[Federal Register Volume 87, Number 202 (Thursday, October 20, 2022)]
[Rules and Regulations]
[Pages 63860-63901]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2022-22511]



[[Page 63859]]

Vol. 87

Thursday,

No. 202

October 20, 2022

Part II





Department of Energy





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10 CFR Parts 429 and 431





Energy Conservation Program: Test Procedure for VRF Multi-Split 
Systems; Final Rule

  Federal Register / Vol. 87 , No. 202 / Thursday, October 20, 2022 / 
Rules and Regulations  

[[Page 63860]]


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DEPARTMENT OF ENERGY

10 CFR Parts 429 and 431

[EERE-2021-BT-TP-0019]
RIN 1904-AE43


Energy Conservation Program: Test Procedure for VRF Multi-Split 
Systems

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

ACTION: Final rule.

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SUMMARY: This final rule amends the test procedure for variable 
refrigerant flow (``VRF'') multi-split air conditioners and heat pumps 
(``VRF multi-split systems'') to incorporate by reference the latest 
version of the applicable industry test standard. This final rule also 
adopts the integrated energy efficiency ratio metric in its test 
procedures for VRF multi-split systems. Additionally, this final rule 
adopts provisions in the updated industry test procedure relevant to 
certification and enforcement, including a controls verification 
procedure.

DATES: The effective date of this rule is November 21, 2022. The final 
rule changes will be mandatory for VRF multi-split systems equipment 
testing October 16, 2023. The incorporation by reference of certain 
publications listed in this rule is approved by the Director of the 
Federal Register on November 21, 2022. The incorporation by reference 
of certain other publications listed in this rule was approved by the 
Director of the Federal Register as of July 30, 2015, and July 16, 
2012.

ADDRESSES: The docket, which includes Federal Register notices, public 
meeting webinar attendee lists and transcripts, comments, and other 
supporting documents/materials, is available for review at 
www.regulations.gov. All documents in the docket are listed in the 
www.regulations.gov index. However, some documents listed in the index, 
such as those containing information that is exempt from public 
disclosure, may not be publicly available.
    A link to the docket web page can be found at www.regulations.gov/docket/EERE-2021-BT-TP-0019. 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-5B, 
1000 Independence Avenue SW, Washington, DC 20585-0121. Telephone: 
(202) 586-7335. Email: [email protected].
    Mr. Eric Stas, U.S. Department of Energy, Office of the General 
Counsel, GC-33, 1000 Independence Avenue SW, Washington, DC 20585-0121. 
Telephone: (202) 586-5827. Email: [email protected].

SUPPLEMENTARY INFORMATION: DOE incorporates by reference the following 
industry standards as follows:

AHRI Standard 1230 (I-P), ``2021 Standard for Performance Rating of 
Variable Refrigerant Flow (VRF) Multi-Split Air-Conditioning and Heat 
Pump Equipment;'' copyright 2021 (``AHRI 1230-2021'')--into parts 429 
and 431.
ANSI/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 (``ANSI/AHRI 1230-2010'')--into part 431.

    Copies of AHRI 1230-2021 and ANSI/AHRI 1230-2010 can be obtained 
from the Air-Conditioning, Heating, and Refrigeration Institute (AHRI), 
2311 Wilson Blvd., Suite 400, Arlington, VA 22201, (703) 524-8800, or 
online at: www.ahrinet.org/search-standards.aspx.

ANSIASHRAE Standard 37-2009, ``Methods of Testing for Rating 
Electrically Driven Unitary Air-Conditioning and Heat Pump Equipment,'' 
ASHRAE approved June 24, 2009, (``ANSI/ASHRAE 37-2009'')--into part 
431.
ASHRAE Errata Sheet for ANSI/ASHRAE Standard 37-2009--Methods of 
Testing for Rating Electrically Driven Unitary Air-Conditioning and 
Heat Pump Equipment, ASHRAE approved March 27, 2019, (``ASHRAE Errata 
Sheet for ANSI/ASHRAE Standard 37-2009'').

    Copies of ANSI/ASHRAE Standard 37-2009 and ASHRAE Errata Sheet for 
ANSI/ASHRAE Standard 37-2009 are available from ASHRAE, 180 Technology 
Parkway NW, 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 
standards.

