description and Estimate of the Number of Small Entities 
Affected
    4. Description of Compliance Requirements

[[Page 45165]]

    5. Significant Alternatives Considered and Steps Taken To 
Minimize Significant Economic Impacts on Small Entities
    C. Review Under the Paperwork Reduction Act of 1995
    D. Review Under the National Environmental Policy Act of 1969
    E. Review Under Executive Order 13132
    F. Review Under Executive Order 12988
    G. Review Under the Unfunded Mandates Reform Act of 1995
    H. Review Under the Treasury and General Government 
Appropriations Act, 1999
    I. Review Under Executive Order 12630
    J. Review Under Treasury and General Government Appropriations 
Act, 2001
    K. Review Under Executive Order 13211
    L. Review Under Section 32 of the Federal Energy Administration 
Act of 1974
    M. Congressional Notification
    N. Description of Materials Incorporated by Reference
V. Approval of the Office of the Secretary

I. Authority and Background

    Small, large, and very large commercial package air conditioning 
and heating equipment are included in the list of ``covered equipment'' 
for which the DOE is authorized to establish and amend energy 
conservation standards and test procedures. (42 U.S.C. 6311(1)(B)-(D)) 
As defined by the Energy Policy and Conservation Act, as amended 
(``EPCA''),\1\ ``commercial package air conditioning and heating 
equipment'' means air-cooled, water-cooled, evaporatively-cooled, or 
water-source (not including ground-water-source) electrically operated, 
unitary central air conditioners and central air conditioning heat 
pumps for commercial application. (42 U.S.C. 6311(8)(A)) Industry 
standards generally describe unitary central air conditioning equipment 
as one or more factory-made assemblies that normally include an 
evaporator or cooling coil and a compressor and condenser combination. 
Units equipped to also perform a heating function are included.\2\ 
Unitary dedicated outdoor air systems (``unitary DOASes'') provide 
conditioning of outdoor ventilation air, normally using a refrigeration 
cycle consisting of a compressor, condenser, expansion valve, and 
evaporator, and therefore, DOE has concluded that unitary DOASes are a 
category of commercial package air conditioning and heating equipment 
subject to EPCA. An industry consensus test standard has been 
established for direct expansion-dedicated outdoor air systems (``DX-
DOASes''), which are a subset of unitary DOASes and which are the 
subject of this final rule. The following sections discuss DOE's 
authority to establish test procedures for DX-DOASes, as well as 
relevant background information regarding DOE's adoption of the 
industry consensus test standard, and clarifications to the industry 
test procedure for this equipment.
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    \1\ All references to EPCA in this document refer to the statute 
as amended through the Energy Act of 2020, Public Law 116-260 (Dec. 
27, 2020), which reflect the last statutory amendments that impact 
Parts A and A-1 of EPCA.
    \2\ See American Society of Heating, Refrigerating and Air-
Conditioning Engineers (``ASHRAE'') Standard 90.1-2019, ``Energy 
Standard for Buildings Except Low-Rise Residential Buildings'' p. 
38.
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A. Authority

    EPCA authorizes DOE to regulate the energy efficiency of a number 
of consumer products and certain industrial equipment. (42 U.S.C. 6291-
6317) Title III, Part C \3\ of EPCA, 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 determined that 
commercial package air conditioning and heating equipment includes 
unitary DOASes. As discussed in section I.B of this document, this 
equipment has not previously been addressed in DOE rulemakings and are 
not currently subject to Federal test procedures or energy conservation 
standards.
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    \3\ For editorial reasons, upon codification in the U.S. Code, 
Part C was redesignated Part A-1.
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    The energy conservation program under EPCA consists essentially of 
four parts: (1) testing, (2) labeling, (3) 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).
    The Federal testing requirements consist of test procedures that 
manufacturers of covered equipment must use as the basis for: (1) 
certifying to DOE that their equipment complies with the applicable 
energy conservation standards adopted pursuant to EPCA (42 U.S.C. 
6316(b); 42 U.S.C. 6296), and (2) making other representations about 
the efficiency of that equipment (42 U.S.C. 6314(d)). Similarly, DOE 
uses these test procedures to determine whether the equipment complies 
with relevant standards promulgated under EPCA.
    Federal energy efficiency requirements for covered equipment 
established under EPCA generally supersede State laws and regulations 
concerning energy conservation testing, labeling, and standards. (42 
U.S.C. 6316(a) and (b); 42 U.S.C. 6297) DOE may, however, grant waivers 
of Federal preemption 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 90.1, ``Energy Standard 
for Buildings Except Low-Rise Residential Buildings'' (``ASHRAE 
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 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 test procedures would more accurately or fully comply with the 
requirements for the test procedures to not be unduly burdensome to 
conduct and be reasonably designed to produce test results that reflect 
energy efficiency,

[[Page 45166]]

energy use, and estimated operating costs during a representative 
average use cycle. (42 U.S.C. 6314(a)(1))
    In addition, if the Secretary determines that a test procedure 
amendment is warranted, the Secretary 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 its determination not to amend the test 
procedures.
    As discussed in section I.B of this document, a test procedure for 
DX-DOASes was first specified by ASHRAE 90.1 in the 2016 edition 
(``ASHRAE 90.1-2016''). Pursuant to 42 U.S.C. 6314(a)(4)(B) and 
following updates to the relevant test procedures referenced in ASHRAE 
90.1, DOE is establishing 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, normally 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). This conditioned 
outdoor air is then delivered directly or indirectly to the conditioned 
spaces. A unitary DOAS may precondition outdoor air using an enthalpy 
wheel, sensible wheel, plate heat exchanger, heat pipe, or other heat 
or mass transfer apparatus. 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\
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    \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).
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    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 \5\) 
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). As discussed further in section 
III.A.2 of this document, not all unitary DOASes have this 
dehumidification capability.
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    \5\ Sensible capacity is associated with a change in dry-bulb 
temperature, expressed in Btu/h. Latent capacity is associated with 
a change in humidity ratio, expressed in Btu/h.
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    On October 26, 2016, ASHRAE published ASHRAE 90.1-2016, which for 
the first time specified a test standard and efficiency standards for 
DX-DOASes. ASHRAE 90.1-2016 adopted the integrated seasonal moisture 
removal efficiency (``ISMRE'') dehumidification efficiency metric and 
the integrated seasonal coefficient of performance (``ISCOP'') heating 
efficiency metric, as measured according to the applicable industry 
standard at the time (ANSI/AHRI Standard 920-2015, ``Performance Rating 
of DX-Dedicated Outdoor Air System Units'' (``ANSI/AHRI 920-2015'')), 
and 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. ASHRAE 90.1-2016 also established 
dehumidification and heating standards for DX-DOASes.
    The amendment to ASHRAE 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 discussed previously. On 
October 25, 2019, ASHRAE published an updated version of ASHRAE 90.1 
(``ASHRAE Standard 90.1-2019''), which maintained the DX-DOAS 
provisions as first introduced in ASHRAE 90.1-2016 without revisions.
    On February 4, 2020, AHRI published AHRI 920 (I-P)-2020, 
``Performance Rating of DX-Dedicated Outdoor Air System Units''. 
Following this publication, in April 2021, AHRI published AHRI 920 (I-
P)-2020 with Addendum 1, ``Performance Rating of DX-Dedicated Outdoor 
Air System Units'' (``AHRI 920-2020''), which included one minor update 
to fix an error in section 6.8.2 of the previous version.
    On July 7, 2021, DOE published a notice of proposed rulemaking 
(``NOPR'') pertaining to unitary DOASes. 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 
``dehumidifying direct-expansion dedicated outdoor air system'' (``DDX-
DOASes'') in the July 2021 NOPR) that incorporates by reference the 
most up to date version of the industry consensus test standard 
referenced in ASHRAE 90.1-2016 and 90.1-2019 (i.e., AHRI 920-2020).
    On December 23, 2021, DOE published a supplemental notice of 
proposed rulemaking (``SNOPR'') pertaining to unitary DOASes. 86 FR 
72874 (December 2021 SNOPR). In the December 2021 SNOPR, DOE presented 
an updated proposal in response to comments received on the July 2021 
NOPR. These updates included the proposal to use the terms unitary DOAS 
and DX-DOAS instead of the terms ``DX-DOAS'' and ``DDX-DOAS'', 
respectively, which were used in the July 2021 NOPR \6\ (discussed 
further in section III.A.4 of this document), and several proposals 
related to the instructions in Appendix F of AHRI 920-2020 regarding 
testing with, and how to test, specific components (discussed further 
in section III.F of this document).
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    \6\ Throughout the remainder of this final rule, DOE uses the 
terms unitary DOAS and DX-DOAS when referring to the text and 
proposals in the July 2021 NOPR instead of the ``DX-DOAS'' and 
``DDX-DOAS'' terms that are present in the July 2021 NOPR to avoid 
confusion between notices, unless otherwise specifically stated. DOE 
also uses the terms unitary DOAS and DX-DOAS when referring to 
stakeholder comments received on behalf of the July 2021 NOPR, even 
if the comments used the terminology proposed in the July 2021 NOPR.
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    The proposed test procedure in the July 2021 NOPR, as revised by 
the December 2021 SNOPR, would apply to all DX-DOASes for which ASHRAE 
90.1-2019 specifies standards, with the

[[Page 45167]]

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 920-2020, the most recent version of 
the test procedure recognized by ASHRAE 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; (5) provide 
instructions for testing DX-DOASes with certain specific components; 
and (6) 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 and December 2021 SNOPR. Table I-1 and 
Table I-2 list the commenters, along with each commenter's abbreviated 
name used throughout this final rule.

  Table I-1--Interested Parties Providing Written Comments on the July
                                2021 NOPR
------------------------------------------------------------------------
             Name                       Abbreviation             Type
------------------------------------------------------------------------
Air-Conditioning, Heating, and  AHRI.......................  IR
 Refrigeration Institute.
Appliance Standards Awareness   Joint Advocates............  EA
 Project, American Council for
 an Energy-Efficient Economy.
Pacific Gas and Electric        CA IOUs....................  U
 Company, San Diego Gas and
 Electric, and Southern
 California Edison;
 collectively, the California
 Investor-Owned Utilities.
Carrier Corporation...........  Carrier....................  M
Emerson Commercial and          Emerson....................  M
 Residential Solutions.
Madison Indoor Air Quality....  MIAQ.......................  M
Northwest Energy Efficiency     NEEA.......................  EA
 Alliance.
Trane Technologies............  Trane......................  M
Keith Rice....................  Rice.......................  I
------------------------------------------------------------------------
EA: Efficiency/Environmental Advocate; IR: Industry Representative; M:
  Manufacturer; U: Utility; I: Individual.


Table I-2--Interested Parties Providing Written Comments on the December
                               2021 SNOPR
------------------------------------------------------------------------
             Name                       Abbreviation             Type
------------------------------------------------------------------------
Air-Conditioning, Heating, and  AHRI.......................  IR
 Refrigeration Institute.
Appliance Standards Awareness   ASAP & NYSERDA.............  EA
 Project, New York State
 Energy Research and
 Development Authority.
Pacific Gas and Electric        CA IOUs....................  U
 Company, San Diego Gas and
 Electric, and Southern
 California Edison;
 collectively, the California
 Investor-Owned Utilities.
Carrier Corporation...........  Carrier....................  M
Emerson Commercial and          Emerson....................  M
 Residential Solutions.
Madison Indoor Air Quality....  MIAQ.......................  M
Northwest Energy Efficiency     NEEA.......................  EA
 Alliance.
------------------------------------------------------------------------

    This final rule addresses the relevant comments received in 
response to the July 2021 NOPR, except for those already addressed in 
the December 2021 SNOPR. This final rule also addresses the relevant 
comments received in response to the December 2021 SNOPR. A 
parenthetical reference at the end of a comment quotation or paraphrase 
provides the location of the item in the public record.\7\
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    \7\ The parenthetical reference provides a reference for 
information located in the docket of DOE's rulemaking to develop 
test procedures for DX-DOASes. (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).
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II. Synopsis of the Final Rule

    In this final rule, DOE is establishing a definition for unitary 
DOAS as a category of commercial package air conditioning and heating 
equipment and adopting a new test procedure for a subset of unitary 
DOASes (i.e., DX-DOASes) consistent with the latest version of the 
industry consensus test standard specified in ASHRAE 90.1-2019. This 
test procedure, when effective, applies to all DX-DOASes for which 
ASHRAE 90.1-2019 specifies standards, with the exception of ground-
water-source DX-DOASes, as discussed in section III.A.1 of this final 
rule. More specifically, DOE is updating 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 920-2020, the most 
recent version of the test procedure recognized by ASHRAE 90.1 for DX-
DOASes, and the relevant industry standards referenced therein; (2) 
establish the scope of coverage for the DX-DOAS test procedure; (3) add 
definitions for unitary DOASes and DX-DOASes, as well as additional 
terminology required by the test procedure; (4) adopt ISMRE2 and ISCOP2 
as measured according to the most recent applicable industry standard, 
as energy efficiency descriptors for dehumidification and heating mode, 
respectively; (5) provide instructions for testing DX-DOASes

[[Page 45168]]

with certain specific components; and (6) establish representation 
requirements. DOE is also adding a new appendix B to subpart F of part 
431, titled ``Uniform test method for measuring the energy consumption 
of dehumidifying direct expansion-dedicated outdoor air systems,'' 
(``appendix B'') that includes the new test procedure requirements for 
DX-DOASes. In conjunction, DOE is amending Table 1 in 10 CFR 431.96 to 
specify the newly added appendix B as the applicable test procedure for 
testing DX-DOASes. DOE has determined that the adopted test procedure 
will not be unduly burdensome to conduct. DOE's actions are summarized 
in Table II.1 and addressed in detail in section III of this document.

       Table II.1--Summary of Test Procedure Actions for DX-DOASes
------------------------------------------------------------------------
             Adopted provisions                      Attribution
------------------------------------------------------------------------
Incorporates by reference AHRI 920-2020 and  Adopt industry test
 certain relevant industry test standards     procedure.
 referenced by that standard. AHRI 920-2020
 includes:
--test methods for DX-DOAS with and without
 ventilation energy recovery systems
 (``VERS'');.
--test operating conditions, including
 Standard Rating Conditions, simulated
 ventilation air conditions for optional
 test methods for DX-DOASes with VERS,
 supply air target conditions, supply and
 return airflow rates, and external static
 pressure;.
--testing instrumentation and apparatus
 instructions;.
--test operating and condition tolerances..
Defines ``unitary DOASes'' as covered        Establish equipment
 equipment that meet the EPCA definition      coverage.
 for small, large, or very-large commercial
 package air conditioning and heating
 equipment.
Defines the scope of coverage of the test    Establish scope of test
 procedure, including defining DX-DOASes to   procedure.
 distinguish them from other kinds of
 equipment and a capacity limit based on
 moisture removal capacity (``MRC'').
Adopts ISMRE2 and ISCOP2 as the seasonal     Adopt industry test
 efficiency descriptors for                   procedure.
 dehumidification and heating mode,
 respectively, as specified in AHRI 920-
 2020.
Provides minor corrections and additional    Clarify instructions in the
 instruction consistent with AHRI 920-2020    industry test procedure.
 by:.
--specifying the external head pressure
 requirements for DX-DOASes with integral
 water pumps;.
--specifying general control setting
 requirements;.
--providing a missing definition for a
 ``non-standard low-static motor,''
 necessary for the interpretation of the
 airflow setting instructions..
Provides instructions for testing DX-DOASes  Establish representation
 with certain specific components. This       requirements.
 includes:.
--a list of specific components that must
 be present for testing, specified in 10
 CFR 429.43;.
--provisions for testing units with certain
 specific components, specified in appendix
 B..
Specifies representation requirements,       Provide for representations
 including a basic model definition,          of energy efficiency
 sampling plan requirements, and use of       consistent with other
 alternative energy-efficiency                commercial air conditioner/
 determination methods.                       heat pump equipment.
------------------------------------------------------------------------

    The effective date for the test procedures adopted in this final 
rule is 30 days after publication of this document in the Federal 
Register. Representations of energy use or energy efficiency must be 
based on testing in accordance with the test procedures beginning 360 
days after the publication of this final rule.

III. Discussion

    The following sections discuss DOE's determination to establish 
unitary DOASes as a category of small, large and extra-large commercial 
package air conditioning and heating equipment, and to establish a new 
test procedure for DX-DOASes, a subset of unitary DOASes. This includes 
summarizing and addressing the relevant comments received in response 
to specific issues DOE raised in the July 2021 NOPR and December 2021 
SNOPR that otherwise have not been addressed.

A. Scope of Applicability

1. Equipment Coverage
    As discussed, DOE has determined that unitary DOASes are a category 
of small, large, and very large commercial package air conditioning and 
heating equipment and, are therefore, covered equipment under EPCA. (42 
U.S.C. 6311(1)(B)-(D)) In the July 2021 NOPR, DOE proposed definitions 
for unitary DOASes. 86 FR 36018, 36023. DOE proposed to define unitary 
DOASes as a category of small, large, or very large commercial package 
air conditioning and heating equipment which 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. Id. This 
proposed definition is based, in part, on the definition in Section 3.6 
of AHRI 920-2020. This proposed definition included all air-cooled, 
air-source heat pump, and water-cooled equipment, excluding ground-
water-source unitary-DOASes.\8\ Id. DOE notes that the proposed 
definition included the conjunction ``or'' between the two parts of the 
definition, i.e., capability to provide ventilation and conditioning of 
100-percent outdoor air and marketing highlighting that capability.
---------------------------------------------------------------------------

    \8\ For water-source heat pump equipment, ASHRAE 90.1 includes 
three configurations: (1) ground-source, closed loop; (2) 
groundwater-source; and (3) water-source. However, the EPCA 
definition for ``commercial package air conditioning and heating 
equipment'' specifically excludes ground-water-source equipment. (42 
U.S.C. 6311(8)(A))
---------------------------------------------------------------------------

    The CA IOUs commented that there is ambiguity regarding which 
standards would apply to equipment that condition 100-percent outdoor 
air but do not dehumidify to the levels specified, such as makeup air 
units. The CA IOUs commented that AHRI 920-2020 references, but does 
not define, ``sensible-only 100-percent outdoor air units.'' The CA 
IOUs further stated that in response to an informal request for 
clarification, the Mechanical Subcommittee of the ASHRAE Standing 
Standards Project Committee 90.1 provided that, based on the industry 
definition that excludes units with recirculation capability from the 
industry definition of DX-DOAS, a unit would be subject to either the 
commercial unitary air conditioner and commercial unitary heat pump 
(``CUAC'' and ``CUHP'', referred collectively in this notice as ``CUAC/
HPs'') or the DX-DOAS efficiency specifications in ASHRAE Standard 
90.1, but not both. The CA IOUs also stated that the Mechanical

[[Page 45169]]

Subcommittee of the ASHRAE Standing Standards Project Committee 90.1 
provided that if the application of the unit was for only 100-percent 
outside air, the DX-DOAS tables were to be used. The CA IOUs asserted 
that it was understood that the distinction between CUAC/HPs and DX-
DOASes would not be evident when the definition for DX-DOAS is updated 
to include recirculation capability per AHRI 920-2020. The CA IOUs 
stated that they have requested that AHRI include clear language to 
distinguish the covered equipment from CUAC/HPs when an addendum to 
ASHRAE 90.1 is proposed. (CA IOUs, No. 25, pp. 3-4) The CA IOUs 
requested that DOE provide clarity on the differentiation between CUAC/
HPs and DX-DOASes by requiring that equipment that is designed and 
marketed to operate as either a DX-DOAS or a CUAC/HP meet the standards 
for both equipment categories, and require that sensible-only unitary 
DOASes meet the CUAC/HP standards, or alternatively clarify if 
sensible-only unitary DOASes are unregulated by DOE. (CA IOUs, No. 25, 
p. 4) For the purpose of this notice, DOE is considering a sensible-
only unitary DOAS to be a unitary DOAS that that is not a DX-DOAS.\9\
---------------------------------------------------------------------------

    \9\ Sensible-only unitary DOASes are discussed further in 
section III.A.2 of this document.
---------------------------------------------------------------------------

    In response to the July 2021 NOPR, Carrier supported the use of 
industry standards by DOE and agreed with DOE's proposed definitions 
for unitary DOAS and DX-DOAS. (Carrier, No. 20, p. 2) In response to 
the December 2021 SNOPR, Carrier also supported DOE's proposed 
definitions of DX-DOAS, however, Carrier noted that DOE's proposed 
definition of unitary DOASes creates a potential overlap between CUAC/
HPs and DOASes, and that this may especially be true for CUAC/HPs with 
economizers. (Carrier, No. 30, p. 2) Carrier stated that many CUAC/HPs 
with economizers have the ability to close a return air damper and 
deliver 100-percent outdoor air to the space, fitting the definition of 
a unitary DOAS. Id Similarly, in response to the December 2021 SNOPR, 
NEEA asserted that the unitary DOAS definition does not sufficiently 
separate unitary DOASes from other covered equipment, most notably 
including CUAC/HPs. (NEEA, No. 35, pp. 2-3) NEEA provided two model 
lines \10\ that are listed in DOE's CCMS database for CUAC/HPs, but 
that advertise their capability or option of providing ventilation and 
conditioning of up to 100-percent outdoor air. NEEA recommended DOE 
clarify the current coverage of 100-percent outdoor air equipment in 
the CFR, and how this is modified by the addition of the unitary DOAS 
definition. NEEA also recommended DOE clarify if it intends to 
establish new test procedures and standards for unitary DOASes (DOE 
assumes NEEA in this instance means unitary DOAS that are not DX-DOAS), 
and if so, how it would align with DOE's approach for DX-DOASes and 
CUAC/HPs. (NEEA, No. 35, p. 3)
---------------------------------------------------------------------------

    \10\ NEEA indicated the Daikin Rebel and AAON RQ/RN model lines. 
(NEEA, No. 35, p. 2)
---------------------------------------------------------------------------

    In response to the December 2021 SNOPR, NEEA also asserted that 
manufacturers do not always provide enough information in publicly 
available product materials to differentiate whether a model would meet 
the DX-DOAS or unitary DOAS definition. (NEEA, No. 35, pp. 3-4) 
Specifically, they noted several models,\11\ separate from those 
previously recognized by NEEA, which are listed as capable of 
dehumidifying up to 100-percent outdoor air, but for which information 
was not readily available (i.e., published MRCs or a description of 
``high dehumidification ability'') to differentiate them as DX-DOASes 
or unitary DOASes. NEEA noted that because DOE is only establishing 
standards for DX-DOASes and not other unitary DOASes, these definitions 
could incentivize manufacturers to create products with less 
dehumidification flexibility to avoid testing and regulatory burden. 
NEEA requests that DOE clarify how CUAC/HP, unitary DOAS, and DX-DOAS 
are related.
---------------------------------------------------------------------------

    \11\ NEEA indicated the following units: Carrier 62X DOAS, 
Greenheck RV/RVE ERCH and ERT DOAS, Modine DOAS, and Addison PR 
Series. (NEEA, No. 35, pp. 3-4)
---------------------------------------------------------------------------

    AHRI and MIAQ asserted that operating conditions as opposed to 
physical characteristics of a unit generally distinguish between 
categories of unitary DOASes. (MIAQ, No. 19, p. 2; AHRI, No. 22, p. 5) 
AHRI also stated that the purpose of typical commercial package air 
conditioning and heating equipment is to supply air at temperature for 
comfort cooling of people, whereas a DOAS is designed to provide 
dehumidified, conditioned air to the building. AHRI further provided 
that unitary DOAS and other categories of commercial package air 
conditioning and heating equipment may be equipped with variable speed, 
indoor fans with many motors and design speed options so it may be 
possible to apply them to more than one application or for a customer 
to mis-apply them. AHRI recommended that the DOE regulations focus on 
how the units are represented in the market. (AHRI, No. 22, p. 5)
    As noted, DOE proposed to define unitary DOAS as a category of 
small, large, or very large commercial package air conditioning and 
heating equipment which 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. 86 FR 72874, 72888. DOE 
also requested information as to whether there are any additional 
characteristics not yet considered that could help to distinguish 
unitary DOASes from other commercial package air conditioning and 
heating equipment. 86 FR 36018, 36023. However, DOE did not receive any 
responses to this particular request for comment.
    In general, if a unit meets the definition of more than one 
category of covered equipment, that unit must comply with the 
requirements applicable for each class of covered equipment.\12\ 
Certain commercial package air conditioning and heating equipment may 
be capable of providing ventilation and conditioning of 100-percent 
outdoor air, but are not marketed for such an application. If the DX-
DOAS test procedure was applied to such commercial package air 
conditioning and heating equipment, the results would not reflect the 
energy efficiency of such equipment during a representative average use 
cycle because the unit would be tested to conditions not encountered in 
operation in the field.
---------------------------------------------------------------------------

    \12\ See e.g., in a final rule for consumer refrigeration 
products DOE stated that for a product that effectively meets the 
definitions of two different covered products (e.g., a refrigerator 
and a freezer), DOE requires such a product be tested and certified 
as both a refrigerator and freezer. 79 FR 22319, 22343.
---------------------------------------------------------------------------

    DOE expects that many commercial package air conditioning and 
heating systems are capable of providing ventilation and conditioning 
of 100-percent outdoor air, for example, CUACs/HPs may be capable of 
doing this by setting airflow lower than would be used for typical 
CUAC/CUHP applications, but not all of those same models would be 
marketed as having such capability. As indicated by the comments from 
AHRI and MIAQ in their response to the July 2021 NOPR, operating 
conditions as opposed to physical characteristics of a unit generally 
distinguish between categories of unitary DOASes. Therefore, marketing 
materials are a strong indicator of what operating conditions

