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