Table of Contents

I. Authority and Background
    A. Authority
    B. Background
II. Synopsis of the Final Rule
III. Discussion
    A. Scope of Applicability
    B. Organization of the VRF Multi-Split System Test Procedure
    C. Industry Standards
    1. Updates to AHRI 1230
    2. ASHRAE 37
    D. Metrics
    1. IEER
    2. Test Conditions Used for Efficiency Metrics
    E. Controls Verification Procedure
    1. Background
    2. When the CVP Is Conducted
    3. Critical Parameter Definition
    4. Validation of Certified Critical Parameters
    a. Validation Time Period
    b. Validation Criteria
    5. Determination of Alternate Critical Parameters
    F. Allowable Critical Parameter Adjustment
    1. Adjustment of Certified Critical Parameter Values
    2. Adjustment of Alternate Critical Parameter Values
    G. Certification, Compliance, and Enforcement
    1. Determination of Represented Values
    a. Introduction
    b. NOPR Proposals and Comments
    c. Final Rule Approach
    2. Certification Reporting Requirements
    a. Certification Requirements
    b. Supplemental Testing Instructions
    3. Models Required for AEDM Validation
    4. Manufacturer Involvement
    a. Role of Manufacturer Representative
    b. Control Tool
    5. Break-In Period
    6. Certified Critical Parameter Operational Settings
    7. Enforcement Sampling Plan
    8. Certified vs. Tested Performance
    H. Effective and Compliance Dates
    I. Test Procedure Costs
IV. Procedural Issues and Regulatory Review
    A. Review Under Executive Orders 12866 and 13563
    B. Review Under the Regulatory Flexibility Act
    C. Review Under the Paperwork Reduction Act of 1995
    D. Review Under the National Environmental Policy Act of 1969
    E. Review Under Executive Order 13132
    F. Review Under Executive Order 12988
    G. Review Under the Unfunded Mandates Reform Act of 1995
    H. Review Under the Treasury and General Government 
Appropriations Act, 1999
    I. Review Under Executive Order 12630
    J. Review Under Treasury and General Government Appropriations 
Act, 2001
    K. Review Under Executive Order 13211
    L. Review Under Section 32 of the Federal Energy Administration 
Act of 1974
    M. Congressional Notification
    N. Description of Materials Incorporated by Reference
V. Approval of the Office of the Secretary

[[Page 63861]]

I. Authority and Background

    Commercial package air conditioning and heating equipment is 
included in the list of ``covered equipment'' for which the U.S. 
Department of Energy (``DOE'') is authorized to establish and amend 
energy conservation standards and test procedures. (42 U.S.C. 
6311(1)(B)-(D)) Commercial package air conditioning and heating 
equipment includes variable refrigerant flow multi-split air 
conditioners and heat pumps (``VRF multi-split systems''). DOE's energy 
conservation standards and test procedure for VRF multi-split systems 
are currently prescribed at 10 CFR 431.97 and 10 CFR 431.96, 
respectively. The following sections discuss DOE's authority to 
establish test procedures for VRF multi-split systems and relevant 
background information regarding DOE's consideration of test procedures 
for this equipment.