[[Page 45170]]

the unit is designed for, and what installations are suited for such a 
unit. As noted previously, the proposed definition would have 
classified a model as a unitary DOAS either if it had the capability to 
provide ventilation and conditioning of 100-percent outdoor air or was 
marketed as having that capability. After consideration of stakeholder 
comments, DOE recognizes that this definition would classify most CUAC/
HP's as unitary DOASes, even if they are not marketed for 100-percent 
outdoor air applications. In order to better distinguish these 
equipment categories, DOE is in this final rule revising the definition 
for unitary DOAS to mean 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 and is marketed in materials (including but not limited to, 
specification sheets, insert sheets, and online materials) as having 
such capability. Consistent with the comment from AHRI, this definition 
includes consideration of how a unit is expected to be operated in the 
field in the determination of whether it is a unitary DOAS.
    In order to clarify the equipment coverage of unitary DOASes with 
respect to other commercial package air conditioning and heating 
equipment, DOE notes that equipment that is marketed and/or distributed 
in commerce for both CUAC/CUHP applications and unitary DOAS 
applications must comply with the requirements applicable to CUAC/HPs 
and they must also comply with the requirements applicable for DX-
DOASes, provided that they also meet the DX-DOAS definition as 
discussed in section III.A.2 of this document. If equipment that meets 
the DX-DOAS definition is not marketed and distributed in commerce for 
CUAC/CUHP applications, they would not have to comply with the 
requirements applicable to CUAC/HPs. DOE notes that to determine 
whether a unit is distributed in commerce for a certain application, 
DOE reviews manufacturer literature (e.g., brochures, product data, 
installation manuals, engineering specifications) sales data, and 
available material.
2. Scope of Test Procedure
    DOE further proposed to define for the purpose of the scope of the 
proposed test procedure a subset of unitary DOASes that are designed to 
provide a greater amount of dehumidification, i.e., DX-DOASes. In the 
July 2021 NOPR, DOE proposed to define DX-DOAS as a unitary dedicated 
outdoor air system that is capable of dehumidifying air to a 55 [deg]F 
dew point--when operating under Standard Rating Condition A as 
specified in Table 4 or Table 5 of AHRI 920-2020 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 pounds per hour (``lb/h''). 86 FR 36018, 
36023.
    In the July 2021 NOPR, DOE noted that not all unitary DOASes are 
designed to dehumidify outdoor air at the most humid expected summer 
conditions to a level consistent with comfortable indoor conditions, 
such as a dew point temperature less than 55 [deg]F (e.g., sensible-
only unitary DOASes do not have such a design). 86 FR 36018, 36023.
    AHRI,\13\ MIAQ, and the CA IOUs expressed general concern about the 
ambiguity regarding the coverage of sensible-only unitary DOAS (AHRI, 
No. 22, p. 5; MIAQ, No. 19, p. 2; CA IOUs, No. 25, pp. 3-4). MIAQ and 
AHRI stated that operating conditions, rather than features, 
differentiate DX-DOAS units from sensible-only unitary DOAS units. 
(MIAQ, No. 19, p. 2; AHRI, No. 22, p. 5) MIAQ and Carrier commented 
that DX-DOASes may include a reheat coil (to meet the condition of AHRI 
920), whereas sensible-only unitary DX-DOASes will not, and that that 
sensible-only unitary DX-DOASes are typically designed to cool outdoor 
air from about 95 [deg]F dry bulb to 75 [deg]F dry bulb at a maximum 
capacity and design airflow of approximately 550 cfm per ton of cooling 
capacity. Id
---------------------------------------------------------------------------

    \13\ In response to the July 2021 NOPR, Trane stated that they 
are in support of the comments that have been submitted by AHRI. 
(Trane, No. 23, p. 2)
---------------------------------------------------------------------------

    As previously discussed, in this final rule DOE is defining DX-DOAS 
as a category of unitary DOAS 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 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. This is a specific distinction from 
equipment that would not be able to provide this level of 
dehumidification for any part of the range of advertised airflow rates, 
and it is based on operating conditions, aligning with the comments of 
MIAQ and AHRI. Hence, DOE will maintain this definition in establishing 
the test procedures for DX-DOASes. DOE notes that any unitary DOAS 
model that can meet this requirement fits the definition of DX-DOAS, 
whether or not the model is advertised in manufacturer materials to 
have the capability of a DX-DOAS, as defined, and will be subject to 
the DX-DOAS test procedure requirements. In contrast, unitary DOASes 
that don't meet the definition of a DX-DOAS will not be subject to the 
DX-DOAS test procedure requirements, but, depending on whether such 
models have characteristics that also align with other covered 
equipment (e.g., CUAC/HPs), they may be subject to regulations for 
those other equipment categories, as discussed in section III.A.1 of 
this document.
a. Low Dewpoint DX-DOASes
    In response to the December 2021 SNOPR, AHRI and MIAQ asserted that 
DX-DOASes generally fall into three ranges of performance requirements, 
one which requires dew points around 55 [deg]F (as noted in the 
comments, the category currently described in AHRI 920-2020), a second 
which requires dew points of less than 50 [deg]F,\14\ and lastly, a 
third which requires dew points less than 30 [deg]F.\15\ (AHRI, No. 34, 
p. 3; MIAQ, No. 29, p. 3)
---------------------------------------------------------------------------

    \14\ AHRI stated that applications for this second dew point 
range include chilled beam applications, hospital operating rooms, 
water treatment plants, pumping stations, packaging facilities, 
pharmaceutical plants, cold aisles in supermarkets, and food 
processing plants.
    \15\ AHRI stated that the application for this third dew point 
range is ice arenas.
---------------------------------------------------------------------------

    AHRI's presentation of the comments regarding the three dewpoint 
ranges was not fully clear in regards to the equipment that corresponds 
to the specific ranges. However, it is DOE's understanding that AHRI's 
comment indicates that the second dewpoint range (less than 50 [deg]F) 
is served by models having a combination of direct expansion (``DX'') 
and a low temperature desiccant wheel regenerated with waste heat from 
the condenser, and that these units will either run lower evaporator 
temperatures or have desiccant wheels with regeneration fans and higher 
pressure drop. They also stated that their integrated seasonal moisture 
removal efficiency (ISMRE) will be lower than the comfort cooling 
counterparts and their supply air temperature will generally be lower, 
in the range of 65 [deg]F. Id.
    Regarding the third range of supply air dew point (less than 30 
[deg]F), AHRI and MIAQ stated that that equipment serving such 
applications are currently being served with a DOAS unit using DX, 
energy recovery wheels, and low

[[Page 45171]]

temperature desiccant wheels, and that these units, in addition to 
being distinguishable from other DOAS models in providing air below a 
30 [deg]F dew point, also supply the air at a temperature around 55 
[deg]F. Id. AHRI and MIAQ also noted that these models often will 
incorporate a supplemental heater to achieve the desired supply air 
conditions, and that the application involves return air conditions at 
55 [deg]F dry bulb temperature and 35 [deg]F to 40 [deg]F dew point.
    AHRI and MIAQ asserted that testing models of the second and third 
dew point range at the higher dew point specified in AHRI 920-2020 
(i.e., 55 [deg]F) is not representative of how these models operate in 
the field, and that DOE should establish a separate product category 
for both of these equipment variants, or alternatively, that they 
should be excluded from the scope of coverage by establishing a floor 
on the application temperature. (AHRI, No. 34, p. 4; MIAQ, No. 29, p. 
3)
    DOE's review of the DX-DOAS market has identified a small number of 
model lines that operate in the third dew point range (less than 30 
[deg]F supply air dew point temperature) cited by AHRI and MIAQ. DOE's 
review of this equipment confirms that it is used for ice arena 
applications, and that it includes desiccant wheels. (EERE-2017-BT-TP-
0018-0036) It is DOE's understanding that this equipment achieves 
regeneration of its desiccant wheels using introduction of external 
heat, in some cases electric heat, and in other cases using gas or 
steam. Id. DOE notes that AHRI 920-2020 does not include provision for 
measurement of external heat addition, particularly if the heat is 
provided by gas or steam. Therefore, DOE has determined that the 
equipment serving this third range of supply air dew point cannot be 
tested appropriately according to AHRI 920-2020, and that testing such 
units according to AHRI 920-2020 would not ensure test repeatability 
because of a lack of provisions specifying how to incorporate the 
external heating of the regeneration air into the test procedure. 
Hence, DOE concludes that the equipment serving this third range of 
supply air dew point was not anticipated to be included in the scope of 
DX-DOAS definition.
    However, the equipment in the second supply air dew point range 
(less than 50 [deg]F but not less than 30 [deg]F) has been described by 
AHRI and MIAQ as having a combination of DX and a low temperature 
desiccant wheel regenerated with waste heat from the condenser. DOE 
notes that AHRI 920-2020 has provisions for testing equipment which 
uses desiccant wheels that have a regeneration air flow (See, e.g., 
Figure 1 of AHRI 920-2020, ``DX-DOAS Units Airflow Schematic'', which 
shows a desiccant wheel and a regeneration airflow path). Hence, DOE 
concludes that such equipment was intended to be included as part of 
the scope of DX-DOAS, and would not consider such units to be excluded 
from the DX-DOAS definition adopted in this final rule.
b. Chilled Water Coil Exclusion
    In response to the July 2021 NOPR, DOE received comment from the CA 
IOUs supporting the exclusion of chilled-water DX-DOASes from the scope 
of the test procedure, asserting that unitary equipment that uses 
chilled water as the heat rejection medium does not meet the definition 
of ``small, large, and very large commercial package air conditioning 
and heating equipment'' under EPCA. (CA IOUs, No. 25, p. 2)
    DOE disagrees with the CA IOUs that DOE proposed to exclude 
chilled-water DX-DOASes from the scope of the test procedure. In the 
July 2021 NOPR, DOE noted that although units that use chilled water in 
the conditioning coil are excluded from the scope of the proposed test 
procedure, DOE did not propose to exclude DX-DOASes that use chilled-
water as a heat rejection source from the scope of the test procedure. 
86 FR 36035, 36035-36036. More specifically, in the July 2021 NOPR DOE 
noted that AHRI 920-2020 includes operating conditions representative 
of supplying a water-cooled condenser with chilled water, however 
Section 2 of ANSI/ASHRAE 198-2013 specifically excludes equipment with 
water coils that are supplied by a chiller located outside of the unit. 
86 FR 36018, 36035. DOE tentatively concluded based on stakeholder 
comment from AHRI and Carrier, that the ANSI/ASHRAE 198-2013 exclusion 
specifically applies to conditioning coils, rather than condensing 
coils, because units with chilled water conditioning coils are not DX 
units (i.e., units that use expansion devices for cooling). 86 FR 
36018, 36036. DOE has not received information that would contradict 
its interpretation discussed in the July 2021 NOPR, and therefore has 
determined that DX-DOASes that used chilled water for heat rejection 
(i.e., in condensing coils) are within the scope of DX-DOAS, and that 
these units are subject to the DX-DOAS test procedure using the cooling 
tower water conditions specified in Table 4 of AHRI 920-2020. 
Similarly, as noted in that same discussion in the July 2021 NOPR, DOE 
has also determined that units that use chilled water in conditioning 
coils are excluded from the scope of the DX-DOAS test procedure.
3. Capacity Limit
    As discussed in the July 2021 NOPR, the upper capacity limit of 
commercial package air conditioning and heating equipment subject to 
the DOE test procedures is 760,000 Btu per hour, based on the 
definition of ``very large commercial package air conditioning and 
heating equipment.'' 86 FR 36018, 36023. Also as discussed in the July 
2021 NOPR, AHRI 920-2020 does not provide a method for determining 
capacity in terms of Btu per hour, but instead, it specifies a 
determination of capacity in terms of moisture removal capacity 
(``MRC''). 86 FR 36018, 36024.
    In the July 2021 NOPR, DOE proposed to translate Btu per hour to 
MRC. Id. To translate Btu per hour to MRC, DOE calculated the maximum 
airflow that could be supplied at a 55 [deg]F dewpoint for Standard 
Rating Condition A as specified in Table 4 and Table 5 of AHRI 920-2020 
by cooling and dehumidifying it with an evaporator with a refrigeration 
capacity of 760,000 Btu per hour. Id. DOE calculated this based on air 
entering the evaporator at Standard Rating Condition A (95 [deg]F dry-
bulb temperature and 78 [deg]F wet-bulb temperature) and air exiting 
the evaporator at 55 [deg]F dew point and 95- percent relative humidity 
at a standard barometric pressure of 29.92 in Hg. Id. DOE then 
calculated the MRC that corresponds to those conditions. Id. Based on 
these calculations, DOE proposed to limit the scope of the test 
procedure for DX-DOASes to units with an MRC less than 324 lb/h when 
testing to Standard Rating Condition A as specified in Table 4 or Table 
5 of AHRI 920-2020, and asked for comment on this proposal. Id.
    In response to the July 2021 NOPR, AHRI and MIAQ agreed with the 
proposed MRC limit of 324 lb/h. (AHRI, No. 22, p. 6; MIAQ, No. 19, p. 
2) Carrier raised a concern that there may not be third party 
laboratory facilities available capable of testing DX-DOASes with MRCs 
as high as 324 lb/h, and suggested that DOE consult AHRI to understand 
this issue. (Carrier, No. 20, p. 2) In response to the December 2021 
SNOPR, AHRI and MIAQ added to their response on this issue that the 
upper capacity limit of the AHRI certification program is 230 lb/h, and 
that there may be no existing facilities that can test to DOE's 
proposed maximum MRC limit. They recommended DOE review lab 
capabilities before finalizing the upper limit for moisture removal and 
noted

[[Page 45172]]

that the third-party lab AHRI has contracted to conduct certification 
program testing is building a dedicated DOAS test chamber, however it 
is not yet complete. Id.
    As discussed, DOE's proposal to limit the coverage of DX-DOASes to 
324 lb/h in the DX-DOAS definition is a conversion from the maximum 
cooling capacity limit of 760,000 Btu per hour established in EPCA. (42 
U.S.C. 6311(8)(D))
    DOE notes that Carrier and AHRI did not clearly state whether they 
recommended that the scope of equipment coverage and/or the test 
procedure be limited to the capacity range that can currently be tested 
in third party laboratories. Further, the comments are not definitive 
regarding the current ability of third-party laboratories to test DX-
DOASes with an MRC of up to 324 lb/h, or regarding their potential 
future capability, in case third-party laboratories upgrade their 
facilities to accommodate such testing. Additionally, DOE notes that 
manufacturers do not need to use third-party laboratories to determine 
representations. Manufacturers may be able to test such models in their 
own laboratories, or they may also use AEDMs for the purpose of 
determining performance representations. AEDM validation classes are 
not restricted by capacity range, and none of the comments suggested 
that such restriction should be considered. Thus, the comments do not 
point to any inability of manufacturers to certify DX-DOASes with high 
MRCs.
    For the reasons discussed, DOE is adopting as proposed the capacity 
limit of 324 lb/h in the definition of DX-DOASes established in this 
final rule. AHRI recommended two additions 0to the definition for a 
basic model of DDX-DOAS, such that the definition would read as, ``A 
basic model for a DDX-DOAS means all units manufactured by one 
manufacturer 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), and 
with a common rated ``nominal'' moisture removal capacity at condition 
A of AHRI 920.'' AHRI also recommended that the term ``nominal'' be 
defined as ``products with the same advertised MRC'' so that products 
are grouped correctly for regulatory purposes.
4. Terminology for Covered Equipment
    As previously discussed, in the December 2021 SNOPR, DOE addressed 
all comments received in response to the July 2021 NOPR related to the 
terminology used to describe unitary DOASes and DX-DOASes and proposed 
to modify the terminology proposed initially in the July 2021 NOPR and 
to instead use the terms unitary DOAS and DX-DOAS. 86 FR 72874, 72878-
72879. DOE requested comment on its proposal to use the terms unitary 
DOAS and DX-DOAS. Id.
    AHRI and MIAQ supported the definitions and acronym proposed for 
DX-DOASes, however while they did not object to the term ``unitary 
DOAS'' as an umbrella term, they noted that it was vague, and 
encouraged DOE to adopt the term non-dehumidifying DX-DOAS (``ND-DX-
DOAS'') for direct expansion sensible-only units \16\ that are capable 
of providing 100-percent outdoor air as a subset of unitary DOAS. 
(AHRI, No. 34, p. 4; MIAQ, No. 29, p. 3).
---------------------------------------------------------------------------

    \16\ As stated in section III.A.1 of this document, for the 
purpose of this notice, DOE is considering a sensible-only unitary 
DOAS to be a unitary DOAS that that is capable of providing 
ventilation and conditioning of 100-percent outdoor air and is 
marketed in materials as having such capability but is not primarily 
designed to dehumidify outdoor air (i.e., a unitary DOAS but not a 
DX-DOAS).
---------------------------------------------------------------------------

    DOE notes that the ND-DX-DOAS units described by commenters would 
fit the description of a unitary DOAS that is not a DX-DOAS. In other 
words, any unitary DOAS that does not meet the adopted definition of 
DX-DOAS is a non-dehumidifying DX-DOAS, which are not included in 
Standard 90.1, AHRI 920-2020, and are therefore not the subject of this 
test procedure. Accordingly, DOE has determined that it is not 
necessary to adopt the ND-DX-DOAS terminology at this time as it would 
be redundant. Therefore, DOE is adopting the terminology proposed in 
the December 2021 SNOPR (i.e., DOE is adopting the terms ``unitary 
DOAS'' and ``DX-DOAS'').

B. Crosswalk

    As first established in ASHRAE 90.1-2016, ASHRAE 90.1-2019 
specifies separate equipment classes for DX-DOASes and sets minimum 
efficiency levels using the ISMRE metric for all DX-DOAS classes and 
also the ISCOP metric for air-source heat pump and water-source heat 
pump DX-DOAS classes. ASHRAE 90.1-2019 specifies that both metrics are 
to be measured in accordance with ANSI/AHRI 920-2015. ANSI/AHRI 920-
2015 specifies the method for testing DX-DOASes, in part, through a 
reference to ANSI/ASHRAE Standard 198-2013, ``Method of Test for Rating 
DX-Dedicated Outdoor Air Systems for Moisture Removal Capacity and 
Moisture Removal Efficiency'' (``ANSI/ASHRAE 198-2013'').
    As noted previously, in 2020 AHRI published AHRI 920-2020, which 
supersedes 920-2015. AHRI 920-2020 represents the most up to date 
version of AHRI 920 and is the current industry consensus test standard 
for testing DX-DOASes. AHRI 920-2020 contains multiple revisions to 
ANSI/AHRI 920-2015. These revisions include, among other things, the 
following: (1) expanded scope of coverage of the test procedure by no 
longer imposing an upper limit of 97 lb/h on MRC, thereby making the 
test procedure applicable to all DX-DOASes subject to standards under 
ASHRAE 90.1; (2) revised outdoor air dry-bulb temperature conditions, 
external static pressure (``ESP'') conditions, humidity conditions, and 
weighting factors for ISMRE and ISCOP, which were redesignated as 
ISMRE2 and ISCOP2, respectively; (3) a revised test approach that 
prohibits nonrepresentative over-dehumidification and provides methods 
to address cycling or staging to achieve average target supply air 
conditions; (4) the addition of a supplementary cooling penalty when 
excessive reheating raises supply air dry-bulb temperature above 75 
[deg]F in dehumidification mode; (5) removal of a supplementary heat 
penalty for the efficiency metric ISMRE2 when the supply air dry-bulb 
temperature is less than 70 [deg]F in dehumidification mode; \17\ (6) 
revised condenser water conditions for water-cooled and water-source 
heat pump DX-DOASes; (7) added requirements for supply air dew point 
temperature; \18\ (8) added requirements for outdoor coil liquid flow 
rate; (9) additional test unit, test facility, instrumentation, and 
apparatus set-up provisions; (10) revised test methods for DX-DOASes 
equipped with VERS; (11) requirements for relief-air-cooled DX-DOASes 
and DX-DOASes equipped with desiccant wheels; and (12) included 
requirements for secondary capacity tests.
---------------------------------------------------------------------------

    \17\ As discussed in section III.D of this final rule, AHRI 920-
2020 additionally provides a method for calculating 
ISMRE270, an optional application metric for the 
dehumidification efficiency with the inclusion of the supplementary 
heat penalty.
    \18\ Dew point is the temperature below which water begins to 
condense from the water vapor state in humid air into liquid water 
droplets. Dew point varies with humidity (e.g., a low dew point 
indicates low humidity and vice versa) and is, therefore, used to 
specify the humidity of the supply air.
---------------------------------------------------------------------------

    As discussed, the energy efficiency standards specified in ASHRAE 
90.1 are based on ANSI/AHRI 920-2015 and ANSI/ASHRAE 198-2013. The 
amendments adopted in AHRI 920-2020 result in changes to the measured 
efficiency metrics as compared to the results under ANSI/AHRI 920-2015.

[[Page 45173]]

    In the July 2021 NOPR, DOE requested comment and data on the 
development of a crosswalk from the efficiency levels in ASHRAE 90.1 
based on ANSI/AHRI 920-2015 to efficiency levels based on AHRI 920-
2020. DOE also requested comment on how dehumidification and heating 
efficiency ratings for a given DX-DOAS model are impacted when measured 
using AHRI 920-2020 as compared to ANSI/AHRI 920-2015. 86 FR 36018, 
36027.
    DOE received comment from AHRI, MIAQ, and Trane stating that a 
crosswalk from ISMRE to ISMRE2 and ISCOP to ISCOP2 is currently under 
development. (AHRI, No. 22, p. 2; MIAQ, No. 19, p. 2; Trane, No. 23, p. 
2) AHRI stated that its members have been working with DOE and the CA 
IOUs to develop the ISCOP-to-ISCOP2 crosswalk. AHRI commented that it 
has collected and analyzed data under a non-disclosure agreement to 
develop this crosswalk, and AHRI intends to make this data available to 
DOE once its crosswalk analysis is complete. (AHRI, No. 18, pp. 12-13) 
More specifically, AHRI commented that there is a low correlation 
between ISMRE and ISMRE2 ratings (approximately 65 percent), and that 
consequently the ISMRE-to-ISMRE2 crosswalk required more complex 
modeling to map the relationship between the two metrics. AHRI stated 
that it has completed the ISMRE-to-ISMRE2 crosswalk analysis, but did 
not provide the results of the analysis in its comments. AHRI stated 
that once a consensus is achieved on this crosswalk, AHRI will submit a 
proposed addendum to the ASHRAE Standing Standards Project Committee 
90.1 through the Mechanical Subcommittee for the inclusion of the 
crosswalked ISMRE2 and ISCOP2 levels in ASHRAE 90.1-2022. (AHRI, No. 
22, pp. 3-4, 6)
    MIAQ urged DOE to continue working with AHRI and other relevant 
stakeholders to develop the crosswalk and subsequently support an 
amendment to ASHRAE 90.1 to adopt AHRI 920-2020, and then complete the 
rulemaking to adopt AHRI 920-2020 as the Federal test procedure. (MIAQ, 
No. 19, p. 6)
    DOE has engaged with AHRI in the crosswalk being developed by AHRI 
by attending meetings and sharing DOE data. DOE has also initiated a 
rulemaking to analyze DX-DOAS energy conservation standards and 
published a NOPR in the Federal Register on February 1, 2022, regarding 
these standards (February 2022 ECS NOPR). (87 FR 5560, 5575) In the 
February 2022 ECS NOPR, DOE developed a crosswalk analysis to determine 
ISMRE2 and ISCOP2 minimum efficiency levels of equivalent stringency to 
the ISMRE and ISCOP minimum efficiency levels currently published in 
ASHRAE Standard 90.1. Id. Details of DOE's analysis and results can be 
found in the February 2022 ECS NOPR and the accompanying technical 
support document. DOE will continue to address any differences in the 
measured energy efficiency under the most recent industry test 
procedure as compared to the industry test procedure on which the 
ASHRAE 90.1 levels are based in the ongoing standards rulemaking, as 
discussed in the February 2022 ECS NOPR.