A. Authority

    The Energy Policy and Conservation Act, as amended (``EPCA''),\1\ 
Public Law 94-163 (42 U.S.C. 6291-6317, as codified), among other 
things, authorizes DOE to regulate the energy efficiency of a number of 
consumer products and certain industrial equipment. Title III, Part C 
\2\ of EPCA, 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 equipment includes small, large, and very large 
commercial package air conditioning and heating equipment, which 
includes VRF multi-split systems, the subject of this document. (42 
U.S.C. 6311(1)(B)-(D))
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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\ For editorial reasons, upon codification in the U.S. Code, 
Part C was redesignated as 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 include definitions (42 U.S.C. 6311), energy 
conservation standards (42 U.S.C. 6313), test procedures (42 U.S.C. 
6314), labeling provisions (42 U.S.C. 6315), and the authority to 
require information and reports from manufacturers (42 U.S.C. 6316; 42 
U.S.C. 6296).
    The Federal testing requirements consist of test procedures that 
manufacturers of covered equipment must use as the basis for: (1) 
certifying to DOE that their equipment complies with the applicable 
energy conservation standards adopted pursuant to EPCA (42 U.S.C. 
6316(b); 42 U.S.C. 6296), and (2) making 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 for particular State laws or regulations, in 
accordance with the procedures and other provisions of EPCA. (42 U.S.C. 
6316(b)(2)(D))
    Under 42 U.S.C. 6314, EPCA sets forth the criteria and procedures 
DOE must follow when prescribing or amending test procedures for 
covered equipment. EPCA requires that any test procedures prescribed or 
amended under this section must be reasonably designed to produce test 
results which reflect energy efficiency, energy use, or estimated 
annual operating cost of a given type of covered equipment during a 
representative average use cycle and requires that test procedures not 
be unduly burdensome to conduct. (42 U.S.C. 6314(a)(2))
    With respect to VRF multi-split systems, EPCA requires that the 
test procedures shall be those generally accepted industry testing 
procedures or rating procedures developed or recognized by AHRI or the 
American Society of Heating, Refrigerating, and Air-Conditioning 
Engineers (``ASHRAE''), as referenced in ASHRAE/IES Standard 90.1, 
``Energy Standard for Buildings Except Low-Rise Residential Buildings'' 
(``ASHRAE Standard 90.1''). (42 U.S.C. 6314(a)(4)(A)) Further, if such 
an industry test procedure is amended, DOE must amend its test 
procedure to be consistent with the amended industry test procedure 
unless DOE determines, by a rule published in the Federal Register and 
supported by clear and convincing evidence, that the amended test 
procedure would be unduly burdensome to conduct or would not produce 
test results that reflect the energy efficiency, energy use, and 
estimated operating costs of that equipment during a representative 
average use cycle. (42 U.S.C. 6314(a)(4)(B))
    EPCA also requires that, at least once every 7 years, DOE evaluate 
test procedures for each type of covered equipment, including VRF 
multi-split systems, to determine whether amended test procedures would 
more accurately or fully comply with the requirements for the test 
procedures to not be unduly burdensome to conduct and be reasonably 
designed to produce test results that reflect energy efficiency, energy 
use, and estimated operating costs during a representative average use 
cycle. (42 U.S.C. 6314(a)(1))
    In addition, if the Secretary determines that a test procedure 
amendment is warranted, DOE 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 comments on the proposed test procedures. (42 U.S.C. 
6314(b)) If DOE determines that test procedure revisions are not 
appropriate, DOE must publish in the Federal Register its determination 
not to amend the test procedures. (42 U.S.C. 6314(a)(1)(A)(ii))
    DOE is publishing this final rule amending the test procedure for 
VRF multi-split systems in satisfaction of its statutory obligations 
under EPCA.

B. Background

    DOE's existing test procedure for VRF multi-split systems appears 
at 10 CFR 431.96, ``Uniform test method for the measurement of energy 
efficiency of commercial air conditioners and heat pumps.'' The Federal 
test procedure for VRF multi-split systems was last amended in a final 
rule for standards and test procedures for certain commercial heating, 
air conditioning, and water heating equipment published in the Federal 
Register on May 16, 2012 (``May 2012 Final Rule''). 77 FR 28928. With 
regard to VRF multi-split systems, the May 2012 Final Rule adopted the 
test procedure ANSI/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 (``ANSI/AHRI 1230-2010''). 77 FR 28928, 28945-
28946 (May 16, 2012); see 10 CFR 431.96, Table 1. Specifically, the DOE 
test procedure for VRF multi-split systems was modified to reference 
ANSI/AHRI 1230-2010 with Addendum 1 but omitting sections 5.1.2 and 
6.6. 77 FR 28928, 28990-28991 (May 16, 2012). The May 2012 Final Rule 
also adopted additional requirements, listed in 10 CFR 431.96(c) 
through (f), for measuring the energy efficiency ratio (``EER'') and 
coefficient of performance (``COP'') for air-cooled VRF multi-split 
systems with a cooling