C. Harmonization With Industry Standards

    AHRI asserted that DOE lacks the authority to adopt AHRI 920-2020 
at this time, stating that there is no allowance for DOE to consider a 
test procedure different from that cited in ASHRAE Standard 90.1 for a 
test procedure's initial adoption as a national standard. (AHRI, No. 
22, p. 2) AHRI further asserted that in order for DOE to deviate from 
ANSI/AHRI 920-2015, the Department would need to propose the adoption 
of ANSI/AHRI 920-2015 and justify by clear and convincing evidence each 
amendment made to arrive at a test procedure equivalent to AHRI 920-
2020, which AHRI conceded would be unnecessarily onerous. (AHRI, No. 
22, pp. 2-3)
    MIAQ similarly asserted that DOE does not have the authority to 
adopt AHRI 920-2020 as the national test procedure. (MIAQ, No. 19, p. 
6) MIAQ requested that DOE wait for AHRI 920-2020 to be adopted in 
ASHRAE Standard 90.1 and for energy conservation standard levels in 
ASHRAE Standard 90.1 to be established using the new metrics before 
finalizing this test procedure rulemaking. (MIAQ, No. 19, p. 6) MIAQ 
argued that having different metrics cited in ASHRAE Standard 90.1 and 
in the Federal regulations would cause additional costs for compliance 
with disharmonized requirements. (MIAQ, No. 19, p. 6) MIAQ reiterated 
these concerns in response to the December 2021 SNOPR, and it 
additionally noted that waiting for ASHRAE to adopt standards in ASHRAE 
Standard 90.1 based on the AHRI 920-2020 test method would establish 
not only consistent energy efficiency levels and design requirements 
between ASHRAE Standard 90.1 and the Federal requirements, but 
comparable metrics as well. (MIAQ, No. 29, p. 2)
    Trane argued that DOE must support the current version of AHRI 920 
as referenced in ASHARE Standard 90.1 (i.e., AHRI 920-2015), noting 
that the 2020 version of AHRI 920 has not been adopted and finalized by 
ASHRAE yet. (Trane, No. 23, p. 1) Trane asserted that adoption of AHRI 
920-2020 prematurely would cause confusion in the marketplace, as the 
metrics are substantially changed from the 2015 version and a correct 
``cross walk'' needs to be established to show the change from the two 
metrics. Id.
    In contrast, the CA IOUs commented that there would be little value 
in delaying the finalization of a test procedure for DX-DOASes, because 
an industry test procedure has already been established with broad 
stakeholder engagement. (CA IOUs, No. 25, p. 2) Consequently, the CA 
IOUs supported DOE's proposal to incorporate AHRI 920-2020 by 
reference, (along with slight modifications) and encouraged DOE to 
expeditiously finalize the test procedure for DX-DOAS. The CA IOUs 
stated that DOE was triggered to review the coverage of DX-DOAS 
equipment as a result of ASHRAE Standard 90.1-2016 (and to adopt 
standards for DX-DOASes within 18 months of the inclusion of DX-DOAS 
standards in ASHRAE Standard 90.1-2016). (CA IOUs, No. 25, pp. 1-2) The 
CA IOUs also stated that AHRI 920-2020 is the industry consensus test 
procedure for DX-DOAS equipment, which was developed through a 
collaborative process with a range of stakeholders, including DOE 
representatives and the CA IOUs, many of whom are also engaged in the 
process by which ASHRAE Standard 90.1 would be updated to reference 
AHRI 920-2020. (CA IOUs, No. 25, p. 1)
    In response, DOE disagrees with assertions by commenters that it 
lacks the authority to adopt AHRI 920-2020. As discussed previously, 
ASHRAE Standard 90.1-2016 for the first time included provisions 
specific to DX-DOASes. 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. With respect to small, large, and very large 
commercial package air conditioning and heating equipment (of which DX-
DOASes are a category), EPCA directs that when the generally accepted 
industry testing procedures or rating procedures developed or 
recognized by AHRI or by ASHRAE, as referenced in ASHRAE Standard 90.1, 
is amended, the Secretary shall amend the DOE test procedure consistent 
with the amended industry test procedure or rating procedure unless the 
Secretary determines, by clear and convincing evidence, that to do so 
would not meet

[[Page 45174]]

the requirements for test procedures to produce results representative 
of an average use cycle and is not unduly burdensome to conduct. (42 
U.S.C. 6314(a)(4)(B)).
    In this instance, the industry test procedure referenced in ASHRAE 
Standard 90.1, AHRI 920-2015, has been superseded in the intervening 
years since DOE was first triggered to review the DX-DOAS provisions of 
ASHRAE Standard 90.1-2016. As supported by many of the comments that 
DOE received, including from AHRI itself, DOE has determined, by clear 
and convincing evidence, that AHRI 920-2015 is not reasonably designed 
to produce test results which reflect energy efficiency of DX-DOASes 
during a representative average use cycle and that some components of 
AHRI 920-2015 are unnecessarily burdensome. The issues associated with 
the ANSI/AHRI 920-2015 test standard include (1) test outdoor air dry-
bulb temperature conditions, ESPs, humidity conditions, and weighting 
factors for ISMRE and ISCOP are not representative of national-average 
DX-DOAS operating conditions and were claimed to be impossible to 
achieve in test laboratories; (2) the test standard includes no 
specification of supply air dew point for part-load dehumidification 
test conditions, thus making the test standard flawed as a test for 
comparing performance of different DX-DOAS models and incentivizing 
unnecessary over-dehumidification; (3) the use of a supplementary 
heating penalty that is not representative of many DX-DOAS 
installations for which internal heat gain is high, and thus reheating 
up to 70 [deg]F is not required and wastes energy; (4) the excessive 
burden associated with the requirement to use two airflow rate 
measurement devices for each airflow path; (5) test methods for DX-DOAS 
with ventilation energy recovery systems (``VERS'') that were claimed 
to be impossible to conduct in test laboratories; and (6) no provisions 
for testing DX-DOAS models with relief-air-cooled refrigeration 
systems. AHRI itself commented that ANSI/AHRI 920-2015 ``suffers from 
fatal flaws that have been corrected in the 2020 edition.'' (AHRI, No. 
22, p. 2) Were DOE not to adopt AHRI 920-2020, the fatal flaws present 
in ANSI/AHRI 920-2015 would arguably cause more confusion in the 
marketplace and burden for manufacturers than, as Carrier suggested, 
would be caused by DOE adopting AHRI 920-2020. Also, DOE disagrees with 
AHRI's assertion that DOE must justify by clear and convincing evidence 
each amendment made to arrive at a test procedure equivalent to AHRI 
920-2020. EPCA does not require such an analysis. Rather, EPCA requires 
that the test procedure, as a whole, be representative of an average 
use cycle and not unduly burdensome to conduct. DOE has determined, by 
clear and convincing evidence, that AHRI 920-2015, as a whole, does not 
meet these criteria. And DOE has determined that AHRI 920-2020, as a 
whole, is representative of an average use cycle and is not unduly 
burdensome to conduct.
    DOE recognizes that adopting AHRI 920-2020 as the Federal test 
procedure for DX-DOASes may create some disharmony between the Federal 
test procedure and the test procedure currently specified in ASHRAE 
Standard 90.1 for a period of time. However, such disharmony is likely 
to be brief given the anticipated adoption of AHRI 920-2020 in ASHRAE 
Standard 90.1-2022 later this year, and such a situation is preferable 
to the alternative in which DOE would need to reinitiate another 
rulemaking after this proceeding to amend the Federal test procedure 
from AHRI 920-2015 to AHRI 920-2020--precisely the same testing 
standard available for consideration at the present time. Given the 
passed statutory deadline for this rulemaking, such delay and waste of 
agency resources is unwarranted, particularly where DOE has undertaken 
an appropriate crosswalk to migrate to the new metrics. Additionally, 
DOE notes that commenters' concern regarding a crosswalk and potential 
market confusion from having Federal standards rely on different 
metrics than the efficiency levels specified in the current version of 
ASHRAE Standard 90.1 relate to the establishment of Federal energy 
conservation standards for DX-DOASes, which DOE is addressing in a 
separate rulemaking. Finally, DOE notes that manufacturers are not 
required to use the test procedure to make representations until 360 
days after issuance of this final rule, and they are not required to 
use the test procedure to certify compliance with any energy 
conservation standards for DX-DOASes until the compliance date 
established for such standards.
    Accordingly, for the foregoing reasons, DOE is incorporating by 
reference AHRI 920-2020, with the identified modifications, into the 
Federal test procedure for DX-DOASes because DOE has determined, by 
clear and convincing evidence, that the industry test procedure 
specified in ASHRAE Standard 90.1 (AHRI 920-2015) would not produce 
results that are representative of the energy efficiency of that 
covered equipment during an average use cycle and would be unduly 
burdensome to conduct.

D. Efficiency Metrics

    As previously mentioned, AHRI 920-2020 includes a dehumidification 
efficiency metric (ISMRE2) and heating efficiency metric (ISCOP2) for 
DX-DOASes. The ISMRE2 and ISCOP2 metrics are different from the metrics 
adopted in ASHRAE 90.1-2016 (ISMRE and ISCOP). The ISMRE2 metric is 
determined by calculating a weighted average of the four moisture 
removal efficiency (``MRE'') values measured during each of the four 
tests performed at the dehumidification Standard Rating Conditions.\19\ 
ISCOP2 is determined by taking a weighted average of the two 
coefficient of performance (``COP'') values measured during each of the 
two tests performed at the heating Standard Rating Conditions. Test 
conditions and weighting factors for the Standard Rating Conditions are 
specified in Sections 6.1, 6.12, and 6.13 of AHRI 920-2020. In the July 
2021 NOPR, DOE proposed to adopt the ISMRE2 and ISCOP2 metrics as 
specified in AHRI 920-2020. 86 FR 36018, 36028.
---------------------------------------------------------------------------

    \19\ Standard Rating Conditions in AHRI 920-2020 represent full-
load and part-load operating conditions for testing DX-DOASes. 
Standard Rating Condition A represents full-load operation in 
dehumidification mode, whereas Standard Rating Conditions B-D 
represent part-load operation in dehumidification mode. Standard 
Rating Condition E represents full-load operation in heat pump mode 
at high temperatures, and Standard Rating Condition F represents 
full-load operation in heat pump mode at low temperatures.
---------------------------------------------------------------------------

    NEEA recommended that DOE account for ventilation-only operation 
(i.e., no heating or cooling demand) for all commercial package air-
conditioning and heating equipment, including DX-DOASes. NEEA stated 
that the proposed efficiency metrics do not account for the energy 
consumption and losses associated with ventilation-only operation. NEEA 
recommended that DOE consider non-heating and non-cooling operational 
modes in the efficiency metric to better account for the effect of 
enclosure losses (e.g., shell losses, casing leakage, and damper 
leakage) on whole-package efficiency, asserting that rooftop equipment, 
including DX-DOASes, may spend most of the time not actively heating or 
cooling the building, and that enclosure losses occur during this type 
of operation. (NEEA, No. 24, pp. 2-3)
    NEEA further commented that, because the proposed efficiency 
metrics do not account for ventilation-only operation, the proposed 
test procedure does not fully capture the potential benefits of 
measures such as improved

[[Page 45175]]

insulation, decreased casing leakage, and decreased damper leakage. 
NEEA stated that it is aware of DX-DOASes with low-leakage damper and 
2-inch double wall foam insulation, whereas it is common to use 1-inch 
fiberglass batting for other rooftop equipment that is not designed for 
100-percent outdoor air. NEEA stated that enclosure losses are driven 
by natural or forced recirculation of building air through the rooftop 
unit but indicated that the prevalence of recirculation for DX-DOASes 
is not known. NEEA recommended that DOE research this to determine 
whether it is necessary to include ventilation-only operation in the 
efficiency metrics. (NEEA, No. 24, p. 3)
    Regarding non-heating and non-cooling operational modes, including 
ventilation-only operation, the data provided by NEEA is informative 
and preliminarily indicates that there may be an opportunity to more 
fully capture the energy efficiency of DX-DOASes when operating in a 
mode other than mechanical cooling and heating, such as ventilation, 
into the test procedure. Evaluation of whether, and to what extent, 
supply fan use in operating modes other than mechanical cooling and 
heating in DX-DOASes is addressed will require additional data 
collection and analysis by the Department. Absent such data and 
analyses, DOE continues to conclude that AHRI 920-2020 is reasonably 
designed to produce results reflecting the energy efficiency of DX-
DOASes during a representative average use cycle because of the 
omission of other operating modes. As such, DOE is adopting the ISCOP2 
and ISMRE2 metrics specified in AHRI 920-2020.
    DOE also received a comment from Rice in response to the July 2021 
NOPR regarding the efficiency metrics in AHRI 920-2020. (Rice, No. 26, 
p. 1) Rice indicated that the method of calculating ISMRE2 using a 
weighted average of MRE results from the four Standard Rating 
Conditions in AHRI 920-2020 may not be appropriate. Rice claimed that 
the calculation of the integrated metric would be correct if, instead, 
the weighting factors were based on the fractional moisture removal 
capacity at each Standard Rating Condition.\20\ (Rice, No. 26, p. 1-2) 
Rice also asserted that the method of calculating the integrated 
efficiency metrics in AHRI 920 would have errors that are magnified for 
DX-DOASes with variable capacity control, for which the equipment's 
efficiency may vary widely at different part-load conditions. Rice 
indicated that this impact was considered for room air conditioners and 
portable air conditioners, and that DOE did change the proposed 
weighting method to account for variable-speed room air conditioners. 
Id.
---------------------------------------------------------------------------

    \20\ DOE understands the commenter's term ``fractional moisture 
removal capacity'' to refer to the ratio between the total moisture 
removed during times that the conditions are in the range of a given 
bin to the total moisture removed during the entire dehumidification 
(cooling) season.
---------------------------------------------------------------------------

    Regarding the test conditions and weighting factors, DOE notes that 
the test conditions for each of the Standard Rating Conditions in AHRI 
920-2020 were developed in part by weather data provided by DOE, and 
AHRI's review of a Typical Meteorological Year (``TMY'') 2,\21\ which 
was performed with weather data from the National Renewable Energy 
Laboratory. Additionally, the weighting factors in AHRI 920-2020 were 
developed to represent the number of hours per year spent at each test 
condition. AHRI 920-2020 requires that a unit is tested at each of the 
four dehumidification Standard Rating Conditions when determining the 
ISMRE2 metric, and that the performance of the unit at each test point 
(including part-load) is incorporated into the ISMRE2 metric. While 
individual equipment performance at part-load may vary between 
different model lines, each unit is tested under the same Standard 
Rating Conditions that produce results of DX-DOAS efficiency during 
operation under representative conditions. As discussed by Rice, this 
approach differs from the approach used for residential room air 
conditioners and portable air conditioners, however DOE notes that it 
aligns with the approach taken for other small, large, and very large 
commercial package air conditioning and heating equipment (e.g., the 
IEER metric specified in AHRI 340/360).
---------------------------------------------------------------------------

    \21\ TMY is a widely used type of data available through the 
National Solar Radiation Database. TMYs contain one year of hourly 
data that best represents median weather conditions over a multiyear 
period. The datasets have been updated occasionally; thus, TMY, 
TMY2, and TMY3 data are available. See nsrdb.nrel.gov/about/tmy.html 
(last accessed 4/28/21).
---------------------------------------------------------------------------

    For the reasons discussed previously, DOE has determined that at 
this time, the test conditions and weighting factors in AHRI 920-2020 
are appropriate for determining the representative performance of DX-
DOAS units, and that the resulting ISMRE2 and ISCOP2 values are based 
on up-to-date weather data and operation hours. DOE recognizes that 
comments provided by Rice are informative and may suggest the need for 
DOE to investigate further the approach used to calculate DX-DOAS 
performance in a future rulemaking. However, without further 
information, DOE continues to conclude that the test conditions and 
weighting factors in AHRI 920-2020 produce results reflecting the 
energy efficiency of DX-DOASes during a representative average use 
cycle. Therefore, DOE is adopting the test conditions and weighting 
factors in AHRI 920-2020.
    AHRI 920-2020 also provides additional efficiency metrics 
ISMRE270, COPfull and COPDOAS and 
methods for calculating them. ISMRE270 is an application 
metric for the seasonal dehumidification efficiency with the inclusion 
of a supplementary heat penalty. The subscript ``70'' indicates the 
inclusion of energy use from any supplementary heat that is required to 
raise the supply air dry bulb temperature to 70 [deg]F. 
COPDOAS is applicable for heating mode test conditions E and 
F using the heat pump capacity level that most closely achieves supply 
air temperature in the range 70 [deg]F to 75 [deg]F (or a weighted 
average of capacity levels to achieve average supply air temperature in 
this range) and is calculated without a supplementary heat penalty. 
COPfull is calculated with manufacturer-specified outdoor 
conditions for DX-DOAS full heat pump capacity level, also without 
supplementary heat penalty. Additionally, AHRI 920-2020 provides 
optional application rating test conditions 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.
    In the July 2021 NOPR, DOE proposed to adopt these additional 
efficiency metrics and test conditions to allow for optional 
representations made using these metrics.\22\ 86 FR 36018, 36060 DOE 
proposed including these application representations to clarify that 
such representations are not contrary to EPCA requirements that 
representations regarding energy consumption be made on the basis of 
DOE test procedures (42 U.S.C. 6314(d)). DOE received no comment on 
this proposal in response to the July 2021 NOPR.
---------------------------------------------------------------------------

    \22\ DOE included a typographical error in the July 2021 NOPR 
when proposing to adopt ``ISMRE70'' to allow for optional 
representations made using this metric in proposed section 2.2.2(a) 
of Appendix B. DOE has corrected this in this final rule by adopting 
``ISMRE270''.
---------------------------------------------------------------------------

    For the reasons discussed in the July 2021 NOPR and in the 
preceding paragraph, DOE is establishing these

[[Page 45176]]

metrics to allow for optional representations, as enumerated in section 
2.2.3 of appendix B.

E. Test Method

1. Definitions
a. ISMRE2, ISCOP2, and VERS
    In the July 2021 NOPR, DOE proposed to define ISMRE2 to mean ``a 
seasonal weighted average dehumidification efficiency for dedicated 
outdoor air systems, expressed in lbs. of moisture/kWh, as measured 
according to appendix B.'' 86 FR 36018, 36057. DOE proposed to define 
ISCOP2 to mean ``a seasonal weighted-average heating efficiency for 
heat pump dedicated outdoor air systems, expressed in W/W, as measured 
according to appendix B.'' Id. DOE proposed to define VERS to mean ``a 
system that pre-conditions 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.'' Id. DOE requested 
comment on the proposed definitions for ISMRE2, ISCOP2, and VERS. Id. 
at 86 FR 36029.
    AHRI, Carrier, and MIAQ agreed with DOE's proposed definitions for 
ISMRE2, ISCOP2, and VERS. (AHRI, No. 22, p. 6; Carrier, No. 20, p. 3; 
MIAQ, No. 19, p. 3) Emerson recommended that DOE revise the proposed 
definition for VERS by removing the prefix ``pre'' from ``pre-
condition,'' asserting that whether it is pre-, post-, or in a single 
step, the conditioning is what is important, and that being overly 
prescriptive in the definition could limit future technology options. 
(Emerson, No. 27, p. 2) Emerson reiterated this comment in response to 
the December 2021 SNOPR, also adding that the wording change is an 
important detail for desiccant systems, that the test procedure uses a 
``black box'' approach to the equipment, not prescribing how the 
different air flows interact in the equipment. (Emerson, No. 33, pp. 1-
2)
    DOE notes that the requirement to pre-condition outdoor ventilation 
air is inherent to the function of VERS in AHRI 920-2020, and how VERS 
is treated in AHRI 920-2020. Contrary to Emerson's claim that the test 
procedure uses a ``black box'' approach, the treatment, for example, of 
air that leaks or is transferred from the return to the supply side of 
the VERS, or the ``Option 2'' method of test are very much dependent on 
the way the air flows through the DX-DOAS. Additionally, Section 3.28 
of AHRI 920-2020 similarly defines VERS as a system that pre-conditions 
outdoor air. DOE is not currently aware of VERS that do not pre-
condition, and notes that currently, pre-conditioning outdoor air (as 
opposed to post-conditioning, for example) is commonplace in DX-DOAS 
models of which DOE is aware. Therefore, DOE is adopting the definition 
of VERS as proposed and as defined in AHRI 920-2020.
b. Non-Standard Low-Static Motor
    In the July 2021 NOPR, DOE noted that AHRI 920-2020 uses the term 
``non-standard low-static motor'', however AHRI 920-2020 does not 
define the term. 86 FR 36018, 36042. DOE proposed to define a non-
standard low static motor as a supply fan motor that cannot maintain 
ESP 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 ESP. Id. DOE 
requested comment on this proposed definition. Id.
    In response to the July 2021 NOPR, the Joint Advocates, the CA 
IOUs, and Carrier supported DOE's proposed definition for non-standard 
low-static fan motor. (Joint Advocates, No. 21, pp. 1-2; CA IOUs, No. 
25, p. 3; Carrier, No. 20, p. 3) AHRI and MIAQ recommended that DOE 
include the definition of ``non-standard motor'' from Section D3 of 
appendix D to AHRI 340/360-2019, instead of introducing a new 
definition. (AHRI, No. 22, p. 8; MIAQ, No. 19, p. 3)
    DOE understands the term ``non-standard motor'' as defined in AHRI 
340/360-2019 and the term ``non-standard low-static motor'' in AHRI 
920-2020 to differ. Specifically, the term ``non-standard low-static 
motor'' is used in Sections 6.1.5.2.3 and 6.1.5.2.4 of AHRI 920-2020 to 
identify a motor that cannot meet certain test requirements for 
performing a valid test. Specifically, Section 6.1.5.2.3 of AHRI 920-
2020 provides that if a fan's maximum speed is too low to satisfy the 
airflow and ESP requirements within tolerance and the motor is not a 
non-standard low-static motor, the maximum speed is used, and the 
airflow measurement apparatus fan is adjusted to achieve the desired 
ESP. Whereas Section D3 of AHRI 340/360-2019 states that a non-standard 
motor is an indoor fan motor that ``is not the standard indoor fan 
motor'' and that is distributed in commerce as part of an individual 
model within the same basic model, and that the standard indoor fan 
motor is the motor specified by the manufacturer for testing. In sum, 
AHRI 340/360-2019 defines a ``non-standard motor'' to identify which 
motor is not specified by the manufacturer for testing, which has a 
different meaning than the term ``non-standard low-static motor'' used 
in AHRI 920-2020.
    Without a definition of ``non-standard low-static motor,'' 
manufacturers may not apply the ``maximum speed'' provisions 
consistently, and the potential for variation risks results that do not 
reflect the equipment's representative average energy efficiency or 
energy use. As such, DOE has determined, that in the absence of a 
definition of ``non-standard low-static motor,'' the industry test 
procedure would not meet the statutory requirements of 42 U.S.C. 
6314(a)(2)-(3), and that the definition proposed in the July 2021 NOPR 
is appropriate to adopt. Therefore, in section 2.2.1(a)(i) of appendix 
B, DOE is establishing a definition for ``non-standard low-static 
motor'' consistent with the definition proposed in the July 2021 NOPR.
2. General Control Setting Requirements
    Requirements for adjustment of unit controls during set-up for 
testing of a DX-DOAS are addressed in specific Section 6 of AHRI 920-
2020. Some examples include the following. Section 5.2, ``Equipment 
Installation,'' requires that units be installed per manufacturer's 
installation instructions, Section 5.4.3, ``Deactivation of VERS,'' 
indicates that operation of the VERS may be deactivated for Standard 
Rating Conditions C or D if the VERS is capable of being deactivated, 
and Section 5.5, ``Defrost Controls for Air-Source Heat Pump during 
Heating Mode,'' provides instructions for setting of defrost controls. 
However, DOE notes that the test standard provides no general 
requirements indicating whether control settings can be adjusted as the 
test transitions through the four Standard Rating Conditions used for 
testing.
    In the July 2021 TP NOPR, DOE noted that manual readjustment of 
control settings would not generally occur in field operation of DX-
DOASes as outdoor air conditions change, but that manual intervention 
throughout testing may be required (e.g., manually setting the 
compressor capacity staging for tests using the ``Weighted average 
method,'' as described in Section 6.9.1 of AHRI 920-2020). 86 FR 36018, 
36036-36037. Absent such instruction, the controls could be adjusted as 
the test transitions through the four Standard Rating Conditions used 
for testing, which as discussed, would not be representative of the 
operation of the unit in the field.

[[Page 45177]]

Therefore, DOE proposed that all control settings are to remain 
unchanged for all Standard Rating Conditions once system set-up has 
been completed, and component operation shall be controlled by the unit 
under test once the provisions in Section 6 of AHRI 920-2020 (Rating 
Requirements) are met, except as specifically allowed by the test 
standard or supplemental test instructions (``STI'').\23\ 86 FR 36018, 
36037. In the July 2021 NOPR, DOE requested comment on this proposal. 
Id.
---------------------------------------------------------------------------

    \23\ ``STI'' is defined in AHRI 920-2020 as additional 
instructions provide by the manufacturer and certified to the U.S. 
DOE. This final rule does not adopt certification or reporting 
requirements for DX-DOASes--such requirements will instead be 
proposed in a separate rulemaking.
---------------------------------------------------------------------------

    In response to the July 2021 NOPR, AHRI, the Joint Advocates, the 
CA IOUs, Carrier, and MIAQ generally agreed with DOE's proposed 
requirements for controls settings. (AHRI, No. 22, pp. 7-8; Joint 
Advocates, No. 21, p. 1; CA IOUs, No. 25, pp. 4-5; Carrier, No. 20, p. 
3; MIAQ, No. 19, p. 3) More specifically, the CA IOUs and Joint 
Advocates stated that this approach would help improve 
representativeness, and MIAQ agreed with DOE that manually setting the 
compressor capacity staging for tests using the ``Weighted average 
method,'' as described in Section 6.9.1 of AHRI 920-2020, is an allowed 
intervention to address a unit cycling operation between two compressor 
stages to target supply air dew point over the average of a time 
period. (Joint Advocates, No. 22, pp. 7-8; CA IOUs, No. 25, p. 4-5; 
MIAQ, No. 19, p. 3)
    DOE has determined, that absent instruction for the control 
settings to be fixed during testing, the industry test procedure would 
not meet the statutory requirements of 42 U.S.C. 6314(a)(2)-(3) and is, 
therefore, adopting such instruction. DOE has determined that the 
inclusion of instructions that control settings be fixed during 
testing, except as specifically allowed by the test procedure or STI, 
would improve the representativeness of the test procedure. Therefore, 
DOE is adopting the supplemental instructions proposed in the July 2021 
NOPR regarding general control settings in section 2.2.1(b)(i) of 
appendix B.
    In response to the July 2021 NOPR, AHRI also recommended that 
certain exceptions (in addition to those specified in the STI) should 
be addressed where intervention may be universally required. (AHRI, No. 
22, pp. 7-8) Specifically, AHRI indicated that manual intervention may 
be necessary for: compressor capacity staging for tests using the 
interpolation approach, manual override for condensing unit cyclic fan 
operation, and adjustment of customer controls with tolerance 
deviations greater than those specified in AHRI 920-2020. AHRI 
commented that manual override of condenser fans would be consistent 
with Section 6.1.1.3 of AHRI Standard 340/360-2019, ``Performance 
Rating of Commercial and Industrial Unitary Air-conditioning and Heat 
Pump Equipment'' (``AHRI 340/360-2019''), and that override controls 
should not be included in the total power consumption measurement. AHRI 
also commented that adjustment of the supply air dew point temperature 
dead band may be required to achieve steady state operation and should 
be permitted. Id.
    DOE has determined that if any form of manual intervention is 
required during testing that is not addressed by AHRI 920-2020, 
including the intervention required to address the scenarios described 
by AHRI, specifications for such intervention should be included in the 
STI. Furthermore, DOE has concluded that a universal approach specified 
in the test procedure would not be appropriate for all DX-DOAS units 
because proper control adjustment may vary from model to model, 
requiring action unique to a specific model. Therefore, DOE has 
determined to not specify further instructions for setting control 
settings during testing.
3. Test Operating Conditions
    In the July 2021 NOPR, DOE noted that through proposing to adopt 
the test procedure in AHRI 920-2020, DOE would adopt the test operating 
conditions specified in AHRI 920-2020 for DX-DOAS units, and that these 
include: (1) Standard Rating Conditions (Tables 4 and 5 of Section 6 of 
AHRI 920-2020, as enumerated in section 2.2.1(c) of appendix B, which 
references Section 6 of AHRI 920-2020 omitting Sections 6.1.2 and 
6.6.1); (2) simulated ventilation air conditions for testing under 
Option 2 for DX-DOASes with VERS (Section 5 of AHRI 920-2020 (which 
includes Section 5.4.1.2 Option 2), as enumerated in section 2.2.1(b) 
of the proposed appendix B, which references Section 5 of AHRI 920-
2020); (3) atmospheric pressure (Section 5 of AHRI 920-2020 (which 
includes Section 5.10 Atmospheric Pressure), as enumerated in section 
2.2.1(b) of the proposed appendix B); (4) target supply air conditions 
(Section 6 of AHRI 920-2020 (which includes Section 6.1.3 Supply Air 
Dewpoint Temperature and Section 6.1.4 Supply Air Dry Bulb 
Temperature), as enumerated in section 2.2.1(c) of the proposed 
appendix B); (5) external static pressure (Section 6 of AHRI 920-2020 
(which includes Section 6.1.5.6 External Static Pressure), as 
enumerated in section 2.2.1(c) of the proposed appendix B); and (6) 
target supply and return airflow rates (Section 6 of AHRI 920-2020 
(which includes Section 6.1.5 Supply and Return Airflow Rates), as 
enumerated in section 2.2.1(c) of the proposed appendix B). 86 FR 
36018, 36030-36031.
    In the July 2021 NOPR, DOE further discussed the following topics 
related to the test operating conditions DOE proposed to adopt: (1) 
target supply and return airflow rates; (2) units with cycle reheat 
functions; (3) target supply air dry-bulb temperature; (4) target 
supply air dew-point temperature; and (5) units with staged capacity 
control. 86 FR 36018, 36031-36033. Aside from the comments addressed 
elsewhere in this final rule, DOE did not receive additional comments 
regarding these topics and the proposals therein. For the reasons 
discussed in the July 2021 NOPR, DOE is adopting the test operating 
conditions in AHRI 920-2020 that were presented in the July 2021 NOPR 
(i.e., the conditions summarized previously in this section), as 
enumerated in sections 2.2.1(b) and 2.2.1(c) of appendix B.
4. Break-In Period
    In the July 2021 NOPR, DOE noted that Section 5.6 of AHRI 920-2020 
includes a provision that the break-in is not to exceed 20 hours, and 
DOE proposed to adopt this provision through reference to AHRI 920-
2020. 86 FR 36018, 36030. DOE also noted that the proposed break-in 
provision aligns with the test procedures for other commercial package 
air conditioners and heat pumps. Id. DOE received no further comment on 
this topic in response to the July 2021 NOPR.
    Since the publication of the July 2021 NOPR, DOE has determined 
that the requirements for specification of break-in may not be clear in 
the proposed test procedure. Although, Section 5.6 of AHRI 920-2020 
states that ``the break-in conditions and duration shall be specified 
by the manufacturer,'' AHRI 920-2020 does not clarify where the 
manufacturer should specify that information. DOE notes that AHRI 340/
360-2022 specifically states that the break-in should be conducted 
using the ``manufacturer-specified'' duration and conditions and 
defines ``manufacturer-specified'' as information provided by the 
manufacturer through manufacturer's installation instructions. AHRI 
920-2020 uses the term ``manufacturer-specified'' in multiple locations 
throughout the standard,

[[Page 45178]]

including in Section 5.6 when describing the break-in conditions and 
duration,\24\ however it does not define the term. DOE notes that 
Section 3.14 of AHRI 920-2020 does however contain a definition for 
``manufacturer's installation instructions.'' Therefore, to clarify 
what is meant in AHRI 920-2020 when the term ``manufacturer-specified'' 
is used, DOE is establishing a definition for ``manufacturer-
specified'' in section 2.2.1(a)(ii) of appendix B. This definition is 
the same used in AHRI 340/360-2022 (i.e., Information provided by the 
manufacturer through manufacturer's installation instructions). 
Additionally, DOE is clarifying in section 2.2.1(b)(ii) of appendix B 
that the break-in conditions and duration specified in Section 5.6 of 
AHRI 920-2020 shall be ``manufacturer-specified'' and therefore shall 
be the conditions and duration included in the manufacturer's 
installation instructions, as defined in Section 3.14 of AHRI 920-
2020.\25\ DOE notes that the manufacturer's installation instructions 
includes the manufacturer's supplemental testing instructions 
(``STI''), because the STI definition is specified in Section 3.14.1 of 
AHRI 920-2020, and is therefore nested within the manufacturer 
installation instructions definition.\26\ Hence, DOE is adopting the 
maximum 20-hour break-in provision in the DX-DOAS test procedure 
through reference to Section 5.6 of AHRI 920-2020, as enumerated in 
section 2.2.1(b) of appendix B, with the clarifications previously 
mentioned in this paragraph.
---------------------------------------------------------------------------

    \24\ Section 5.6 of AHRI 920-2020 states the following: 
Manufacturers may optionally specify a ``break-in'' period to 
operate the equipment under test prior to conducting the test. If an 
initial break-in period is required to achieve performance, the 
break-in conditions and duration shall be specified by the 
manufacturer, but shall not exceed 20 hours in length. No testing 
per Section 6 shall commence until the manufacturer-specified break-
in period is completed. Each compressor of the unit shall undergo 
this ``break-in'' period.
    \25\ Section 3.14 of AHRI 920-2020 defines the manufacturers 
installation instructions as the following: ``Manufacturer's 
documents that come packaged with or appear in the labels applied to 
the unit(s). Online manuals are acceptable if referenced on the unit 
label or in the documents that come packaged with the unit. All 
references to ``manufacturer's instructions,'' ``manufacturer's 
published instructions,'' ``manufacturer's installation 
instructions,'' ``manufacturer's published recommendations,'' 
``manufacturer installation and''.
    \26\ Section 3.14.1 of AHRI 920-2020 defines STI as the 
following: Additional instructions provided by the manufacturer and 
certified to the United States Department of Energy (DOE). STI shall 
include (a) all instructions that do not deviate from MII but 
provide additional specifications for test standard requirements 
allowing more than one option, and (b) all deviations from MII 
necessary to comply with steady state requirements. STI shall 
provide steady operation that matches to the extent possible the 
average performance that would be obtained without deviating from 
the MII. STI shall include no instructions that deviate from MII 
other than those described in (b) of this document.
---------------------------------------------------------------------------

5. Ventilation Energy Recovery Systems
    As discussed, DX-DOASes include units that provide pre-conditioning 
of outdoor air by direct or indirect transfer with return/exhaust air 
using an enthalpy wheel, sensible wheel, desiccant wheel, plate heat 
exchanger, heat pipes, or other heat or mass transfer apparatus. These 
pre-conditioning features are broadly referred to as VERS, and ASHRAE 
90.1-2016 and 90.1-2019 define separate equipment classes and 
efficiency levels for DX-DOASes with VERS.
    With regard to the test procedure, Section 5.4 of AHRI 920-2020 
specifies testing requirements for DX-DOASes equipped with VERS. 
Section 5.4.1 of AHRI 920-2020 specifies that units equipped with VERS 
can be tested using either one of two options: ``Option 1'' or ``Option 
2''. In general, Option 1 requires operating the DX-DOAS unit with VERS 
as it would operate in the field, maintaining the appropriate return 
air and outdoor air conditions for airflows entering the unit, and 
operating the VERS to provide energy recovery during the test (see 
Section 5.4.1.1 of AHRI 920-2020).\27\ In addition to specifying the 
outdoor air dry-bulb temperature and humidity conditions, Table 4 and 
Table 5 of AHRI 920-2020 specify return air inlet conditions that are 
applicable to DX-DOASes with VERS. Section C2.4 in appendix C of AHRI 
920-2020 also specifies that the return air be ducted into the unit 
from a separate test room maintaining the required return air inlet 
conditions.
---------------------------------------------------------------------------

    \27\ The Option 1 test method includes additional specificity to 
the test room configuration for testing DX-DOAS with energy recovery 
by allowing use of the three-chamber approach in addition to the 
example configuration provided in the current industry consensus 
test standard, in which the outdoor room is conditioned to both the 
required outdoor dry-bulb and humidity conditions.
---------------------------------------------------------------------------

    Option 2 involves setting the conditions of the air entering the 
unit so as to simulate the conditions that would be provided by the 
VERS in operation (see Section 5.4.1.2 of AHRI 920-2020).\28\ Option 2 
uses energy recovery device performance ratings based on AHRI 1060 (I-
P)-2018 (``AHRI 1060-2018'') to calculate the air dry-bulb temperature 
and humidity conditions that would be provided by the energy recovery 
device. AHRI 1060-2018 references ANSI/ASHRAE 84-2013, ``Method of 
Testing Air-to-Air Heat/Energy Exchangers,'' (ANSI/ASHRAE 84-2013) 
(approved by ASHRAE on January 26, 2013) for conducting the test. These 
industry test standards provide a method for rating the performance of 
VERS in terms of sensible and latent effectiveness. DOE also notes that 
the performance ratings for energy recovery devices certified using 
AHRI 1060-2018 are listed in AHRI's directory of certified product 
performance.\29\
---------------------------------------------------------------------------

    \28\ Option 2 is applicable for DX-DOASes for which a VERS 
provides the initial outdoor ventilation air treatment. DX-DOAS 
units with VERS that provide conditioning downstream of the 
conditioning coil could not be tested using Option 2, since this 
option addresses VERS pre-conditioning only upstream of the 
conditioning coil. Such units would need to be tested using Option 
1.
    \29\ AHRI's directory of certified product performance for air-
to-air energy recovery ventilators can be found at 
www.ahridirectory.org/ahridirectory/pages/erv/defaultSearch.aspx.
---------------------------------------------------------------------------

    The operating conditions specified in AHRI 1060-2018 may be 
different than the operating conditions specified for testing DX-DOAS 
(i.e., airflow rate, which subsequently affects factors such as 
transfer/leakage airflow \30\). Hence, section C4 of AHRI 920-2020 
provides methods to adjust, for the DX-DOAS operating conditions, the 
effectiveness values for sensible and latent transfer measured using 
AHRI 1060-2018. Section C4 of AHRI 920-2020 also provides default 
values for sensible effectiveness and latent effectiveness. These can 
be used in cases where performance rating information based on AHRI 
1060-2018 is not available for a VERS, or the rotational speed for an 
energy recovery wheel has been changed from the speed used to determine 
performance ratings using AHRI 1060-2018.
---------------------------------------------------------------------------

    \30\ DX-DOASes with energy recovery wheel VERS may experience 
air transfer and leakage from the outdoor air path to the exhaust 
air (outdoor air transfer and leakage) and return air to the supply 
air (return air transfer and leakage).
---------------------------------------------------------------------------

    The Option 2 approach would reduce test burden for most test 
laboratories by reducing the number of test rooms required as compared 
to conducting tests using Option 1. Because the outdoor ventilation air 
and return air would be maintained at the same conditions, there would 
be no transfer of heat or moisture in the VERS, nor any change of VERS-
outlet supply air conditions associated with transfer or leakage of 
return air to the supply air plenum. In addition, testing using Option 
2 is conducted with all components operating (e.g., with an energy 
recovery wheel rotating, or with the pump of a glycol-water runaround 
loop activated), such that all measurements would be representative of 
the pressure drops and power consumption associated with the VERS. This 
approach avoids separate testing to

[[Page 45179]]

measure power input of auxiliary components or of the exhaust air fan.
    In the July 2021 NOPR, DOE discussed its proposals regarding 
testing units with VERS, including how the following topics are treated 
in AHRI 920-2020: exhaust air transfer and leakage, purge angle 
setting, and target return airflow rate. 86 FR 36018, 36037-36040. DOE 
tentatively concluded that AHRI 920-2020 addressed each of these topics 
appropriately; therefore, DOE proposed to adopt Option 1 and Option 2, 
as specified in AHRI 920-2020. Id.
    In response to the July 2021 NOPR, the CA IOUs commented that AHRI 
1060 evaluates standalone heat exchanger performance only and 
encouraged DOE to evaluate the alignment between heat exchanger 
performance based on AHRI 1060 and whole system performance to assess 
the representativeness of the Option 2 approach. (CA IOUs, No. 25, p. 
2)
    NEEA commented that it supports the allowance of Option 2 as a less 
burdensome test method but encouraged DOE to validate the 
representativeness of the Option 2 test method through laboratory 
testing or field data. (NEEA, No. 24, p. 2) NEEA suggested that DOE 
consider a similar approach for other commercial package air-
conditioning and heating equipment as a path to consider the energy 
savings benefits of VERS without adding testing burden. Id.
    DOE tested a single DX-DOAS unit according to both Option 1 and 
Option 2 and has analyzed the difference between each option. DOE found 
that the measured ISMRE2 values differed by 0.1 (i.e., 6.8 ISMRE2 with 
option 1 compared to 6.7 ISMRE2 with option 2), indicating a small 
level of variation when using either option.
    Based on DOE test data, and lack of data indicating that option 2 
is not representative of an average-use cycle, DOE is adopting the two 
options (i.e., Option 1 and Option 2) for testing DX-DOASes with energy 
recovery, as provided in Section 5.4.1 of AHRI 920-2020 (as enumerated 
in section 2.2.1(b) of the proposed appendix B).
    In response to the December 2021 SNOPR, the CA IOUs added to their 
comments regarding Option 2, indicating that, while they still support 
its use, they highlight a concern regarding AHRI's certification 
program for verifying VERS ratings developed based on AHRI 1060-2018. 
(CA IOUs, No. 31, pp. 2-3) Specifically, while ratings for VERS are 
allowed under the AHRI certification program for a wide range of 
conditions as specified in Table 1 of AHRI 1060-2018, the verification 
process associated with AHRI's certification program focuses on outdoor 
air entering conditions more narrowly focused on the Initial Summer and 
Initial Winter Verification Zones illustrated in Figure 1 of ``AHRI ERV 
Operations Manual, January 2022'' (AHRI ERV OM''). The Summer Zone is 
bounded by a dry bulb temperature range from 90 [deg]F to 100 [deg]F, 
lower humidity bound of 110 grains per pound of dry air, and upper 
humidity bound of 80 [deg]F wet bulb temperature. It is DOE's 
understanding that verification tests focus more narrowly than the 
allowed range of rating conditions because laboratory determination of 
VERS sensible, latent, and total energy recovery effectiveness is not 
sufficiently precise to allow accurate measurement when entering 
outdoor conditions are closer to the entering return air condition. As 
these conditions get closer to each other, the temperature and humidity 
reduction in the air as it passes through the VERS approach the 
uncertainty of the temperature and humidity measurement. Hence, 
verification of rated effectiveness levels is most accurate if 
conducted for hot moist summer conditions and cold dry winter 
conditions, as is prescribed by the AHRI ERV OM. While there may be 
concerns that ratings of Option 2 DX-DOAS measurements for test 
conditions B, C, and D (for which temperature and humidity differences 
are less that would be used for AHRI verification of VERS performance) 
do not produce results which are comparable to ratings of Option 1, the 
tests DOE conducted comparing Option 1 and Option 2 measurements 
provide some assurance that using AHRI 1060 ratings is a reasonable 
approach to conducting Option 2 tests.
6. Defrost Energy Use for Air-Source Heat Pump
    DX-DOAS defrost operation has an impact on efficiency in the field 
because of the energy use associated with defrost and because a unit 
cannot continue to provide heating during defrost operation, thereby 
reducing time-averaged capacity. Therefore, consideration of defrost 
could provide a more field-representative measurement of performance. 
DOE notes that tests conducted at 35 [deg]F dry-bulb temperature for 
consumer central air conditioning heat pumps (which are air-source) 
consider the impacts of defrosting of the outdoor coil in the energy 
use measurement (see 10 CFR part 430, subpart B, appendix M, section 
3.9), while defrost performance is not addressed in ANSI/ASHRAE 198-
2013 or AHRI 920-2020.
    In the July 2021 NOPR, DOE acknowledged challenges in defrost field 
operation for DX-DOASes. Preventing cold outdoor air from being brought 
into the supply air stream during a defrosting sequence (when the DX-
DOAS cannot operate as a heat pump) would require interruptions to the 
supply airflow, which is inconsistent with building code requirements 
to provide a continuous supply of ventilation air for most DX-DOAS 
applications. 86 FR 36018, 36036. DOE also noted that AHRI 920-2020 
addresses defrost in another fashion, namely by providing in Section 
5.5 that defrost control settings specified by the manufacturer in 
installation instructions may be set prior to heating mode tests in 
order to achieve steady-state conditions during the heating mode tests, 
and that if these settings fail to prevent frost accumulation during 
the heating mode tests (resulting in unsteady conditions), then the 
manufacturer would need to seek a waiver from the test procedure to 
obtain an alternate method of test from DOE pursuant to 10 CFR 431.401. 
Additionally, DOE noted that Section 5.5 of AHRI 920-2020 also 
specifies that the Standard Rating Condition F heating mode test (which 
represents low temperature environmental conditions where frosting is 
likely) is optional to conduct, and if the Standard Rating Condition F 
test is not conducted, a default COP of 1.0 (corresponding to electric 
resistance heating) is assigned at this rating point instead. 
Therefore, DOE tentatively concluded that the test method set forth in 
Section 5.5 of AHRI 920-2020 for defrost controls for air-source heat 
pump DX-DOASes during heating mode offers a reasonable and workable 
approach, and that due to the lack of sufficient information on how 
air-source heat pump DX-DOAS units operate under frosting conditions, 
DOE would not propose to include any provisions for including the 
defrost energy of DX-DOAS air-source heat pumps. Id.
    DOE received no comments on this topic in response to the July 2021 
NOPR. For the reasons discussed in the prior paragraph and in the July 
2021 NOPR, DOE is adopting the provisions of AHRI 920-2020 Section 5.5, 
as enumerated in section 2.2.1(b) of the proposed appendix B and is not 
establishing provisions for including defrost energy in the DX-DOAS 
test procedure.
7. Return External Static Pressures
    In the July 2021 NOPR, DOE proposed to adopt the ESP requirements 
set forth in AHRI 920-2020, which includes the return air ESP 
requirements specified in Table 7 of AHRI 920-2020. 86 FR 36018,

[[Page 45180]]

36040. DOE received comment from the CA IOUs stating that they 
supported the adoption of the minimum ESPs provided in AHRI 920-2020 
but that the minimum return ESPs appeared to be unrealistically high, 
especially for equipment with airflow below 900 scfm. (CA IOUs, No. 25, 
p. 3) The also CA IOUs asserted that changing the minimum ESPs for the 
return air stream would only affect the exhaust fan power of DX-DOASes 
with VERS and would likely have little impact on the representativeness 
of the metric. Id
    DOE did not receive any data supporting the CA IOUs assertion that 
return air ESPs are unrealistically high, or any justification 
supporting their claim that ESPs appear to be unrealistically high. 
Absent further indication that the return air ESPs specified in AHRI 
920-2020 are inappropriate and based on the CA IOUs comment that 
changing the minimum ESPs would likely have little impact on the 
representativeness of the metric, DOE concludes that the return air 
ESPs meet the statutory requirements of 42 U.S.C. 6314(a)(2)-(3). As 
such, DOE is adopting the ESP requirements in AHRI 920-2020 through 
reference to Section 6 (Rating Requirements) of AHRI 920-2020 in 
section 2.2.1(c) of appendix B.
8. Tolerances for Supply and Return Airflow and External Static 
Pressure
    In the July 2021 NOPR, DOE proposed to adopt the test condition and 
operating tolerances for airflow and ESP specified in Section 6.1.5 of 
AHRI 920-2020. 86 FR 36019, 36014. Specifically, DOE noted that Section 
6.1.5 of AHRI 920-2020 specifies airflow test condition tolerances of 
3 percent of the manufacturer-provided airflow rate for all 
DX-DOASes when setting the airflow, provided that this airflow rate 
meets the supply air dew point temperature requirement, and that for 
setting the return airflow rate, Section 6.1.5 of AHRI 920-2020 
specifies the same test condition tolerances as for supply airflow 
rate, except that for return airflow rate the target is equal to the 
measured supply airflow rate. Id. DOE noted that ANSI/ASHRAE 198-2013 
provides a 5-percent operating tolerance directly on the airflow rate, 
Table 9 of AHRI 920-2020 provides a 5-percent operating tolerance for 
airflow rate in the form of airflow nozzle differential pressure. Id. 
DOE tentatively determined that the airflow operating tolerance 
approach in AHRI 920-2020 is preferable because the airflow nozzle 
differential pressure provides a more direct indication of the airflow 
variation, since airflow is calculated based on this value. Id. These 
operating tolerances, in addition to the condition tolerances for 
setting airflow, would maintain repeatable and reproducible results 
while ensuring that testing is representative of field use.
    DOE did not receive any comments regarding DOEs proposal in the 
July 2021 NOPR. For the reasons discussed in the prior paragraph and in 
the July 2021 NOPR, DOE is establishing the test condition and 
operating tolerances for airflow and ESP specified in Section 6.1.5 of 
AHRI 920-2020, as enumerated in section 2.2.1(c) of the proposed 
appendix B.
9. Secondary Dehumidification and Heating Capacity Tests
    The measurement of dehumidification and heating performance of DX-
DOASes is based on measurements of airflow rate, temperature, and 
humidity, which have uncertainties associated with them. Thus, a 
secondary test method may be essential to confirm the accuracy of the 
primary test method. Commercial package air-conditioners and heat pumps 
with cooling capacity less than 135,000 Btu/h are required to undergo a 
secondary test to verify the cooling or heating capacity and energy 
efficiency results (See, e.g., ANSI/ASHRAE 37-2009 Section 7.2.1, which 
is referenced by appendix A to subpart F of 10 CFR part 431). ANSI/
ASHRAE 198-2013 does not specify a secondary test method for verifying 
the dehumidification and heating capacity of DX-DOAS, but Section 6.7 
of AHRI 920-2020 does specify secondary tests.
    In the July 2021 NOPR, DOE noted that Section C5.1 of AHRI 920-2020 
includes a condensate-based test method as a secondary measure of 
dehumidification capacity. 86 FR 36018, 36041. DOE noted that this 
method measures the weight of the condensate (i.e., water vapor in the 
outdoor ventilation air that condenses on the conditioning coil and is 
removed from the air) collected during the dehumidification test and 
uses it to calculate a secondary measure of MRC, and that this 
secondary measure of MRC is then compared to the primary MRC 
measurement, which is based on supply and outdoor ventilation airflow 
and air condition measurements. DOE noted that AHRI 920-2020 requires 
this secondary measure of MRC for all dehumidification tests, and 
comparison to the primary measure of MRC at Standard Rating Condition 
A, and that this requirement is for all DX-DOAS units that: (a) do not 
use condensate collected from the dehumidification coil to enhance 
condenser cooling or include a secondary dehumidification process for 
which the moisture removed from the supply air stream is not 
collectable in liquid form, and (b) either are not equipped with VERS 
or are equipped with VERS and tested using Option 2 (see Section C5.1 
of AHRI 920-2020). Additionally, DOE noted that AHRI 920-2020 does not 
require a secondary dehumidification capacity measurement for DX-DOAS 
units equipped with VERS that are tested using Option 1, and that DOE 
understands that this is because: (a) no viable method has been 
developed and validated that appropriately accounts for the water vapor 
that transfers between air streams of an energy recovery wheel, and (b) 
the test burden of accounting for moisture in the exhaust air stream 
would be excessive. Therefore, DOE proposed to adopt the secondary 
capacity test measurements specified in AHRI 920-2020 (Section C5.1 
Dehumidification Capacity Verification), including the cooling 
condensate secondary test measurement discussed previously.
    For DX-DOAS units with energy recovery tested using Option 2, as 
previously discussed in section III.E.5 of this document, the test is 
conducted by setting the conditions of the air entering the unit (at 
both the outdoor air inlet and return air inlet) to simulate the 
conditions that would be provided by the energy recovery device in 
operation. As a result, the moisture removal (in dehumidification mode) 
or heating (in heating mode for heat pump DX-DOAS) measured during the 
Option 2 primary and secondary capacity tests reflects only the 
moisture removed or heating by the conditioning coil. The MRC or 
qhp for the DX-DOAS is calculated by adjusting the measured 
moisture removal or heating for the primary test to account for the 
total moisture removal or heating by the energy recovery device and the 
conditioning coil. Because the moisture removal or heating capacity 
measured for the primary and secondary tests are based on the simulated 
test conditions, Sections 6.9 and 6.10 of AHRI 920-2020 use these 
measured values for the secondary capacity verification under Option 2. 
In the July 2021 NOPR, DOE proposed to adopt these requirements 
specified in AHRI 920-2020 (Section 6.9 Moisture Removal Efficiency 
Ratings and Section 6.10 Heating Capacity).
    DOE did not receive any comment on these proposals. For the reasons 
discussed in the prior paragraph and in the July 2021 NOPR, DOE is 
establishing the condensate-based secondary capacity measurement 
requirements as proposed in the July 2021 NOPR through reference to 
Section 6 of AHRI 920-2020, as enumerated in section 2.2.1(c) of 
appendix B.

[[Page 45181]]

10. Water Pump Effect
    As part of the July 2021 NOPR, DOE noted that Section 6.1.6.4 of 
AHRI 920-2020 includes an equation for calculating the ``water pump 
effect,'' which is an estimate of the energy consumption of non-
integral water pumps (i.e., pumps that are not part of the DX-DOAS unit 
and whose power consumption would, therefore, not already be part of 
the measured power). 86 FR 36018, 36034. The calculation at Section 
6.1.5.4 of AHRI 920-2020 applies the water pump effect to all water-
cooled and water-source units. DOE noted that for pumps that are 
integral to the DX-DOAS, the total pump effect does not need to be 
calculated because the power for these pumps would be measured as part 
of the main DX-DOAS power measurement, and that currently, the number 
of DX-DOAS models on the market with integral pumps is very limited. 
Id.
    In the July 2021 NOPR, DOE also noted that AHRI 920-2020 does not 
explicitly state the amount of external head pressure \31\ to use when 
testing DX-DOASes with integral pumps, and that the calculation of the 
water pump effect for DX-DOASes without integral pumps specified AHRI 
920-2020 includes a fixed adder of 25 Watts per gallon per minute based 
on 20 feet of water column of external head pressure. 86 FR 36018, 
36034. DOE tentatively determined that the external head pressure value 
specified for DX-DOASes without integral pumps would be appropriate for 
DX-DOASes with integral pumps, and that specifying an external head 
pressure for units with integral pumps is necessary to ensure test 
repeatability because the external heat pressure will impact the pump 
power output. Id. Therefore, DOE proposed to include additional 
specifications in the DOE test procedure that DX-DOASes with integral 
pumps be configured with an external head pressure equal to 20 feet of 
water column (i.e., the same level of external head pressure used in 
the calculation of the pump effect for DX-DOASes without integral 
pumps). 86 FR 36018, 36035. In addition, DOE proposed a condition 
tolerance \32\ of up to 1 foot of water column greater than the 20-foot 
requirement (which equates to 5 percent), which is equivalent to the 
condition tolerance on air side ESP in Table 9 of AHRI 920-2020 (i.e., 
.05 inch of water column greater than the target ESP, which is around 1 
inch of water column). Id. Similarly, DOE proposed an operating 
tolerance \33\ of up to 1 foot of water column, which is equivalent to 
the operating tolerance on air side ESP in Table 9 of AHRI 920-2020 
(i.e., 0.05 inch of water column). Id.
---------------------------------------------------------------------------

    \31\ ``External head pressure'' reflects the pump power output, 
in that it represents the height to which the pump can raise the 
water if the water were being moved opposite the force of gravity.
    \32\ A condition tolerance is the maximum permissible difference 
between the average value of the measured test parameter and the 
specified test condition.
    \33\ An operating tolerance is the maximum permissible range of 
a measurement that shall vary over the specified test interval. 
Specifically, the difference between the maximum and minimum sampled 
values shall be less than or equal to the specified test operating 
tolerance.
---------------------------------------------------------------------------

    In the July 2021 NOPR, DOE requested comment on its proposal to 
require that water-cooled and water-source DX-DOASes with integral 
pumps be set up with an external pressure rise equal to 20 feet of 
water column with a condition tolerance of -0/+1 foot and an operating 
tolerance of 1 foot. Id.
    AHRI, the Joint Advocates, and MIAQ supported DOE's proposed 
requirements for DX-DOASes with integral water pumps. (AHRI, No. 22, p. 
7; Joint Advocates, No. 21; p.1; MIAQ, No. 19, p. 3) AHRI and MIAQ 
recommended that DOE's additional requirement for water-cooled and 
water-source DX-DOASes with integral pumps should be written in 
language consistent with that in AHRI 920-2020. AHRI stated that AHRI 
920-2020 includes the maximum permissible variations of the average of 
the test observations from the standard or desired test conditions in 
the ``Test Condition Tolerance'' column of Table 9, ``Test Operating 
and Test Condition Tolerances'', in AHRI 920-2020. This represents the 
greatest permissible difference between maximum and minimum instrument 
observations during the test. (AHRI, No. 22, p. 7; MIAQ, No. 19, p. 3) 
The Joint Advocates stated that DOE's proposal would ensure that 
equipment with integral pumps is tested in a consistent manner and 
would align with the calculation for DX-DOASes without integral pumps. 
(Joint Advocates, No. 21, p.1)
    DOE notes that AHRI's comment implies that a test condition 
tolerance is the maximum permissible variations of the average of the 
test observations from the standard or desired test conditions, and the 
maximum permissible difference between maximum and minimum instrument 
observations during the test. DOE disagrees with this implication, and 
notes that while the condition tolerance is the maximum permissible 
variations of the average of the test observations from the standard or 
desired test conditions, the operating tolerance is the greatest 
permissible difference between maximum and minimum instrument 
observations during the test. This is consistent with industries use of 
the terms ``operating and condition tolerance'', noted in Sections 
6.3.1 and 6.3.2 of AHRI 340/360-2019, for example. DOE also notes that 
Table 9 in AHRI 920-2020 simply indicates what the test and operating 
condition tolerances are, without specific language describing them.
    Adopting the operating and condition tolerances on head pressure of 
DX-DOASes with integral pumps proposed in the July 2021 NOPR is 
consistent with the approached use for air side ESPs specified in AHRI 
920-2020, which does not specify any such tolerances for external head 
pressure. DOE has determined that using the language in Appendix B, 
which adopts these operating and condition tolerances, aligns with the 
intent of the operating and condition tolerances specified in Table 9 
of AHRI 920-2020. Similarly, adding a requirement that DX-DOASes with 
integral pumps be configured with a target external head pressure equal 
to 20 feet of water column is consistent with the treatment of DX-
DOASes without integral pumps in AHRI 920-2020. To the extent the 
industry test procedure does not specify a target external head 
pressure, as well as a condition tolerance and operating tolerance for 
the water column, the industry test procedure would not ensure 
consistent and comparable results and would not ensure that the results 
reflect the equipment's representative average energy efficiency or 
energy use. DOE has determined that absent such a target and tolerances 
for the water column, the test procedure would not meet the 
representativeness requirement of 42 U.S.C. 6314(a)(2). As such, and 
consistent with stakeholder recommendations, DOE is adopting the 
supplemental specification for water-cooled and water-source DX-DOASes 
in section 2.2.1(c)(ii) of appendix B.
11. Calculation of the Degradation Coefficient
    In the July 2021 NOPR, DOE noted that equation 20 in Section 6.9.2 
of AHRI 920-2020 appears to incorrectly attribute the lower degradation 
coefficient to DX-DOASes operating with VERS and proposed to correct 
this by specifying in section 2.2.1(c)(iii) of appendix B that equation 
20 is to be used for DX-DOASes ``without VERS, with deactivated VERS 
(see Section 5.4.3 of AHRI 920-2020), or with sensible-only VERS tested 
under Standard Rating Conditions other than D''. 86 FR 36018, 36042.
    In response to the December 2021 SNOPR, the CA IOUs recommended

[[Page 45182]]

DOE consider incorporating by reference AHRI 920-2020 with Addendum, 
rather than AHRI 920-2020, because it makes a clarifying edit to 
Section 6.9.2. (CA IOUs, No. 31, p. 1) Upon review, DOE recognizes that 
this addendum makes the same correction to equation 20 that DOE 
identified, and that this is the only change made by the addendum. DOE 
received no further comment on this topic in response to the July 2021 
NOPR. The version of AHRI 920-2020 (i.e., with the addendum) that DOE 
is adopting in this final rule as the test procedure for DX-DOASes is 
consistent with the proposed correction in the July 2021 NOPR. As such, 
DOE is not separately specifying the correction in this final rule.
12. Calculation of Supplementary Heat Penalty
    In the July 2021 NOPR, DOE noted that the term for supply airflow 
rate is missing from the supplementary heat penalty equations in 
Section 6.1.3.1 of ANSI/AHRI 920-2015. This issue is in fact resolved 
in Section C6.1 in AHRI 920-2020, as referenced by Section 6.3.2 of 
AHRI 920-2020, thereby resolving the problem noted by DOE. 86 FR 36018, 
36043. DOE also noted that AHRI 920-2020 contains several minor 
clarifications that clarify when the supplemental heating penalty 
should apply. Id. DOE received no further comment on this topic. For 
the reasons discussed in the July 2021 NOPR, DOE is adopting the 
supplementary heat penalty provisions in AHRIAHRI 920-2020 through 
reference to Section 6 (Rating Requirements) of AHRI 920-2020, as 
enumerated in section 2.2.1(c) of appendix B.
13. Water-Cooled and Water-Source Heat Pump DX-DOAS
    In the July 2021 NOPR, DOE discussed the following additional 
topics related to water-cooled and water-source heat pump DX-DOAS 
equipment: (1) test conditions for multiple-inlet water sources; (2) 
condenser liquid flow rate; and (3) energy consumption of heat 
rejection fans and chillers. 86 FR 36018, 36033-36035.
    Regarding test conditions for multiple-inlet water sources, DOE 
noted that AHRI 920-2020 provides separate inlet fluid rating 
conditions for different water-cooled and water-source heat pump DX-
DOAS applications, but some are identified as optional application 
rating conditions. 86 FR 36018, 36033. More specifically, Table 4 of 
AHRI 920-2020 includes separate inlet fluid rating conditions for 
water-cooled cooling tower and water-cooled chilled water operating 
conditions but Note 3 to Table 4 of AHRI 920-2020 indicates that the 
water-cooled chilled water condition is the optional application rating 
condition. Table 5 of AHRI 920-2020 includes separate inlet fluid 
rating conditions for water-source and ground-source closed-loop heat 
pump operating conditions but identifies the ground-source closed-loop 
conditions as the optional application rating condition. Tables 4 and 5 
of AHRI 920-2020 also revise the inlet temperatures of the rating 
conditions for water-cooled cooling tower, water-source heat pump, and 
water-source ground-source closed-loop heat pump DX-DOASes, compared to 
the inlet temperatures of the rating conditions in AHRI 920-2015. Id. 
In the July 2021 NOPR, DOE proposed to adopt the water/fluid rating 
conditions provided in AHRI 920-2020 (Section 6 of AHRI 920-2020, which 
includes Table 4 and Table 5), including the chilled water and ground-
source closed-loop conditions specified as optional in AHRI 920-2020 so 
as to allow for voluntary representations for those applications.\34\ 
In the July 2021 NOPR, DOE noted that in any future energy conservation 
standards rulemaking for DX-DOASes, DOE would consider establishing 
standards and the corresponding certification requirements based on 
measurement using inlet fluid temperature conditions designated 
``Condenser Water Entering Temperature, Cooling Tower Water'' and 
``Water-Source Heat Pumps'' provided in Table 4 and Table 5 of AHRI 
920-2020, respectively. Id. DOE notes that this is consistent with what 
was proposed in the February 2022 ECS NOPR. 87 FR 5560, 5567.
---------------------------------------------------------------------------

    \34\ In the July 2021 NOPR and December 2021 SNOPR, DOE 
inadvertently indicated in the proposed section 2.2.3 of appendix B 
that for water-cooled DX-DOASes, the ``condenser water entering 
temperature, cooling tower'' conditions specified in Table 4 of AHRI 
920-2020 are optional, and that for water-source heat pump DX-
DOASes, the ``water-source heat pump'' conditions specified in Table 
5 of AHRI 920-2020 are optional. DOE did not mean to indicate this 
because these are the required test conditions, not the conditions 
for making optional representations. DOE has corrected this error in 
this final rule.
---------------------------------------------------------------------------

    Regarding condenser liquid flow rate, DOE noted that more 
specifically, Section 6.1.6.1 of AHRI 920-2020 specifies that the water 
flow rate be specified by the manufacturer, and that the test method 
must deliver a liquid temperature rise no less than 8 [deg]F when 
testing under Standard Rating Condition A. 86 FR 36018, 36033. 
Additionally, Section 6.1.6.2 of AHRI 920-2020 requires that the flow 
rate set under Standard Rating Condition A be used for testing at the 
remaining Standard Rating Conditions (B through F), unless automatic 
adjustment of the liquid flow rate is provided by the equipment, and it 
also requires that if condenser water flow rate is modulated under 
part-load conditions, the flow rate must not exceed the flow rate set 
for Condition A. DOE tentatively concluded that these provisions would 
be representative of flow rates used during an average use cycle and 
would not be unduly burdensome to conduct, and proposed to adopt the 
liquid flow requirements in AHRI 920-2020 for water-cooled and water-
source heat pump DX-DOASes (Section 6 of AHRI 920-2020, which includes 
Section 6.1.6 Liquid Flow Rates for Water-Cooled, Water-Source Heat 
Pump, and Ground-Source Heat Pump). Id.
    Regarding energy consumption of heat rejection fans and chillers, 
AHRI noted that AHRI 920-2020 does not address accounting for the 
energy consumption of heat rejection fans (e.g., cooling tower fans) or 
chiller systems used to provide chilled water to DX-DOASes with 
chilled-water-cooled condensers. 86 FR 36018, 36035. DOE noted that 
accounting for this energy use is not a consistent industry practice, 
as evidenced by the differences between the AHRI 340/360-2007 (which 
provides a power consumption adjustment for both the cooling tower fan 
and the circulating water pump) for more typical commercial package air 
conditioning equipment, and the ISO approach (which does not account 
for cooling tower fan energy use at this time) for water-source heat 
pumps. DOE also noted that including the energy of the heat rejection 
fan and chiller systems would not help to distinguish between models of 
different efficiency, since the adder would be identical for two same-
capacity models with different efficiencies. For these reasons, and 
consistent with AHRI 920-2020, DOE proposed not to include any energy 
consumption associated with heat rejection fans, cooling towers, or 
chiller systems used to cool the water loops of water-cooled or water-
source DX-DOASes. Id.
    DOE did not receive additional comments regarding these topics or 
DOE's related proposals. For the reasons discussed in the prior 
paragraphs and in the July 2021 NOPR, DOE is adopting the water-cooled 
and water-source heat pump DX-DOAS provisions in AHRI 920-2020 that 
were presented in the July 2021 NOPR (i.e., Section 6 of AHRI 920-2020, 
which includes Table 4 and Table 5, as enumerated in section 2.2.1(c) 
of the proposed appendix B).

[[Page 45183]]

14. Airflow Measurement Apparatus
    In the July 2021 NOPR, DOE noted that Figures 1 and 2 of ANSI/
ASHRAE 198-2013 present the typical test set-up for DX-DOASes with and 
without energy recovery, and that the figures show airflow and 
condition measuring apparatus at both the inlet and the outlet ends of 
each airflow path (i.e., the outdoor/supply and return/exhaust paths). 
86 FR 36018, 36030. DOE tentatively concluded that requiring two 
airflow-measuring apparatus per airflow path may be unduly burdensome 
in certain instances; Section C2.2 of AHRI 920-2020, among other 
things, requires one airflow-measuring apparatus per airflow path; and 
that use of one airflow-measuring apparatus offers a more suitable 
approach to airflow measurement. Id. Additionally, DOE noted that the 
requirement for just one airflow-measuring apparatus per airflow path 
is consistent with the DOE test procedures for all other commercial and 
residential air-conditioning and heating systems and limits the testing 
costs and burden on manufacturers. Id. Therefore, DOE proposed to adopt 
the provisions for the airflow-measuring apparatus specified in Section 
C2.2 of AHRI 920-2020 (rather than the dual measurement apparatus 
specifications in Figures 1 and 2 of ANSI/ASHRAE 198-2013).
    DOE received no comment on this proposal. For the reasons discussed 
in the prior paragraph and in the July 2021 NOPR, DOE is adopting the 
provisions for a single airflow-monitoring apparatus in Appendix C of 
AHRI 920-2020, as enumerated in section 2.2.1(f) of appendix B.
15. Demand-Controlled Ventilation
    DX-DOAS units are often used in demand-controlled ventilation 
(``DCV'') operation, which regulates the building ventilation 
requirement based on parameters such as building occupancy. During 
periods of non-occupancy, which could represent a significant portion 
of field-use, the DCV system controls the unit to operate at a low 
airflow rate, thereby reducing the unit's overall energy use. DX-DOASes 
using DCV systems are typically equipped with variable-speed supply 
fans that can be adjusted to meet changing ventilation needs.
    In the July 2021 NOPR, DOE stated that DOE is not aware of 
representative field data regarding the typical DX-DOAS duty cycle when 
operating with DCV and, thus, the characterization of DCV performance 
would be an important first step in considering this control feature 
under the test procedure. 86 FR 36018, 36040. DOE stated that adopting 
additional testing requirements to capture the effect of DCV could 
significantly increase testing cost and complexity. Given the lack of 
data on in-field performance and the anticipated additional testing 
burden of such a test, DOE tentatively decided not to include 
performance under DCV operation in its proposed test procedure for DX-
DOASes at this time. Id.
    DOE received no comments on this proposal. For the reasons 
discussed in the prior paragraph and in the July 2021 NOPR, DOE is not 
adopting provisions specific to DCV operation.

F. Configuration of Unit Under Test

1. Background and Summary
    DX-DOASes are sold with a wide variety of components, including 
many that can optionally be installed on or within the unit both in the 
factory and in the field. In all cases, these components are 
distributed in commerce with the DX-DOAS, but can be packaged or 
shipped in different ways from the point of manufacturer for ease of 
transportation. Each optional component may or may not affect a model's 
measured efficiency when tested to the DOE test procedure adopted in 
this final rule. For certain components not directly addressed in the 
DOE test procedure, this final rule provides more specific instructions 
on how each component should be handled for the purposes of making 
representations in part 429. Specifically, these instructions provide 
manufacturers clarity on how components should be treated and how to 
group individual models with and without optional components for the 
purposes of representations to reduce burden. DOE is adopting these 
provisions in part 429 to allow for testing of certain individual 
models that can be used as a proxy to represent the performance of 
equipment with multiple combinations of components.
    DOE is handling DX-DOAS components in two distinct ways in this 
final rule to help manufacturers better understand their options for 
developing representations for their differing product offerings. 
First, the treatment of certain components is specified by the test 
procedure, such that their impact on measured efficiency is limited. 
For example, a return air damper must be set in the closed position and 
sealed during testing, resulting in a measured efficiency that would be 
similar or identical to the measured efficiency for a unit without a 
return damper. Second, DOE is adopting provisions expressly allowing 
certain models to be grouped together for the purposes of making 
representations and allowing the performance of a model without certain 
optional components to be used as a proxy for models with any 
combinations of the specified components, even if such components would 
impact the measured efficiency of a model. A furnace is an example of 
such a component. The efficiency representation for a model with a 
furnace is based on the measured performance of the DX-DOAS as tested 
without the component installed because the furnace is not easily 
removed from the DX-DOAS for testing.\35\
---------------------------------------------------------------------------

    \35\ Note that in certain cases, as explained further in section 
III.F.2.d of this document, the representation may have to be based 
on an individual model with a furnace.
---------------------------------------------------------------------------

    The following sections describe DOE's proposals for addressing such 
components in the July 2021 NOPR and December 2021 SNOPR, comments 
received in response to the proposals, and the approach established in 
this final rule.
2. Approach for Addressing Certain Components
a. Proposals
    Appendix F of AHRI 920-2020 provides discussion of certain 
components, which the committee developing the standard does not 
believe should be considered for individual model representations, and 
the standard provides instructions either to limit their impact during 
testing or to determine representations for individual models with such 
components based on individual models that do not include them. DOE 
proposed in the July 2021 NOPR to implement representation provisions 
for certain components by incorporating by reference appendix F of AHRI 
920-2020. 86 FR 36018, 36045.
    In the December 2021 SNOPR, DOE revised its proposals from the July 
2021 NOPR to be more consistent with DOE's regulatory provisions and to 
provide clarity on how these DOE provisions would be implemented for 
both certification and enforcement testing. 86 FR 72874, 72879 
(December 23, 2021). DOE noted that the revised approach would clarify 
how to test a specific unit and which model to test as the basis for 
efficiency representations of a group of individual models. 
Specifically, DOE proposed to include in the new appendix B to 10 CFR 
part 431 provisions for certain components to limit their impact on 
efficiency during testing. Id. Additionally, DOE proposed 
representation requirements in 10 CFR 429.43(a)(4) that explicitly 
allow

[[Page 45184]]

representations for individual models equipped with certain components 
to be based on testing of individual models without those components 
installed--the proposal includes a table listing the components for 
which these provisions would apply (furnaces and steam/hydronic heat 
coils, ducted condenser fans, sound traps/sound attenuators, and VERS 
preheat). Id. Finally, DOE proposed specific product enforcement 
provisions in 10 CFR 429.134 indicating that DOE would conduct 
enforcement testing on individual models that do not include the 
components listed in the aforementioned table, except in certain 
circumstances. Id. at 86 FR 72880.
b. General Comments
    DOE received multiple comments related to these proposals in 
response to the December 2021 SNOPR. While comments were received on 
details of the proposed provisions, e.g., regarding the specific 
components that should or should not be included in Table 1 to 
paragraph (a)(4)(i),\36\ no comments received specifically addressed 
the general restructuring of the provisions in the regulations.
---------------------------------------------------------------------------

    \36\ These comments are discussed in sections III.F.2.d, 
III.F.2.d.1, and III.F.2.d.2 of this document.
---------------------------------------------------------------------------

    ASAP and NYSERDA generally supported DOE's proposals related to 
specific components. (ASAP and NYSERDA, No. 32, p. 1) AHRI and MIAQ 
generally supported the proposals in the December 2021 SNOPR regarding 
specific components; however, they expressed concerns that DOE would 
potentially consider adding certification reporting requirements 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, similar to how 
test combinations are certified for consumer central air conditioners 
and heat pumps, and that such a structure would result in thousands of 
basic models and would be overly burdensome. (AHRI, No. 34, p. 4-5; 
MIAQ, No. 29, p. 4)
    DOE has considered these general comments, as well as those 
discussed in the following sections, and has determined that 
clarifications are warranted to the approach proposed in the December 
2021 SNOPR regarding the treatment of certain components for 
determining represented values. Therefore, DOE is adopting the 
proposals made in the December 2021 SNOPR, with clarifications that are 
discussed in detail in section III.F.2.c through III.F.2.f of this 
final rule. Additionally, regarding the comment from AHRI and MIAQ 
pertaining to DOE potentially requiring future certification of 
otherwise identical models, DOE has concluded that the approach in this 
final rule may preclude the need for such certification requirements, 
but certification requirements for DX-DOASes in general will be 
considered, if needed, in a separate rulemaking.
c. Components Addressed Through Test Provisions of 10 CFR Part 431 
Appendix B
    DOE is adopting test provisions at 10 CFR part 431 appendix B 
section 2.2.2 to prescribe how certain components must be configured 
for testing as proposed in the December 2021 SNOPR. Specifically, DOE 
is requiring in appendix B that steps be taken during unit setup and 
testing to limit the impacts on the measurement of these components:

 Return and Exhaust Dampers
 Ventilation Energy Recovery System (VERS) Bypass Dampers
 Fire/Smoke/Isolation Dampers
 Furnaces and Steam/Hydronic Heat Coils
 Power Correction Capacitors
 Hail Guards
 Ducted Condenser Fans
 Sound Traps/Sound Attenuators
 Humidifiers
 UV Lights
 High-Effectiveness Indoor Air Filtration

    The components are listed and described in Table 2.1 in section 
2.2.2 of the new appendix B, and test provisions for them are provided 
in the table.
d. Components Addressed Through Representation Provisions of 10 CFR 
429.43
    As discussed, in the December 2021 SNOPR, DOE proposed 
representation requirements in 10 CFR 429.43(a)(4) that explicitly 
allowed representations for individual models with certain components 
to be based on testing for individual models without those components--
the proposal included a table (``Table 1 of 10 CFR 429.43'') listing 
the components for which these provisions would apply (furnaces and 
steam/hydronic heat coils, ducted condenser fans, sound traps/sound 
attenuators, and VERS preheat). 86 FR 72874, 72879 (December 23, 2021).
    In response to the December 2021 SNOPR, Carrier supported DOE's 
approach of assessing compliance of equipment with exempted specific 
components present when only individual models with that component are 
distributed in commerce. (Carrier, No. 30, p. 2) Carrier also supported 
DOE's proposal that if a basic model includes both individual models 
with and without the exempted component, then compliance may be 
assessed on the model without the exempted component. Id. Additionally, 
ASAP and NYSERDA commented that in cases where individual models 
include more than one of the listed specific components, the ratings 
must be representative of the lowest efficiency. (ASAP and NYSERDA, No. 
32, p. 1)
    In this final rule, DOE is making two clarifications to the 
representation requirements as proposed in the December 2021 SNOPR. 
First, DOE is specifying that the basic model representation must be 
based on the least-efficient individual model that is a part of the 
basic model and clarifying how this long-standing basic model provision 
interacts with the component treatment in Sec.  429.43 that is being 
adopted. Adoption of this clarification in the regulatory text is 
consistent with the December 2021 SNOPR, in which DOE noted that in 
some cases, individual models may include more than one of the 
specified components or there may be individual models within a basic 
model that includes various dehumidification components that result in 
more or less energy use. 86 FR 72874, 72880. In such cases, DOE stated 
that the represented values of performance must be representative of 
the individual model with the lowest efficiency found within the basic 
model. Id. DOE believes regulated entities may benefit from clarity in 
the regulatory text as to how the least efficient individual model 
within a basic model provision works with the component treatment for 
DX-DOASes. The amendments in this final rule explicitly state that the 
exclusion of the specified components from consideration in determining 
basic model efficiency in certain scenarios is an exception to basing 
representations on the least efficient individual model within a basic 
model. In other words, the components listed in Sec.  429.43 are not 
being considered as part of the representation under DOE's regulatory 
framework if certain conditions are met as discussed in the following 
paragraphs and thus, their impact on efficiency is not reflected in the 
representation. In this case, the basic model's representation is 
generally determined by applying the testing and sampling provisions to 
the least efficient individual model in the basic model that does not 
have a component listed in Sec.  429.43.
    Second, DOE is also clarifying instructions for instances when

[[Page 45185]]

individual models within a basic model may have more than one of the 
specified components and there may be no individual model without any 
of the specified components. DOE is adopting the concept of an 
``otherwise comparable model group'' (``OCMG'') instead of using the 
proposed ``otherwise identical'' provisions. An OCMG is a group of 
individual models within the basic model that do not differ in 
components that affect energy consumption as measured according to the 
applicable test procedure other than the specific components listed in 
Table 1 of 10 CFR 429.43, but may include individual models with any 
combination of such specified components. Therefore, a basic model can 
be composed of multiple OCMGs, each representing a unique combination 
of components that affect energy consumption as measured according to 
the applicable test procedure, other than the specified excluded 
components listed in Table 1 of 10 CFR 429.43. For example, a 
manufacturer might include two tiers of control system within the same 
basic model, in which one of the control systems has sophisticated 
diagnostics capabilities that require a more powerful control board 
with a higher wattage input. DX-DOAS individual models with the 
``standard'' control system would be part of OCMG A, while individual 
models with the ``premium'' control system would be part of a different 
OCMG B, since the control system is not one of the specified exempt 
components listed in Table 1 of 10 CFR 429.43. However, both OCMGs may 
include different combinations of furnaces, sound traps, and VERS 
preheat. Also, both OCMGs may include any combination of 
characteristics that do not affect the efficiency measurement, such as 
paint color.
    The OCMG is used to determine which individual models are used to 
determine a represented value. Specifically, when identifying the 
individual model within an OCMG for the purpose of determining a 
representation for the basic model, only the individual model(s) with 
the least number (which could be zero) of the specific components 
listed in Table 1 of 10 CFR 429.43 is considered. This clarifies which 
individual models are exempted from consideration for determination of 
represented values in the case of an OCMG with multiple specified 
components and no individual models with zero specific components 
listed in Table 1 of 10 CFR 429.43--i.e., models with a number of 
specific components listed in Table 1 of 10 CFR 429.43 greater than the 
least number in the OCMG are exempted. In the case that the OCMG 
includes an individual model with no specific components listed in 
Table 1 of 10 CFR 429.43, then all individual models in the OCMG with 
specified components would be exempted from consideration. The least 
efficient individual model across the OCMGs within a basic model would 
be used to determine the representation of the basic model. In the case 
where there are multiple individual models within a single OCMG with 
the same non-zero least number of specified components, the least 
efficient of these would be considered. DOE has illustrated the OCMG 
concept in an attempt to clarify this approach in the ``Illustration of 
Specified Components Requirements'' document.\37\
---------------------------------------------------------------------------

    \37\ The ``Illustration of Specified Components Requirements'' 
document can be found at www.regulations.gov/docket/EERE-2017-BT-TP-0018.
---------------------------------------------------------------------------

    DOE relies on the term ``comparable'' as opposed to ``identical'' 
to indicate that for the purpose of representations, the components 
that impact energy consumption as measured by the applicable test 
procedure are the relevant components to consider--differences such as 
unit color and presence of utility outlets would not warrant separate 
OCMGs.
    The use of the OCMG concept results in representations being based 
on the same individual models as the approach proposed in the December 
2021 SNOPR, i.e., the represented values of performance are 
representative of the individual model(s) with the lowest efficiency 
found within the basic model, excluding certain individual models with 
the specific components listed in Table 1 of 10 CFR 429.43. Further, 
the approach as adopted in this final rule is structured to more 
explicitly address individual models with more than one of the specific 
components listed in Table 1 of 10 CFR 429.43, as well as instances in 
which there is no comparable model without any of the specified 
components.
    In response to the December 2021 SNOPR, DOE also received comments 
regarding the inclusion or exclusion of specific components in Table 1 
of 10 CFR 429.43, as discussed in the following sections.
(1) Furnaces
    In the December 2021 SNOPR, DOE proposed that furnaces would be a 
specific component specified in 10 CFR 429.43 for exclusion, consistent 
with the treatment of this feature in AHRI 920-2020. Therefore, if a 
manufacturer includes individual models distributed in commerce without 
furnaces within the same basic model as individual models distributed 
in commerce with a furnace, manufacturers would be able to determine 
represented values for the basic model based on the performance of an 
individual model without a furnace installed if it complies with the 
requirements discussed in section III.F.2.d of this document. 86 FR 
72874, 72870-72880.
    The CA IOUs commented that DOE's proposal for allowing furnaces to 
be specific components that are optional for testing is not consistent 
with the approach in AHRI 340/360-2019. They urged DOE to consider the 
measurable energy consumption impact of mandating the inclusion of 
furnaces during testing and stated the importance of such a mandate is 
evidenced via the efficiency level differences between equipment with 
electric resistance heating or no heating, and with all other types of 
heating, as set forth in Table 3 to 10 CFR 431.97 titled ``Updates to 
the Minimum Cooling Efficiency Standards for Air Conditioning and 
Heating Equipment.'' (CA IOUs, No. 31, p. 2)
    ASAP and NYSERDA urged DOE to remove furnaces from the list of 
specified excluded components and expressed concerns with DOE's 
proposal. (ASAP and NYSERDA, No. 32, p. 1) Specifically, ASAP and 
NYSERDA asserted that classifying a furnace a specified excluded 
component will permit testing that generates ratings that are not 
representative of the typical energy use of many DX-DOASes, and that 
the pressure drop of the furnace will not be accounted for. They also 
noted that for CUAC/HPs, DOE's energy conservation standards account 
for the impact of the presence of a gas furnace by including different 
equipment classes for units with and without furnaces. Id.
    Similarly, NEEA recommended DOE remove furnaces as an excluded 
component and align with the CUAC/HP requirements for testing with 
furnaces installed. (NEEA, No. 35, p. 5) NEEA also suggested that DOE 
consider test procedures that reflect whole energy use, instead of 
having separate test procedures and metrics for furnaces and DX-DOASes, 
so that all features that impact energy use are accounted for. 
Specifically, NEEA stated that although the presence of the furnace may 
not have a large impact on the moisture removal (ISMRE) rating, DOE's 
approach to continue testing heating and cooling systems in HVAC 
systems completely separately may mean that the rating is not 
accounting for all features that impact energy use (both

[[Page 45186]]

that could save energy, or that increase energy use). Id.
    DOE agrees that furnaces impose a pressure drop that may be greater 
than that of electric resistance heaters that may be used in DX-DOASes 
to provide reheat or heat in applications where furnaces are not 
utilized. DOE also recognizes that there may be an energy use impact 
associated with the greater airside pressure drop of a furnace as 
compared to an electric resistance heating element.
    Neither the ISMRE levels specified in ASHRAE 90.1-2016 for DX-
DOASes, nor the ISMRE2 levels proposed in the February 2022 ECS NOPR, 
take into consideration the additional energy use associated with 
furnace pressure drop. 87 FR 5560, 5564. DOE notes, however, that 
ASHRAE 90.1-2019 does not include separate equipment classes for DX-
DOASes with and without furnaces. Therefore, the approach adopted in 
this final rule is consistent with the equipment class structure of 
ASHRAE 90.1-2019. DOE encourages stakeholders to consider whether to 
require DX-DOASes with furnaces to be tested with the furnace installed 
and whether to establish separate classes with different ISMRE2 levels 
for such equipment during the next revision of AHRI 920 and the next 
update of ASHRAE 90.1.
    The amendments adopted in this final rule provide that 
representations, including those for certification of compliance, be 
based on individual models within the basic model that do not have a 
furnace installed, assuming such representation is consistent with the 
requirements established in this final rule, as discussed in III.F.2.d 
of this document.
(2) Coated Coils
    As previously mentioned, in the December 2021 SNOPR DOE proposed to 
not include coated coils in the specific components list specified in 
10 CFR 429.43 because DOE 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. 86 FR 72874, 
72880.
    AHRI and MIAQ commented that coil coatings should remain an 
optional system feature. (AHRI, No. 34, p. 4; MIAQ, No. 29, p. 4) They 
stated that if coil coatings remain an optional feature, this would be 
consistent with the basic model structure of CUAC/HPs rated using AHRI 
340/360-2019. They also stated that they support the flexibility to 
optionally include coated coils in a basic model or to create a unique 
basic model, depending on the impact on performance, and that each 
coating is different, and some do impact performance. Id. Similarly, 
Carrier did not support removing coated coils from the list of 
components that are exempted from testing. (Carrier, No. 30, p. 3) 
Carrier stated that alignment with AHRI 920-2020 by including the 
coated coil testing exemption can help streamline manufacturer 
certification and DOE enforcement of DX-DOAS energy conversation 
standards. Id
    DOE notes that AHRI and MIAQ's comment asserting that some coated 
coils do impact energy use suggests that there are other 
implementations of coated coils that do not impact energy consumption 
as measured by the adopted test procedure; i.e., the implementation of 
coated coils does not necessarily or inherently impact energy use. AHRI 
has not provided data indicating the range of impact for those coatings 
that do impact energy use, nor how other characteristics of the 
coatings such as durability and cost correlate with energy use impact. 
Absent such data, DOE is unable to determine the specific range of 
impact on energy use made by coated coils. Nevertheless, given that 
comments suggest that certain implementations of coated coils do not 
impact energy use, DOE has determined that for those DX-DOASes for 
which coated coils do impact energy use, representations should include 
that impact to provide full disclosure for commercial customers. As 
such, DOE is not incorporating coated coils into DOE's provisions 
specified in 10 CFR 429.43(a)(3) allowing for the exclusion of 
specified components when determining represented values, as discussed 
in section III.F.2 of this document.
e. Enforcement Provisions of 10 CFR 429.134
    As proposed, DOE sought to address DX-DOASes that include the 
specified excluded components both in the requirements for 
representation (i.e., 10 CFR 429.43) and as part of the equipment 
specific enforcement provisions for assessing compliance (i.e., 10 CFR 
429.143). 86 FR 72874, 72884-72887.
    Instruction on which units to test for the purpose of 
representations are addressed in 10 CFR 429.43. DOE has determined that 
including parallel enforcement provisions in 10 CFR 429.143 would be 
redundant and potentially cause confusion because DOE would select for 
enforcement only those individual models that are the basis for making 
basic model representations as specified in 10 CFR 429.43. Therefore, 
in this final rule DOE is providing the requirements for making 
representations of DX-DOAS that include the specified components in 10 
CFR 429.43, and is not including parallel direction in the enforcement 
provisions of 10 CFR 429.134 established in this final rule. However, 
DOE is finalizing the provision that allows enforcement testing of 
alternative individual models with specific components, if DOE cannot 
obtain for test the individual models without the components that are 
the basis of representation.
f. Testing Specially-Built Units That Are Not Distributed in Commerce
    In the December 2021 SNOPR, DOE noted that Section F2.4 of AHRI 
920-2020 includes a list of features that are optional for testing, and 
that this section further specifies the following general provisions 
regarding testing of units with specified components:
     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.

86 FR 72874, 72879.
    As mentioned in the December 2021 SNOPR, DOE tentatively determined 
that testing an otherwise identical unit that is not distributed in 
commerce and does not have the component (i.e., a ``specially built'' 
unit) would not provide ratings representative of equipment distributed 
in commerce and proposed not to include this option for testing 
specially built units in its certification and enforcement provisions. 
Id.
    Multiple stakeholders supported DOE's proposal to exclude the 
option to test specially built units that are not distributed in 
commerce. (CA IOUs, No. 31, p. 2; Carrier, No. 30, p. 2; ASAP and 
NYSERDA, No. 32, p. 1; NEEA, No. 35, p. 5) Specifically, the CA IOUs, 
NEEA, as well as ASAP and NYSERDA noted that testing specially built 
units would provide ratings not representative of equipment distributed 
in commerce.

[[Page 45187]]

(NEEA, No. 35, p. 5; CA IOUs, No. 31, p. 2; ASAP and NYSERDA, No. 32, 
p. 1) The CA IOUs additionally noted that it could yield test results 
that are not representative of an average use cycle. (CA IOUs, No. 31, 
p. 2)
    Based on DOE's tentative determination in the December 2021 SNOPR 
that testing specially built units would not provide ratings 
representative of equipment distributed in commerce and based on 
stakeholder comments, in this final rule, DOE is not adopting the 
option to test specially built units in its certification and 
enforcement provisions.

G. Determination of Represented Values

    In addition to the issues related to representations discussed in 
the prior section, DOE's proposals addressed a number of additional 
issues specific to determination of represented values. These issues 
are discussed in the following paragraphs.
1. Basic Model
    In the July 2021 NOPR, DOE proposed a definition for a DX-DOAS 
basic model derived from the basic model definition for other 
commercial packaged air conditioning and heating equipment set forth at 
10 CFR 431.92, and requested comment on the proposed definition. 86 FR 
36018, 36044. Specifically, DOE proposed that in 10 CFR 431.92, a basic 
model for a DX-DOAS would mean all units manufactured by one 
manufacturer 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), and 
with a common ``nominal'' moisture removal capacity. Id.
    AHRI recommended that the definition be amended consistent with the 
definition in AHRI 920-2020 appendix F, which specifies that rated 
``nominal'' moisture removal capacity is determined at condition A of 
AHRI 920-2020. AHRI also recommended that the term ``nominal'' be 
defined consistent with AHRI 920-2020, as ``products with the same 
advertised MRC'' so that products are grouped correctly for regulatory 
purposes. (AHRI, No. 22, p. 8)
    MIAQ supported defining these terms as defined in AHRI 920-2020. 
(MIAQ, No. 19, p. 4) Carrier supported DOE's proposed definition of 
basic model for DX-DOAS units. (Carrier, No. 20, p. 3)
    The basic model definition for small, large, and very large air-
cooled 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. 10 CFR 431.92. DOE also uses 
similar terminology for the basic model definition of computer room air 
conditioners, variable refrigerant flow systems, and small, large, and 
very large water source heat pumps. Id. DOE is unaware of any issues in 
defining this equipment using the term ``nominal'' without reference to 
conditions. As such, DOE determines that changes to the definition of 
basic model as it relates DX-DOAS and as proposed in the July 2021 NOPR 
are not warranted. Therefore, DOE is adopting the DX-DOAS basic model 
definition presented in the July 2021 NOPR (i.e., that for DX-DOASes, 
basic model means all units manufactured by one manufacturer 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), and with a common ``nominal'' 
moisture removal capacity).
2. Sampling Plan Requirements
    As previously mentioned, DOE is defining DX-DOAS as a category of 
unitary DOAS and is defining unitary DOAS as a category of small, 
large, or very large commercial package air conditioning and heating 
equipment. In the July 2021 NOPR, DOE proposed to apply the same 
sampling requirements to DX-DOASes as the sampling requirements 
applicable to other commercial package air conditioning and heating 
equipment under 10 CFR 429.43. 86 FR 36018, 36044.
    Carrier and the CA IOUs supported DOE's proposal in the July 2021 
NOPR. (Carrier, No. 20, p. 3; CA IOUs, No. 25, p. 3) The CA IOUs stated 
that manufacturers of other types of small, large, or very large 
commercial package air conditioning and heating equipment are able to 
comply with the sampling requirements set forth by DOE.
    AHRI stated that while DOE's proposal for DX-DOAS sampling 
requirements appears appropriate, there is a lack of test data using 
AHRI 920-2020 to support the proposal and stated that current testing 
technology may not support this level of precision. AHRI recommended 
that DOE issue an SNOPR after ASHARE Standard 90.1-2022 publishes to 
allow manufacturers to test and rate equipment for an informed 
determination of the sampling plan requirements. (AHRI, No. 22, pp. 8-
9) MIAQ recommended requiring two systems with 90percent confidence 
level for the sampling plan of DX-DOASes. (MIAQ, No. 19, p. 4)
    DOE notes that the confidence level currently used for small, 
large, or very large commercial package air conditioning and heating 
equipment is 95 percent, which is higher than the 90 percent suggested 
by MIAQ. 10 CFR 429.43(A)(2). MIAQ did not provide data supporting a 90 
percent confidence level, and DOE does currently have any data to 
support lowering the confidence level from 95 percent to 90 percent.
    Although, DOE agrees with AHRI that there is not a significant 
amount of DX-DOAS performance data available that is based on testing 
to AHRI 920-2020, DOE has determined that the test procedure DOE is 
adopting does not assess performance in an inherently different manner 
than the test procedures for other small, large, or very large 
commercial package air conditioning and heating equipment. That is, 
performance for both DOAS and other categories of such equipment are 
measured using the measurement techniques generally described in ANSI/
ASHRAE 37-2009. Specifically, capacity is determined by measurement of 
airflow using air flow nozzles, and measurement of air entering and 
leaving conditions using temperature sensors and devices to measure 
moisture content of the air, typically psychrometers. The accuracy 
requirements for these measurements are consistent for the two 
equipment categories. Further, the equipment components and 
manufacturing techniques used to produce the equipment are generally 
the same. Thus, the two key factors affecting uncertainty of 
measurement are consistent with each other for the two equipment 
categories, which suggests that using the same sample plan statistics, 
such as a 95 percent confidence interval, is appropriate. For the 
reasons discussed and presented in the July 2021 NOPR, DOE is adopting 
in 10 CFR 429.43, the sampling plan requirements proposed in the July 
2021 NOPR, which are consistent with the sampling requirements for 
small, large, or very large commercial package air conditioning and 
heating equipment.
3. Multiple Refrigerants
    In the July 2021 NOPR, DOE noted that some commercial package air 
conditioning and heating equipment may be sold with more than one 
refrigerant option, and that DOE has identified at least one commercial 
package air conditioning and heating equipment manufacturer that 
provides two refrigerant options under the same model number. 86 FR 
36018, 36044.

[[Page 45188]]

DOE noted that the use of a refrigerant that requires different 
hardware (such as R-407C as compared to R-410A) would represent a 
different basic model, and according to the current CFR, separate 
representations of energy efficiency are required for each basic model. 
DOE also noted that some refrigerants (such as R-422D and R-427A) would 
not require different hardware, and a manufacturer may consider them to 
be the same basic model.
    In the July 2021 NOPR, DOE requested comment on a proposal to add a 
new paragraph at 10 CFR 429.43(a)(3) specifying that a manufacturer 
must determine the represented values for that basic model based on the 
refrigerant(s)--among all refrigerants listed on the unit's nameplate--
that result in the lowest ISMRE2 and ISCOP2 efficiencies, respectively. 
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. Id.
    AHRI, the Joint Advocates, the CA IOUs, Carrier, and MIAQ stated 
that they support DOE's proposal in the July 2021 NOPR. (AHRI, No. 22, 
p. 9; Joint Advocates, No. 21, p. 2; CA IOUs, No. 25, p. 5; Carrier, 
No. 20, p. 4; MIAQ, No. 19, p. 4; MIAQ, No. 19, p. 6)
    As discussed in section III.F.2 of this final rule, DOE is 
clarifying in 10 CFR 429.43(a)(3)(i)(A) that representations for a DX-
DOAS basic model must be based on the least efficient individual 
model(s) distributed in commerce within the basic model (with the 
exception specified in 10 CFR 429.43(a)(3)(i)(A) for certain individual 
models with the components listed in Table 1 of 10 CFR 429.43; this 
list does not include different refrigerants). Upon further 
consideration, DOE has determined that the proposal in the July 2021 
NOPR regarding multiple refrigerants is already included substantively 
in the provision adopted at 10 CFR 429.43(a)(3)(i)(A), and that the 
refrigerant-specific provisions proposed in the July 2021 NOPR at 10 
CFR 429.43(a)(3) would be redundant. As such, in this final rule, DOE 
is not adopting the refrigerant specific language proposed in the July 
2021 SNOPR.
    MIAQ noted that the industry has petitioned the EPA to implement a 
January 1, 2025 compliance date for the transition to refrigerants with 
a global warming potential less than 750 associated with the AIM Act. 
MIAQ requested that DOE's compliance date for energy conservation 
standards be no sooner than this date due to the complexity and expense 
of the refrigerant transition. (MIAQ, No. 19, p. 6) MIAQ stated that a 
compliance date sooner than January 1, 2025 would result in the 
industry not having sufficient time to test and certify product 
portfolios with current refrigerants prior to beginning this effort a 
second time with a next-generation refrigerant. Id. MIAQ also 
reiterated this in their response to the December 2021 SNOPR, adding 
that DOAS equipment is complex, expensive, and requires substantial 
time to test and certify per required test procedures, and that setup 
time alone can take as much one week per basic model. (MIAQ, No. 29, p. 
4)
    As previously mentioned, DOE has separately initiated a rulemaking 
to analyze DX-DOAS energy conservation standards and has most recently 
published the February 2022 ECS NOPR. DOE will determine the 
appropriate compliance date should DOE adopt DX-DOAS standards, in that 
ongoing rulemaking.
4. Alternative Energy-Efficiency Determination Methods
    By establishing DX-DOASes as a subset of unitary-DOASes, and by 
establishing unitary-DOASes as a category of small, large, or very 
large commercial package air conditioning and heating equipment, the 
provisions of 10 CFR 429.43 authorizing use of an alternative energy-
efficiency determination method (``AEDM'') for commercial HVAC 
equipment would apply to DX-DOASes. In the July 2021 NOPR, DOE proposed 
to allow DX-DOAS manufacturers to use AEDMs for determining the ISMRE2 
and ISCOP2 (if applicable) in accordance with 10 CFR 429.70. 86 FR 
36018, 36044. DOE proposed to create four validation classes of DX-
DOASes within the Validation classes table at 10 CFR 429.70(c)(2)(iv): 
air-cooled/air-source and water-cooled/water-source, each with and 
without VERS (i.e., 8 validation classes in total). DOE also proposed 
to require testing of two basic models to validate the AEDMs for each 
validation class. Finally, DOE proposed to specify in the table at 10 
CFR 429.70(c)(5)(vi) a tolerance of 10-percent for DX-DOAS verification 
tests for ISMRE2 and ISCOP2 when comparing test results with certified 
ratings. Id. These proposals are consistent with the treatment of other 
categories of commercial package air-conditioning and heating 
equipment.
    Carrier supported the proposed AEDM requirements and a 10-percent 
tolerance for comparison of test results and rated values. (Carrier, 
No. 20, p. 4) AHRI noted that heat pump units may be considered as 
separate basic model groups from the cooling-only units, and therefore 
the number of tests required for AEDM validation would be 16 (i.e., 
double the count from the July 2021 NOPR). (AHRI, No. 22, p. 9) AHRI 
also recommended that when manufacturers use Option 2 on units with the 
same cooling section design, separate AEDMs should not be required for 
products with and without VERS, stating that this would be technically 
consistent with the test procedure and would reduce the testing burden 
on manufacturers. Additionally, AHRI stated that the appropriateness of 
the 10-percent tolerance for AEDM verification could not be confirmed 
without sufficient test data collection, which has not yet occurred, 
and that this would amount to further reason for DOE to delay its test 
procedure rulemaking until AHRI 920-2020 is adopted by ASHRAE 90.1. Id. 
MIAQ similarly expressed concern if a 10-percent tolerance is 
appropriate. (MIAQ, No. 19, p. 5)
    DOE notes that the validation classes for other small, large, and 
very large commercial package air conditioning and heating equipment do 
not separate heat pumps and air conditioners into separate validation 
classes. DOE has no reason to suggest that separating these into 
separate validation classes for DX-DOASes would be more appropriate, or 
result in a more representative AEDM. Absent any evidence to support 
establishing another set of validation classes for DX-DOAS heat pumps, 
DOE is not establishing a separate set of validation classes for this 
equipment.
    Furthermore, DOE has determined that establishing a single 
validation class for units with and without VERS is not appropriate. 
The range of air conditions entering a DX-DOAS without VERS is much 
broader than the range of air conditions entering a unit with VERS, 
hence it is expected that validation of an AEDM by testing two models 
with VERS would be a less rigorous validation than testing two models 
without VERS. Hence, although DOE has determined that a separate 
validation class for units with VERS is necessary for this reason, the 
AEDM requirements as finalized in this final rule allow manufacturers 
to use an AEDM developed for models without VERS to develop 
representations for models with VERS.
5. Rounding
    In the July 2021 NOPR, DOE requested comment on its proposal to 
adopt in section 2.2.1(c)(iv) of appendix B the rounding requirements 
for DX-DOAS performance metrics specified in

[[Page 45189]]

Sections 6.1.2.1 through 6.1.2.8 of AHRI 920-2020. 86 FR 36018, 36045. 
This included rounding requirements for the following: COP, electrical 
power input, ISCOP2, ISMRE2, MRC, MRE, total heating capacity, supply 
air temperature, and due point temperature.
    In response to the July 2021 NOPR, DOE received comment from AHRI, 
Carrier, and MIAQ supporting DOE's proposal to adopt the rounding 
requirements in AHRI 920-2020. (AHRI, No. 22, p. 10; Carrier, No. 20, 
p. 4; MIAQ, No. 19, p. 5) For the reasons discussed in the July 2021 
NOPR, DOE is adopting the rounding requirements specified in Sections 
6.1.2.1 through 6.1.2.8 of AHRI 920-2020 in section 2.2.1(c)(iv) of the 
proposed appendix B.

H. Effective and Compliance Dates

    The effective date for the adopted test procedure will be 30 days 
after publication of this final rule in the Federal Register. EPCA 
prescribes that all representations of energy efficiency and energy 
use, including those made on marketing materials and product labels, 
must be made in accordance with an amended test procedure, beginning 
360 days after publication of the final rule in the Federal Register. 
(42 U.S.C. 6314(d)(1))

I. Test Procedure Costs

    In the July 2021 NOPR, DOE tentatively determined that DOE's 
proposed test procedure is consistent with current industry practice, 
and, therefore, manufacturers would not be expected to incur any 
additional costs. 86 FR 36018, 36046-36047. Importantly, DOE noted that 
the adoption of the test procedure proposed in the July 2021 NOPR would 
not require manufacturers to certify ratings to DOE, and that DOE would 
address certification as part of a separate rulemaking. Id.
    DOE also tentatively determined in the July 2021 NOPR that the 
extent to which DOE is making modifications to the industry consensus 
test procedure (AHRI 920-2020), DOE is consistent with the industry 
consensus standard; and that absent such modifications, the industry 
test procedure would not meet the requirements in 42 U.S.C. 6314(a)(2) 
and (3) related to representative use and test burden. (42 U.S.C. 
6314(a)(4)(B) and (C)). Id. Additionally, DOE determined that the 
modifications to AHRI 920-2020 proposed in the July 2021 NOPR would be 
unlikely to significantly increase burden, given that DOE is 
referencing the prevailing industry test procedure. Therefore, 
presuming widespread usage of that test standard, DOE determined that 
its adoption as part of the Federal test procedure would be expected to 
result in little additional cost, even with the minor modifications 
proposed. DOE also determined that the test procedure would not require 
manufacturers to redesign any of the covered equipment, would not 
require changes to how the equipment is manufactured, and would not 
impact the utility of the equipment. Id.
    In the July 2021 NOPR, DOE requested comment on its understanding 
of the impact the test procedure proposals in the NOPR, specifically on 
DOE's conclusion that manufacturers would not incur any additional 
costs. 86 FR 36018, 36047.
    AHRI, Carrier, and MIAQ agreed that manufacturers would not incur 
any additional costs due to the proposed DOE test procedure compared to 
current industry practices. (AHRI, No. 22, p. 10; Carrier, No. 20, p. 
4; MIAQ, No. 19, p. 5) Carrier requested that DOE consider laboratory 
infrastructure capital costs when evaluating testing costs, stating 
that there is uncertainty as to whether test facilities can accommodate 
DX-DOASes with capacities as high as 324 lb/h. Carrier expressed 
concerns about testing units with VERS per the Option 1 methodology 
(which requires an additional psychrometric chamber) and stated that 
even Option 2 introduces additional complexity. Carrier recommended 
that, if there is a lack of testing capability for units with VERS, DOE 
should revise the definition of a basic model to not include VERS so 
that the performance of models with VERS can be represented using 
AEDMs. (Carrier, No. 20, p. 5)
    The CA IOUs supported DOE permitting DX-DOASes with VERS to be 
tested under the Option 2 configuration for the time being in order to 
limit manufacturer test burden. The CA IOUs speculated that Option 1 
may result in more accurate ratings. (CA IOUs, No. 25, p. 2) 
Additionally, in the August 2021 public meeting, AHRI noted that test 
laboratories have mostly overcome limitations that previously posed 
challenges to testing DX-DOASes according to AHRI 920. (AHRI, No. 18, 
p. 23)
    Consistent with what DOE determined in the July 2021 NOPR, DOE has 
determined that by incorporating by reference the revised industry test 
standard, AHRI 920-2020, with certain modifications, the test procedure 
DOE is establishing (appendix B) is consistent with the industry 
standard and will not add undue industry test burden or incur any 
additional tests costs.

IV. Procedural Issues and Regulatory Review

A. Review Under Executive Order 12866

    Executive Order (``E.O.'') 12866, ``Regulatory Planning and 
Review,'' as supplemented and reaffirmed by E.O. 13563, ``Improving 
Regulation and Regulatory Review, 76 FR 3821 (Jan. 21, 2011), requires 
agencies, to the extent permitted by law, to (1) propose or adopt a 
regulation only upon a reasoned determination that its benefits justify 
its costs (recognizing that some benefits and costs are difficult to 
quantify); (2) tailor regulations to impose the least burden on 
society, consistent with obtaining regulatory objectives, taking into 
account, among other things, and to the extent practicable, the costs 
of cumulative regulations; (3) select, in choosing among alternative 
regulatory approaches, those approaches that maximize net benefits 
(including potential economic, environmental, public health and safety, 
and other advantages; distributive impacts; and equity); (4) to the 
extent feasible, specify performance objectives, rather than specifying 
the behavior or manner of compliance that regulated entities must 
adopt; and (5) identify and assess available alternatives to direct 
regulation, including providing economic incentives to encourage the 
desired behavior, such as user fees or marketable permits, or providing 
information upon which choices can be made by the public. DOE 
emphasizes as well that E.O. 13563 requires agencies to use the best 
available techniques to quantify anticipated present and future 
benefits and costs as accurately as possible. In its guidance, the 
Office of Information and Regulatory Affairs (``OIRA'') in the Office 
of Management and Budget (``OMB'') has emphasized that such techniques 
may include identifying changing future compliance costs that might 
result from technological innovation or anticipated behavioral changes. 
For the reasons stated in the preamble, this proposed/final regulatory 
action is consistent with these principles.
    Section 6(a) of E.O. 12866 also requires agencies to submit 
``significant regulatory actions'' to OIRA for review. OIRA has 
determined that this final regulatory action does not constitute a 
``significant regulatory action'' under section 3(f) of E.O. 12866. 
Accordingly, this action was not submitted to OIRA for review under 
E.O. 12866.

B. Review Under the Regulatory Flexibility Act

    The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) requires 
preparation

[[Page 45190]]

of a final regulatory flexibility analysis (FRFA) for any final rule 
where the agency was first required by law to publish a proposed rule 
for public comment, unless the agency certifies that the rule, if 
promulgated, will not have a significant economic impact on a 
substantial number of small entities. As required by Executive Order 
13272, ``Proper Consideration of Small Entities in Agency Rulemaking,'' 
67 FR 53461 (August 16, 2002), DOE published procedures and policies on 
February 19, 2003 to ensure that the potential impacts of its rules on 
small entities are properly considered during the DOE rulemaking 
process. 68 FR 7990. DOE has made its procedures and policies available 
on the Office of the General Counsel's website: energy.gov/gc/office-general-counsel.
    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. 86 FR 36050. 
Based on stakeholder feedback, DOE revised its small business count to 
one domestic small business in the December SNOPR. DOE still 
tentatively concludes that the proposed test procedure in that NOPR 
would not present a significant burden to small manufacturers. 86 FR 
72280. DOE reviewed this final rule under the provisions of the 
Regulatory Flexibility Act and the policies and procedures published on 
February 19, 2003. The following sections detail DOE's FRFA for this 
test procedure rulemaking.
1. Need for, and Objective of, the Rule
    The Energy Policy and Conservation Act, as amended (``EPCA''),\38\ 
authorizes DOE to regulate the energy efficiency of a number of 
consumer products and certain industrial equipment. (42 U.S.C. 6291-
6317) Title III, Part C \39\ 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))
---------------------------------------------------------------------------

    \38\ All references to EPCA in this document refer to the 
statute as amended through the Infrastructure Investment and Jobs 
Act, Public Law 117-58 (Nov. 15, 2021).
    \39\ For editorial reasons, upon codification in the U.S. Code, 
Part C was redesignated Part A-1.
---------------------------------------------------------------------------

    DOE undertook this test procedure rulemaking to establish a DOE 
test procedure for DX-DOASes in response to updates to the relevant 
industry consensus standard, ASHRAE 90.1, Energy Standard for Buildings 
Except Low-Rise Residential Buildings, which, with its 2016 
publication, both added efficiency standards and specified a test 
procedure for this equipment (i.e., ANSI/AHRI 920-2015). As noted, DOE 
is adopting the updated version of that test procedure, AHRI 920-2020, 
with modifications, to ensure that the Federal test procedure for DX-
DOASes meet the representativeness and burden requirements of 42 U.S.C. 
6314(a)(2) and (3).
2. Significant Issues Raised in Response to the Initial Regulatory 
Flexibility Analysis
    In the July 2021 NOPR, DOE requested comment on its proposal of the 
testing costs and timing of testing costs described in the IRFA. 86 FR 
36018, 36050. In response to the July 2021 NOPR, AHRI expressed concern 
that having different metrics cited in ASHRAE Standard 90.1 and in the 
DOE's energy conservation standards would introduce additional costs of 
compliance from disharmonized requirements, and that these costs would 
be felt more acutely by small manufacturers. AHRI requested DOE delay 
its rulemaking until after ASHRAE 90.1 is updated to reflect AHRI 920-
2020 as the new test procedure and include adjusted efficiency 
standards. (AHRI, No. 22, p. 11). Furthermore, MIAQ asserted that DOE 
does not have the authority to adopt AHRI 920-2020 as the national test 
procedure. MIAQ requested that DOE wait for AHRI 920-2020 and to be 
adopted in ASHRAE Standard 90.1 and for energy conservation standard 
levels to be established using the new metrics before finalizing this 
test procedure rulemaking. (MIAQ, No. 19, p. 6)
    The CA IOUs expressed that there would be little value in delaying 
the finalization of a test procedure for DX-DOASes because an industry 
test procedure has been established with broad stakeholder engagement. 
(CA IOUs, No. 25, p. 2) The CA IOUs supported DOE's proposal to 
incorporate AHRI 920-2020 by reference, along with slight 
modifications, and encouraged DOE to expeditiously finalize the test 
procedure for DX-DOAS. The CA IOUs stated that DOE was triggered to 
review the coverage of DX-DOAS equipment as a result of ASHRAE 90.1-
2016 (and to adopt standards for DX-DOASes within 18 months of the 
inclusion of DX-DOAS standards in ASHRAE 90.1-2016). (CA IOUs, No. 25, 
p. 1-2) The CA IOUs also stated that AHRI 920-2020 is the industry 
consensus test procedure for DX-DOAS equipment, and that it was 
developed through a collaborative process with a range of stakeholders. 
(CA IOUs, No. 25, p. 1)
    As discussed in section III.C of this DX-DOAS test procedure final 
rule, DOE disagrees with assertions by commenters that it lacks the 
authority to adopt AHRI 920-2020. As discussed, ASHRAE 90.1-2016 for 
the first time included provisions specific to DX-DOASes. This 
triggered DOE's review of these new provisions to establish initial 
Federal energy conservation standards and test procedures for DX-
DOASes. With respect to small, large, and very large commercial package 
air conditioning and heating equipment, EPCA directs that the test 
procedures shall be those generally accepted industry testing 
procedures or rating procedures developed or recognized by AHRI or by 
ASHRAE, as referenced in ASHRAE Standard 90.1. (42 U.S.C. 
6314(a)(4)(A)). In this instance, the industry test procedure 
referenced in Standard 90.1 is AHRI 920-2015.
    However, contrary to the commenters' suggestions, that is not the 
limit of DOE's considerations under EPCA for purposes of establishing 
the initial Federal test procedure for DX-DOASes. DOE must also ensure 
that test procedures established under 42 U.S.C. 6314 are reasonably 
designed to produce test results which reflect energy efficiency, 
energy use, and estimated operating costs during a representative 
average use cycle and are not unduly burdensome to conduct. (42 U.S.C. 
6314(a)(2)) When first establishing a Federal test procedure for small, 
large, and very large commercial package air conditioning and heating 
equipment, nothing in 42 U.S.C. 6314 precludes DOE from deviating from 
the industry test procedure referenced in Standard 90.1 where DOE 
determines said industry test procedure does not meet the 
representativeness and burden requirements in 42 U.S.C. 6314(a)(2) and 
another test procedure is better able to produce results representative 
of an average use cycle and is not unduly burdensome to conduct.
    In this instance, the industry test procedure referenced in 
Standard 90.1, AHRI 920-2015, has been superseded in the intervening 
years since DOE was first triggered to review the DX-DOAS provisions of 
Standard 90.1-2016. DOE acknowledges that DOE has previously stated 
that it will only consider an update to ASHRAE Standard 90.1 that 
modifies the referenced industry test procedure to be a trigger under 
the statute, as opposed to an update of just the industry test 
procedure itself. (See

[[Page 45191]]

e.g., 86 FR 35668, 35676 (July 7, 2021)). But that does not preclude 
DOE from considering the updated version of the industry test procedure 
(i.e., AHRI 920-2020) when first establishing the DOE Federal test 
procedures where the referenced test procedure (AHRI 920-2015) does not 
meet the requirements of 42 U.S.C. 6314(a)(2).
    For the reasons discussed in section III.C of this final rule, DOE 
has determined that AHRI 920-2015 is not reasonably designed to produce 
test results which reflect energy efficiency of DX-DOASes during a 
representative average use cycle and some components of AHRI 920-2015 
are unnecessarily burdensome. AHRI 920-2020 resolves these flaws in 
AHRI 920-2015 and is better able to produce representative results with 
less burden. Accordingly, DOE has adopted AHRI 920-2020, with 
modifications, in this final rule.
    Carrier requested that DOE consider laboratory infrastructure 
capital costs when evaluating testing costs, stating that there is 
uncertainty as to whether test facilities can accommodate DX-DOASes 
with capacities as high as 324 lb/h. Carrier expressed concerns about 
testing units with VERS per the Option 1 methodology (which requires an 
additional psychrometric chamber) and stated that even Option 2 
introduces additional complexity. Carrier recommended that, if there is 
a lack of testing capability for units with VERS, DOE should revise the 
definition of a basic model to not include VERS so that the performance 
of models with VERS can be represented using AEDMs. (Carrier, No. 20, 
p. 5)
    The CA IOUs supported DOE permitting DX-DOASes with VERS to be 
tested under the Option 2 configuration for the time being in order to 
limit manufacturer test burden. The CA IOUs speculated that Option 1 
may result in more accurate ratings. (CA IOUs, No. 25, p. 2) 
Additionally, in the August 2021 public meeting, AHRI noted that test 
laboratories have mostly overcome limitations that previously posed 
challenges to testing DX-DOASes according to AHRI 920. (AHRI, No. 18, 
p. 23)
    AHRI, Carrier, and MIAQ agreed with DOE's assessment that 
manufacturers would not incur any additional costs due to the proposed 
DOE test procedure compared to current industry practices. (AHRI, No. 
22, p. 10; Carrier, No. 20, p. 4; MIAQ, No. 19, p. 5)
    As discussed in section III.I of the DX-DOAS test procedure final 
rule, DOE has determined that by incorporating by reference the revised 
industry test standard, AHRI 920-2020, with certain modifications, the 
test procedure DOE is establishing (appendix B) is consistent with the 
industry standard. Therefore, DOE has concluded that the DX-DOAS test 
procedure outlined in this final rule is consistent with the industry 
standard and that it will not add undue industry test burden or cause 
manufactures to incur any additional tests costs, including small 
businesses.
3. Description and Estimate of the Number of Small Entities Affected
    For manufacturers of small, large, and very large air-conditioning 
and heating equipment (including DX-DOASes), commercial warm-air 
furnaces, and commercial water heaters, the Small Business 
Administration (``SBA'') has set a size threshold which defines those 
entities classified as ``small businesses''. DOE used the SBA's small 
business size standards to determine whether any small entities would 
be subject to the requirements of this rule. See 13 CFR part 121. The 
equipment covered by this final rule are classified under North 
American Industry Classification System (``NAICS'') code 333415,\40\ 
``Air-Conditioning and Warm Air Heating Equipment and Commercial and 
Industrial Refrigeration Equipment Manufacturing.'' In 13 CFR 121.201, 
the SBA sets a threshold of 1,250 employees or fewer for an entity to 
be considered as a small business for this category.
---------------------------------------------------------------------------

    \40\ The business size standards are listed by NAICS code and 
industry description and are available at: www.sba.gov/document/support--table-size-standards (Last Accessed July 29th, 2021).
---------------------------------------------------------------------------

    In reviewing the DX-DOAS market, DOE used company websites, 
marketing research tools, product catalogues, and other public 
information to identify companies that manufacture DX-DOASes. DOE 
screened out companies that do not meet the definition of ``small 
business'' or are foreign-owned and operated. DOE used subscription-
based business information tools to determine headcount, revenue, and 
geographic presence of the small businesses.
    As noted in the December 2021 SNOPR, DOE initially identified 16 
manufacturers of DX-DOASes, of which three met the definition of a 
domestic small businesses. Based on stakeholder feedback, DOE revised 
its count to 12 manufacturers of DX-DOASes, of which one was identified 
as a domestic small business. 86 FR 72874, 72880.
    Out of these 12 OEMs, DOE determined that there is one domestic 
small manufacturer. DOE understands the annual revenue of the small 
manufacturer to be approximately $66 million.
4. Description of Compliance Requirements
    In this final rule, DOE establishes a definition for unitary DOAS 
as a category of commercial package air conditioning and heating 
equipment and adopts a new test procedure for DX-DOASes, a subset of 
unitary DOASes, consistent with the current industry consensus test 
standard. This test procedure applies to all DX-DOASes for which ASHRAE 
90.1-2019 specifies standards, with the exception of ground-water-
source DX-DOASes. More specifically, DOE is updating 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 
920-2020, and the relevant industry standards referenced therein; (2) 
establish the scope of coverage for the DX-DOAS test procedure; (3) add 
definitions for unitary DOASes and DX-DOASes, as well as additional 
terminology required by the test procedure; (4) adopt ISMRE2 and ISCOP2 
as measured according to the most recent applicable industry standard, 
as energy efficiency descriptors for dehumidification and heating mode, 
respectively; (5) provide instructions for testing DX-DOASes with 
certain specific components; and (6) establish representation 
requirements. DOE is also adding a new appendix B to subpart F of part 
431, titled ``Uniform test method for measuring the energy consumption 
of dehumidifying direct expansion-dedicated outdoor air systems,'' 
(``appendix B'') that includes the new test procedure requirements for 
DX-DOASes. In conjunction, DOE is amending Table 1 in 10 CFR 431.96 to 
specify the newly added appendix B as the applicable test procedure for 
testing DX-DOASes. DOE has determined that the adopted test procedure 
will not be unduly burdensome to conduct.
    DOE also tentatively determined in the July 2021 NOPR that the 
extent to which DOE is making modifications to the industry consensus 
test procedure (AHRI 920-2020), DOE is consistent with the industry 
consensus standard; and that the modifications are necessary, because 
absent such modifications, the industry test procedure would not meet 
the requirements in 42 U.S.C. 6314(a)(2) and (3) related to 
representative use and test burden. 86 FR 36018, 36046-36047. 
Additionally, DOE determined that the modifications to AHRI 920-2020 
proposed in the July 2021 NOPR would

[[Page 45192]]

be unlikely to significantly increase burden, given that DOE is 
referencing the prevailing industry test procedure. Therefore, 
presuming widespread usage of that test standard, DOE determined that 
its adoption as part of the Federal test procedure would be expected to 
result in little additional cost, even with the minor modifications 
proposed. DOE also determined that the test procedure would not require 
manufacturers to redesign any of the covered equipment, would not 
require changes to how the equipment is manufactured, and would not 
impact the utility of the equipment. Id.
    The testing of DX-DOASes as outlined in this final rule would not 
be required until 360 days after the issuance of this rule for 
representations made by manufacturers, or such time as DOE establishes 
DX-DOAS energy conservation standards. As such, the small manufacturer 
will have one year, at a minimum, to prepare for the testing detailed 
in this final rule should they not already be testing to AHRI 920-2020. 
Additionally, if the manufacturer is already testing to AHRI 920-2020, 
they would incur no additional costs as a result of this final rule.
    DOE determined the cost to rate all models should the small 
manufacturer not already be testing to AHRI 920-2020. In its review of 
AHRI 920-2020, DOE determined the cost for third-party lab testing of 
basic models to range from $10,000 to $23,500 depending on validation 
class, equipment capacity, and equipment configuration. However, 
manufacturers are not required to perform laboratory testing on all 
basic models. Manufacturers may use alternative energy-efficiency 
determination methods (``AEDMs'') for determining the ISMRE2 and ISCOP2 
(if applicable) in accordance with 10 CFR 429.70. An AEDM is a computer 
modeling or mathematical tool that predicts the performance of non-
tested basic models. These computer modeling and mathematical tools, 
when properly developed, can provide a relatively straight-forward and 
reasonably accurate means to predict the energy usage or efficiency 
characteristics of a basic model of a given covered product or 
equipment and reduce the burden and cost associated with testing. 
Consistent with the July 2021 initial regulatory flexibility analysis, 
DOE initially estimated an average cost of approximately $200,000 per 
small manufacturer to certify, when making use of an AEDM. 86 FR 36018, 
36049-36050. DOE estimates this to be less than 1percent of revenue for 
the small manufacturer. 86 FR 36018, 36049-36050.
5. Significant Alternatives Considered and Steps Taken To Minimize 
Significant Economic Impacts on Small Entities
    DOE reduces burden on manufacturers, including small businesses, by 
allowing AEDMs in lieu of physical testing all basic models. The use of 
computer modeling is more time-efficient than physical testing. Without 
AEDMs, DOE estimates the conservative case to rate all basic models 
would exceed $6 million for the small manufacturer, as compared to the 
$200,000 per small manufacturer in this final rule analysis.
    Additionally, DOE considered alternative test methods and 
modifications to the test procedure for DX-DOASes, and the Department 
has determined that there are no better alternatives than the 
modifications and test procedures proposed in this final rule, in terms 
of both meeting the agency's objectives and reducing burden. DOE 
examined relevant industry test standards, and the Department 
incorporated these standards in the proposed test procedures whenever 
appropriate to reduce test burden to manufacturers. Specifically, this 
final rule establishes a test procedure for DX-DOASes through 
incorporation by reference of AHRI 920-2020 with modifications that are 
not expected to increase test burden.
    Additionally, individual manufacturers may petition for a waiver of 
the applicable test procedure. (See 10 CFR 431.401.) Also, Section 504 
of the Department of Energy Organization Act, 42 U.S.C. 7194, provides 
authority for the Secretary to adjust a rule issued under EPCA in order 
to prevent ``special hardship, inequity, or unfair distribution of 
burdens'' that may be imposed on that manufacturer as a result of such 
rule. Manufacturers should refer to 10 CFR part 1003 for additional 
details.

C. Review Under the Paperwork Reduction Act of 1995

    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 10 CFR part 429, 10 
CFR part 430, and/or 10 CFR part 431. Certification reports provide DOE 
and consumers with comprehensive, up-to date efficiency information and 
support effective enforcement.
    DOE is not adopting certification or reporting requirements for DX-
DOASes in this final rule. 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 final rule, DOE establishes test procedure amendments that 
it expects will be used to develop and implement future energy 
conservation standards for DX-DOASes. DOE has determined that this rule 
falls into a class of actions that are categorically excluded from 
review under the National Environmental Policy Act of 1969 (42 U.S.C. 
4321 et seq.) and DOE's implementing regulations at 10 CFR part 1021. 
Specifically, DOE has determined that adopting test procedures for 
measuring energy efficiency of consumer products and industrial 
equipment is consistent with activities identified in 10 CFR part 1021, 
appendix A to subpart D, A5 and A6. Accordingly, neither an 
environmental assessment nor an environmental impact statement is 
required.

[[Page 45193]]

E. Review Under Executive Order 13132

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

F. Review Under Executive Order 12988

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

G. Review Under the Unfunded Mandates Reform Act of 1995

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

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

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

I. Review Under Executive Order 12630

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

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

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

K. Review Under Executive Order 13211

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

[[Page 45194]]

reasonable alternatives to the action and their expected benefits on 
energy supply, distribution, and use.
    This regulatory action is not a significant regulatory action under 
Executive Order 12866. Moreover, it would not have a significant 
adverse effect on the supply, distribution, or use of energy, nor has 
it been designated as a significant energy action by the Administrator 
of OIRA. Therefore, it is not a significant energy action, and, 
accordingly, DOE has not prepared a Statement of Energy Effects.

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

    Under section 301 of the Department of Energy Organization Act 
(Pub. L. 95-91; 42 U.S.C. 7101), DOE must comply with section 32 of the 
Federal Energy Administration Act of 1974, as amended by the Federal 
Energy Administration Authorization Act of 1977. (15 U.S.C. 788; 
``FEAA'') Section 32 essentially provides in relevant part that, where 
a proposed rule authorizes or requires use of commercial standards, the 
notice of proposed rulemaking must inform the public of the use and 
background of such standards. In addition, section 32(c) requires DOE 
to consult with the Attorney General and the Chairman of the Federal 
Trade Commission (``FTC'') concerning the impact of the commercial or 
industry standards on competition.
    The modifications to the test procedure for DX-DOASes adopted in 
this final rule incorporates testing methods contained in certain 
sections of the following commercial 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 has consulted with both the Attorney General 
and the Chairman of the FTC about the impact on competition of using 
the methods contained in these standards and has received no comments 
objecting to their use.

M. Congressional Notification

    As required by 5 U.S.C. 801, DOE will report to Congress on the 
promulgation of this rule before its effective date. The report will 
state that it has been determined that the rule is not a ``major rule'' 
as defined by 5 U.S.C. 804(2).

N. Description of Materials Incorporated by Reference

    In this final rule, DOE incorporates by reference the following 
test standards:
    (1) The test standard published by AHRI, titled ``2020 Standard for 
Performance Rating of Direct Expansion-Dedicated Outdoor Air System 
Units,'' AHRI Standard 920 (I-P)-2020. AHRI Standard 920 (I-P)-2020 is 
an industry-accepted test procedure for measuring the performance of 
DX-dedicated outdoor air system units. AHRI 920 (I-P)-2020 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 1060 (I-P)-2018. AHRI Standard 
1060 (I-P)-2018 is an industry-accepted test procedure for measuring 
the performance of air-to-air exchangers for energy recovery 
ventilation equipment. ANSI/AHRI Standard 1060 (I-P)-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/
ASHRAE 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/ASHRAE 
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.
    The following standards were previously approved for incorporation 
by reference in the section where they appear: AHRI 210/240-2008, AHRI 
340/360-2007, AHRI 390-2003, ASHRAE 127-2007, AHRI 1230-2010, ISO 
Standard 13256-1.

V. Approval of the Office of the Secretary

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

List of Subjects

10 CFR Part 429

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

10 CFR Part 431

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

Signing Authority

    This document of the Department of Energy was signed on July 14, 
2022, 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

[[Page 45195]]

the legal effect of this document upon publication in the Federal 
Register.

    Signed in Washington, DC, on July 15, 2022.
Treena V. Garrett,
Federal Register Liaison Officer, U.S. Department of Energy.

    For the reasons stated in the preamble, DOE amends parts 429 and 
431 of chapter II of title 10, Code of Federal Regulations as set forth 
below:

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

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

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


0
2. Amend Sec.  429.43 by adding paragraph (a)(3) to read as follows:


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

    (a) * * *
    (3) Product-specific provisions for determination of represented 
values. (i) Direct-expansion-dedicated outdoor air systems (DX-DOASes):
    (A) Individual model selection:
    (1) Representations for a basic model must be based on the least 
efficient individual model(s) distributed in commerce among all 
otherwise comparable model groups comprising the basic model, 
considering only individual models as provided in paragraph 
(a)(3)(i)(A)(2) of this section. For the purpose of this paragraph 
(a)(3), an ``otherwise comparable model group'' means a group of 
individual models distributed in commerce within the basic model that 
do not differ in components that affect energy consumption as measured 
according to the applicable test procedure specified at 10 CFR 431.96 
other than those listed in Table 1 to paragraph (a)(3) of this section. 
An otherwise comparable model group may include individual models 
distributed in commerce with any combination of the components listed 
in Table 1 (or none of the components listed in Table 1). An otherwise 
comparable model group may consist of only one individual model.
    (2) For a basic model that includes individual models distributed 
in commerce with components listed in Table 1 to paragraph (a)(3) of 
this section, the requirements for determining representations apply 
only to the individual model(s) of a specific otherwise comparable 
model group distributed in commerce with the least number (which could 
be zero) of components listed in Table 1 included in individual models 
of the group. Testing under this paragraph shall be consistent with any 
component-specific test provisions specified in section 2.2.2 of 
appendix B to subpart F of part 431.

                       Table 1 to Paragraph (a)(3)
------------------------------------------------------------------------
             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.
VERS Preheat......................  Electric resistance, hydronic, or
                                     steam heating coils used for
                                     preheating outdoor air entering a
                                     VERS.
------------------------------------------------------------------------

* * * * *

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) * * *

------------------------------------------------------------------------
                                      Minimum number of distinct models
         Validation class               that must be tested per AEDM
------------------------------------------------------------------------
Air-Cooled, Split and Packaged Air  2 Basic Models.
 Conditioners (ACs) and Heat Pumps
 (HPs) less than 65,000 Btu/h
 Cooling Capacity (3-Phase).
------------------------------------------------------------------------
                 (A) Commercial HVAC Validation Classes
------------------------------------------------------------------------
Air-Cooled, Split and Packaged ACs  2 Basic Models.
 and HPs greater than or equal to
 65,000 Btu/h Cooling Capacity and
 Less than 760,000 Btu/h Cooling
 Capacity.
Water-Cooled, Split and Packaged    2 Basic Models.
 ACs and HPs, All Cooling
 Capacities.
Evaporatively-Cooled, Split and     2 Basic Models.
 Packaged ACs and HPs, All
 Capacities.
Water-Source HPs, All Capacities..  2 Basic Models.
Single Package Vertical ACs and     2 Basic Models.
 HPs.
Packaged Terminal ACs and HPs.....  2 Basic Models.
Air-Cooled, Variable Refrigerant    2 Basic Models.
 Flow ACs and HPs.
Water-Cooled, Variable Refrigerant  2 Basic Models.
 Flow ACs and HPs.
Computer Room Air Conditioners,     2 Basic Models.
 Air Cooled.
Computer Room Air Conditioners,     2 Basic Models.
 Water-Cooled.
Direct Expansion-Dedicated Outdoor  2 Basic Models.
 Air Systems, Air-cooled or Air-
 source Heat Pump, Without
 Ventilation Energy Recovery
 Systems.
Direct Expansion-Dedicated Outdoor  2 Basic Models.
 Air Systems, Air-cooled or Air-
 source Heat Pump, With
 Ventilation Energy Recovery
 Systems.

[[Page 45196]]

 
Direct Expansion-Dedicated Outdoor  2 Basic Models.
 Air Systems, Water-cooled, Water-
 source Heat Pump, or Ground
 Source Closed-loop Heat Pump,
 Without Ventilation Energy
 Recovery Systems.
Direct Expansion-Dedicated Outdoor  2 Basic Models.
 Air Systems, Water-cooled, Water-
 source Heat Pump, or Ground
 Source Closed-loop Heat Pump,
 With Ventilation Energy Recovery
 Systems.
------------------------------------------------------------------------
             (B) Commercial Water Heater Validation Classes
------------------------------------------------------------------------
Gas-fired Water Heaters and Hot     2 Basic Models.
 Water Supply Boilers Less than 10
 Gallons.
Gas-fired Water Heaters and Hot     2 Basic Models.
 Water Supply Boilers Greater than
 or Equal to 10 Gallons.
Oil-fired Water Heaters and Hot     2 Basic Models.
 Water Supply Boilers Less than 10
 Gallons.
Oil-fired Water Heaters and Hot     2 Basic Models.
 Water Supply Boilers Greater than
 or Equal to 10 Gallons.
Electric Water Heaters............  2 Basic Models.
Heat Pump Water Heaters...........  2 Basic Models.
Unfired Hot Water Storage Tanks...  2 Basic Models.
------------------------------------------------------------------------
           (C) Commercial Packaged Boilers Validation Classes
------------------------------------------------------------------------
Gas-fired, Hot Water Only           2 Basic Models.
 Commercial Packaged Boilers.
Gas-fired, Steam Only Commercial    2 Basic Models.
 Packaged Boilers.
Gas-fired Hot Water/Steam           2 Basic Models.
 Commercial Packaged Boilers.
Oil-fired, Hot Water Only           2 Basic Models.
 Commercial Packaged Boilers.
Oil-fired, Steam Only Commercial    2 Basic Models.
 Packaged Boilers.
Oil-fired Hot Water/Steam           2 Basic Models.
 Commercial Packaged Boilers.
------------------------------------------------------------------------
                (D) Commercial Furnace Validation Classes
------------------------------------------------------------------------
Gas-fired Furnaces................  2 Basic Models.
Oil-fired Furnaces................  2 Basic Models.
------------------------------------------------------------------------
       (E) Commercial Refrigeration Equipment Validation Classes 1
------------------------------------------------------------------------
Self-Contained Open Refrigerators.  2 Basic Models.
Self-Contained Open Freezers......  2 Basic Models.
Remote Condensing Open              2 Basic Models.
 Refrigerators.
Remote Condensing Open Freezers...  2 Basic Models.
Self-Contained Closed               2 Basic Models.
 Refrigerators.
Self-Contained Closed Freezers....  2 Basic Models.
Remote Condensing Closed            2 Basic Models.
 Refrigerators.
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) * * *

------------------------------------------------------------------------
                                                            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 Cooling     Performance.
 Capacity.                          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.

[[Page 45197]]

 
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 Outdoor  Integrated Seasonal         10 (0.1)
 Air Systems.                        Coefficient of             10 (0.1)
                                     Performance 2.
                                    Integrated Seasonal
                                     Moisture Removal
                                     Efficiency 2.
Commercial Warm-Air Furnaces......  Thermal Efficiency..        5 (0.05)
Commercial Refrigeration 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. (1) If a basic 
model includes individual models with components listed at Table 1 of 
Sec.  429.43(a)(3) and DOE is not able to obtain an individual model 
with the least number (which could be zero) of those components within 
an otherwise comparable model group (as defined in Sec.  
429.43(a)(3)(i)(A)(1)), DOE may test any individual model within the 
otherwise comparable model group.
    (2) [Reserved].

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

0
5. 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
6. Amend Sec.  431.2 by revising the definition for ``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
7. Amend Sec.  431.92 by:
0
a. Revising the definition for ``Basic model''; and
0
b. Adding, in alphabetical order, definitions for ``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 revision 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 air-cooled 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

[[Page 45198]]

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 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, 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 and is 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
8. Section 431.95 is amended by:
0
a. Revising paragraphs (a) and (b);
0
b. Revising the introductory text of paragraph (c) and paragraph 
(c)(2);
0
c. Redesignating paragraphs (c)(3) and (4) as (c)(5) and (6); and
0
d. 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 incorporation by reference (IBR) material is available for 
inspection at DOE, and at the National Archives and Records 
Administration (NARA). Contact DOE at: the U.S. Department of Energy, 
Office of Energy Efficiency and Renewable Energy, Building Technologies 
Program, Sixth Floor, 950 L'Enfant Plaza SW, Washington, DC 20024, 
(202) 586-9127, [email protected], https://www.energy.gov/eere/buildings/building-technologies-office. For information on the 
availability of this material at NARA, email: [email protected], 
or go to: www.archives.gov/federal-register/cfr/ibr-locations.html. The 
material may be obtained from the sources in the following paragraphs 
of this section.
    (b) AHRI. Air-Conditioning, Heating, and Refrigeration Institute, 
2311 Wilson Blvd., Suite 400, Arlington, VA 22201; (703) 524-8800; 
www.ahrinet.org.
    (1) ANSI/AHRI Standard 210/240-2008 (AHRI 210/240-2008), ``2008 
Standard for Performance Rating of Unitary Air-Conditioning & Air-
Source Heat Pump Equipment,'' ANSI-approved October 27, 2011, and 
updated by addendum 1 in June 2011 and addendum 2 in March 2012; IBR 
approved for Sec.  431.96.
    (2) AHRI Standard 310/380-2014 (``AHRI 310/380-2014''), ``Standard 
for Packaged Terminal Air-Conditioners and Heat Pumps,'' February 2014; 
IBR approved for Sec.  431.96.
    (3) ANSI/AHRI Standard 340/360-2007 (AHRI 340/360-2007), ``2007 
Standard for Performance Rating of Commercial and Industrial Unitary 
Air-Conditioning and Heat Pump Equipment,'' ANSI-approved October 27, 
2011, and updated by addendum 1 in December 2010 and addendum 2 in June 
2011; IBR approved for Sec.  431.96; appendix A to this subpart.
    (4) ANSI/AHRI Standard 390-2003 (AHRI 390-2003), ``2003 Standard 
for Performance Rating of Single Package Vertical Air-Conditioners and 
Heat Pumps,'' dated 2003; IBR approved for Sec.  431.96.
    (5) AHRI Standard 920 (I-P) with Addendum 1 (``AHRI 920-2020''), 
``2020 Standard for Performance Rating of Direct Expansion-Dedicated 
Outdoor Air System Units,'' copyright 2021; IBR approved for Sec.  
431.92; appendix B to this subpart.
    (6) AHRI Standard 1060 (I-P) (``AHRI 1060-2018''), ``2018 Standard 
for Performance Rating of Air-to-Air Exchangers for Energy Recovery 
Ventilation Equipment,'' copyright 2018; IBR approved for appendix B to 
this subpart.
    (7) ANSI/AHRI Standard 1230-2010 (AHRI 1230-2010), ``2010 Standard 
for Performance Rating of Variable Refrigerant Flow (VRF) Multi-Split 
Air-Conditioning and Heat Pump Equipment,'' approved August 2, 2010, 
and updated by addendum 1 in March 2011; IBR approved for Sec.  431.96.
    (c) ASHRAE. American Society of Heating, Refrigerating and Air-
Conditioning Engineers, 180 Technology Parkway, Peachtree Corners, 
Georgia 30092; (404) 636-8400; 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; 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,'' ANSI-
approved January 30, 2013; IBR approved for appendix B to this subpart.
* * * * *

0
9. Amend Sec.  431.96 by:
0
a. Revising paragraph (a);

[[Page 45199]]

0
b. Redesignating table 1 to Sec.  431.96 as table 1 to paragraph (b) 
and revising newly redesignated table 1 to paragraph (b); and
0
c. 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
                                                               Cooling capacity or                                Use tests,        procedure provisions
           Equipment type                   Category            moisture removal       Energy efficiency       conditions,  and     as indicated in the
                                                                  capacity \2\             descriptor         procedures \1\ in     listed paragraphs of
                                                                                                                                        this section
--------------------------------------------------------------------------------------------------------------------------------------------------------
Small Commercial Package Air-        Air-Cooled, 3-Phase,    <65,000 Btu/h.........  SEER and HSPF........  AHRI 210/240-2008      Paragraphs (c) and
 Conditioning and Heating Equipment.  AC and HP.                                                             (omit section 6.5).    (e).
                                     Air-Cooled AC and HP..  >=65,000 Btu/h and      EER, IEER, and COP...  Appendix A to this     None.
                                                              <135,000 Btu/h.                                subpart.
                                     Water-Cooled and        <65,000 Btu/h.........  EER..................  AHRI 210/240-2008      Paragraphs (c) and
                                      Evaporatively-Cooled                                                   (omit section 6.5).    (e).
                                      AC.
                                                             >=65,000 Btu/h and      EER..................  AHRI 340/360-2007      Paragraphs (c) and
                                                              <135,000 Btu/h.                                (omit section 6.3).    (e).
                                     Water-Source HP.......  <135,000 Btu/h........  EER and COP..........  ISO Standard 13256-1   Paragraph (e).
                                                                                                             (1998).
Large Commercial Package Air-        Air-Cooled AC and HP..  >=135,000 Btu/h and     EER, IEER and COP....  Appendix A to this     None.
 Conditioning and Heating Equipment.                          <240,000 Btu/h.                                subpart.
                                     Water-Cooled and        >=135,000 Btu/h and     EER..................  AHRI 340/360-2007      Paragraphs (c) and
                                      Evaporatively-Cooled    <240,000 Btu/h.                                (omit section 6.3).    (e).
                                      AC.
Very Large Commercial Package Air-   Air-Cooled AC and HP..  >=240,000 Btu/h and     EER, IEER and COP....  Appendix A to this     None.
 Conditioning and Heating Equipment.                          <760,000 Btu/h.                                subpart.
                                     Water-Cooled and        >=240,000 Btu/h and     EER..................  AHRI 340/360-2007      Paragraphs (c) and
                                      Evaporatively-Cooled    <760,000 Btu/h.                                (omit section 6.3).    (e).
                                      AC.
Packaged Terminal Air Conditioners   AC and HP.............  <760,000 Btu/h........  EER and COP..........  Paragraph (g) of this  Paragraphs (c), (e),
 and Heat Pumps.                                                                                             section.               and (g).
Computer Room Air Conditioners.....  AC....................  <65,000 Btu/h.........  SCOP.................  ASHRAE 127-2007 (omit  Paragraphs (c) and
                                                                                                             section 5.11).         (e).
                                                             >=65,000 Btu/h and      SCOP.................  ASHRAE 127-2007 (omit  Paragraphs (c) and
                                                              <760,000 Btu/h.                                section 5.11).         (e).
Variable Refrigerant Flow Multi-     AC....................  <65,000 Btu/h (3-       SEER.................  AHRI 1230-2010 (omit   Paragraphs (c), (d),
 split Systems.                                               phase).                                        sections 5.1.2 and     (e), and (f).
                                                                                                             6.6).
                                                             >=65,000 Btu/h and      EER..................  AHRI 1230-2010 (omit   Paragraphs (c), (d),
                                                              <760,000 Btu/h.                                sections 5.1.2 and     (e), and (f).
                                                                                                             6.6).
Variable Refrigerant Flow Multi-     HP....................  <65,000 Btu/h (3-       SEER and HSPF........  AHRI 1230-2010 (omit   Paragraphs (c), (d),
 split Systems, Air-cooled.                                   phase).                                        sections 5.1.2 and     (e), and (f).
                                                                                                             6.6).
                                                             >=65,000 Btu/h and      EER and COP..........  AHRI 1230-2010 (omit   Paragraphs (c), (d),
                                                              <760,000 Btu/h.                                sections 5.1.2 and     (e), and (f).
                                                                                                             6.6).
Variable Refrigerant Flow Multi-     HP....................  <760,000 Btu/h........  EER and COP..........  AHRI 1230-2010 (omit   Paragraphs (c), (d),
 split Systems, Water-source.                                                                                sections 5.1.2 and     (e), and (f).
                                                                                                             6.6).
Single Package Vertical Air          AC and HP.............  <760,000 Btu/h........  EER and COP..........  AHRI 390-2003 (omit    Paragraphs (c) and
 Conditioners and Single Package                                                                             section 6.4).          (e).
 Vertical Heat Pumps.
Direct Expansion-Dedicated Outdoor   All...................  <324 lbs. of moisture   ISMRE2 and ISCOP2....  Appendix B of this     None.
 Air Systems.                                                 removal/hr.                                    subpart.
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Incorporated by reference; see Sec.   431.95.
\2\ Moisture removal capacity is determined according to appendix B of this subpart.

* * * * *

0
10. 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 July 24, 2023, 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. 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

[[Page 45200]]

AHRI 920-2020, ANSI/ASHRAE 37-2009, ANSI/ASHRAE 41.6-2014, and ANSI/
ASHRAE 198-2013, as listed in this section 1 are required. To the 
extent there is a conflict between the terms or provisions of a 
referenced industry standard and the CFR, the CFR provisions 
control.

1.1. AHRI 920-2020

    (a) Section 3--Definitions, as specified in section 2.2.1(a) of 
this appendix;
    (b) Section 5--Test Requirements, as specified in section 
2.2.1(b) of this appendix;
    (c) 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;
    (d) Section 11--Symbols and Subscripts, as specified in section 
2.2.1(d) of this appendix;
    (e) Appendix A--References--Normative, as specified in section 
2.2.1(e) of this appendix; and
    (f) 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.

1.2. ANSI/ASHRAE 37-2009

    (a) 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;
    (b) Section 5.2--Refrigerant, Liquid, and Barometric Pressure 
Measuring Instruments, as specified in section 2.2.1(b) of this 
appendix;
    (c) Sections 5.3--Air Differential Pressure and Airflow 
Measurements, as specified in section 2.2.1(b) of this appendix;
    (d) Sections 5.5(b)--Volatile Refrigerant Measurement, as 
specified in section 2.2.1(b) of this appendix;
    (e) 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;
    (f) Section 6.2--Nozzle Airflow Measuring Apparatus, as 
specified in section 2.2.1(b) of this appendix;
    (g) Section 6.3--Nozzles, as specified in section 2.2.1(b) of 
this appendix;
    (h) Section 6.4--External Static Pressure Measurements, as 
specified in section 2.2.1(b) of this appendix;
    (i) Section 6.5--Recommended Practices for Static Pressure 
Measurements, as specified in section 2.2.1(f) of this appendix;
    (j) Section 7.3--Indoor and Outdoor Air Enthalpy Methods, as 
specified in section 2.2.1(f) of this appendix;
    (k) Section 7.4--Compressor Calibration Method, as specified in 
section 2.2.1(f) of this appendix;
    (l) Section 7.5--Refrigerant Enthalpy Method, as specified in 
section 2.2.1(f) of this appendix;
    (m) Section 7.6--Outdoor Liquid Coil Method, as specified in 
section 2.2.1(f) of this appendix;
    (n) 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;
    (o) Table 1--Applicable Test Methods, as specified in section 
2.2.1(f) of this appendix;
    (p) Section 8.6--Additional Requirements for the Outdoor Air 
Enthalpy Method, as specified in section 2.2.1(f) of this appendix;
    (q) Table 2b--Test Tolerances (I-P Units), as specified in 
sections 2.2.1(c) and 2.2(f) of this appendix; and
    (r) Errata sheet issued on October 3, 2016, as specified in 
section 2.2.1(f) of this appendix.

1.3. ANSI/ASHRAE 41.6-2014

    (a) Section 4--Classifications, as specified in section 2.2.1(f) 
of this appendix;
    (b) Section 5--Requirements, as specified in section 2.2.1(f) of 
this appendix;
    (c) Section 6--Instruments and Calibration, as specified in 
section 2.2.1(f) of this appendix;
    (d) Section 7.1--Standard Method Using the Cooled-Surface 
Condensation Hygrometer as specified in section 2.2.1(f) of this 
appendix; and
    (e) Section 7.4--Electronic and Other Humidity Instruments. As 
specified in section 2.2.1(f) of this appendix.

1.4. ANSI/ASHRAE 198-2013

    (a) Section 4.4--Temperature Measuring Instrument, as specified 
in section 2.2.1(b) of this appendix;
    (b) Section 4.5--Electrical Instruments, as specified in section 
2.2.1(b) of this appendix;
    (c) Section 4.6--Liquid Flow Measurement, as specified in 
section 2.2.1(b) of this appendix;
    (d) Section 4.7--Time and Mass Measurements, as specified in 
section 2.2.1(b) of this appendix;
    (e) Section 6.1--Test Room Requirements, as specified in section 
2.2.1(b) of this appendix;
    (f) Section 6.6--Unit Preparation, as specified in section 
2.2.1(b) of this appendix;
    (g) Section 7.1--Preparation of the Test Room(s), as specified 
in section 2.2.1(b) of this appendix;
    (h) Section 7.2--Equipment Installation, as specified in section 
2.2.1(b) of this appendix;
    (i) Section 8.2--Equilibrium, as specified in section 2.2.1(b) 
of this appendix; and
    (j) Section 8.4--Test Duration and Measurement Frequency, as 
specified in section 2.2.1(b) of this appendix.

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 and the additional provisions described in this 
section.
    (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) Manufacturer-specified. Information provided by the 
manufacturer through manufacturer's installation instructions, as 
defined in Section 3.14 of AHRI 920-2020.
    (iii) 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) Break-in. The break-in conditions and duration specified in 
section 5.6 of AHRI 920-2020 shall be manufacturer-specified values.
    (iii) 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 DX-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 DX-
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 of this section.

[[Page 45201]]



           Table 2.1--Test Provisions for Specific Components
------------------------------------------------------------------------
          Component                Description         Test provisions
------------------------------------------------------------------------
Return and Exhaust Dampers..  An automatic system   All dampers that
                               that enables a DX-    allow return air to
                               DOAS Unit to supply   pass into the
                               and use some return   supply airstream
                               air (even if an       shall be closed and
                               optional VERS is      sealed. Exhaust air
                               not utilized) to      dampers of DOAS
                               reduce or eliminate   units with VERS
                               the need for          shall be open.
                               mechanical            Gravity dampers
                               dehumidification or   activated by
                               heating when          exhaust fan
                               ventilation air       discharge airflow
                               requirements are      shall be allowed to
                               less than design.     open by action of
                                                     the exhaust
                                                     airflow.
VERS Bypass Dampers.........  An automatic system   Test with the VERS
                               that enables a DX-    bypass dampers
                               DOAS Unit to let      installed, closed,
                               outdoor ventilation   and sealed.
                               air and return air    However, VERS
                               bypass the VERS       bypass dampers may
                               when                  be opened if
                               preconditioning of    necessary for
                               outdoor ventilation   testing with
                               is not beneficial.    deactivated VERS
                                                     for Standard Rating
                                                     Condition D.
Fire/Smoke/Isolation Dampers  A damper assembly     The fire/smoke/
                               including means to    isolation dampers
                               open and close the    shall be removed
                               damper mounted at     for testing. If it
                               the supply or         is not possible to
                               return duct opening   remove such a
                               of 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.
Furnaces and Steam/Hydronic   Furnaces and steam/   Test with the coils
 Heat Coils.                   hydronic heat coils   in place but
                               used to provide       providing no heat.
                               primary or
                               supplementary
                               heating.
Power Correction Capacitors.  A capacitor that      Remove power
                               increases the power   correction
                               factor measured at    capacitors for
                               the line connection   testing.
                               to the equipment.
                               These devices are a
                               requirement of the
                               power distribution
                               system supplying
                               the unit.
Hail Guards.................  A grille or similar   Remove hail guards
                               structure mounted     for testing.
                               to the outside of
                               the unit covering
                               the outdoor coil to
                               protect the coil
                               from hail, flying
                               debris and damage
                               from large objects.
Ducted Condenser Fans.......  A condenser fan/      Test with the ducted
                               motor assembly        condenser fan
                               designed for          installed and
                               optional external     operating using
                               ducting of            zero external
                               condenser air that    static pressure,
                               provides greater      unless the
                               pressure rise and     manufacturer
                               has a higher rated    specifies use of an
                               motor horsepower      external static
                               than the condenser    pressure greater.
                               fan provided as a     than zero, in which
                               standard component    case, use the
                               with the equipment.   manufacturer-
                                                     specified external
                                                     static pressure.
Sound Traps/Sound             An assembly of        Removable sound
 Attenuators.                  structures through    traps/sound
                               which the supply      attenuators shall
                               air passes before     be removed for
                               leaving the           testing. Otherwise,
                               equipment or          test with sound
                               through which the     traps/attenuators
                               return air from the   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    Remove humidifiers
                               the supply air        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    Remove UV lights for
                               and lamp mounted so   testing.
                               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     Indoor air filters    Test with a MERV 8
 Air Filtration.               with greater air      filter or the
                               filtration            lowest MERV filter
                               effectiveness than    distributed in
                               MERV 8 or the         commerce, whichever
                               lowest MERV filter    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. The 
following metrics in AHRI 920-2020 are optional:
    (a) ISMRE270;
    (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. 2022-15493 Filed 7-26-22; 8:45 am]
BILLING CODE 6450-01-P