[[Page 63862]]

capacity between 65,000 Btu/h and 760,000 Btu/h and water-source VRF 
multi-split systems with a cooling capacity less than 760,000 Btu/h. 
Id. These additional requirements specify provisions for equipment set-
up and provide for limited involvement of manufacturer representatives 
during testing. 77 FR 28928, 28991 (May 16, 2012).
    In 2016,\3\ ASHRAE Standard 90.1 was updated, but the 2016 update 
did not make changes to the test procedure references in ASHRAE 
Standard 90.1-2013 for VRF multi-split systems. On July 25, 2017, DOE 
published in the Federal Register a request for information (``RFI'') 
(``July 2017 ASHRAE TP RFI'') to collect information and data to 
consider amendments to DOE's test procedures for commercial package air 
conditioning and heating equipment with the test procedure updates 
included in ASHRAE Standard 90.1-2016. 82 FR 34427. As part of the July 
2017 ASHRAE TP RFI, DOE requested comment on the VRF multi-split 
systems test procedure, under the 7-year-lookback review requirement. 
82 FR 34427, 34429 (July 25, 2017). DOE identified several issues that 
might have warranted modifications to the applicable VRF multi-split 
systems test procedure, in particular concerning incorporation by 
reference of the most recent version of the relevant industry 
standard(s); efficiency metrics and calculations; and clarification of 
test methods. 82 FR 34427, 34427 (July 25, 2017).
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    \3\ No publication date is printed on ASHRAE Standard 90.1-2016, 
but ASHRAE issued a press release on October 26, 2016, which is 
available at www.ashrae.org/news/2016/ashrae-ies-publish-2016-energy-efficiency-standard (Last accessed April 30, 2021).
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    In September 2017, AHRI published an update to ANSI/AHRI 1230-2010, 
i.e., ANSI/AHRI 1230-2014 with Addendum 1 (although published in 2017, 
the update uses a 2014 designation).
    On April 11, 2018, DOE published in the Federal Register a notice 
of its intent to establish a negotiated rulemaking working group 
(``Working Group'') under the Appliance Standards and Rulemaking 
Federal Advisory Committee (``ASRAC''), in accordance with the Federal 
Advisory Committee Act \4\ and the Negotiated Rulemaking Act,\5\ to 
negotiate the proposed test procedure and amended energy conservation 
standards for VRF multi-split systems. 83 FR 15514. The purpose of the 
Working Group was to discuss and, if possible, reach consensus on a 
proposed rule regarding the test procedure and energy conservation 
standards for VRF multi-split systems, as authorized by EPCA. Id. at 83 
FR 15514.
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    \4\ 5 U.S.C. App. 2, Public Law 92-463.
    \5\ 5 U.S.C. 561-570, Public Law 104-320.
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    The Working Group comprised 21 voting members including 
manufacturers, energy efficiency advocates, utilities, and trade 
organizations.\6\ On October 1, 2019, the Working Group reached 
consensus on a term sheet (``VRF TP Term Sheet''; Docket No. EERE-2018-
BT-STD-0003-0044) that includes the following recommendations, which 
highlight the most substantial changes:
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    \6\ A complete list of the ASRAC VRF Working Group members is 
available at: www.energy.gov/eere/buildings/appliance-standards-and-rulemaking-federal-advisory-committee#Variable%20Refrigerant%20Flow%20Multi-Split%20Air%20Conditioners%20and%20Heat%20Pumps%20Working%20Group.
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    (1) VRF multi-split systems should be rated with the Integrated 
Energy Efficiency Ratio (``IEER'') metric to allow consumers to make 
consistent comparisons with rooftop air conditioner ratings.
    (2) The amended test procedure should not be required until the 
compliance date of amended energy conservation standards.
    (3) The Federal test procedure for VRF multi-split systems should 
be consistent with the September 20, 2019 draft version of AHRI 1230, 
with additional amendments to be implemented after the conclusion of 
ASRAC negotiations.

(Id. at pp. 1-3)
    On May 18, 2021, AHRI published an updated industry test standard 
for VRF multi-split systems AHRI Standard 1230 (I-P), ``2021 Standard 
for Performance Rating of Variable Refrigerant Flow (VRF) Multi-Split 
Air-Conditioning and Heat Pump Equipment'' (``AHRI 1230-2021''). AHRI 
1230-2021 references ANSI/ASHRAE Standard 37-2009, ``Methods of Testing 
for Rating Electrically Driven Unitary Air-Conditioning and Heat Pump 
Equipment'' (``ANSI/ASHRAE 37-2009''), as corrected by the Errata Sheet 
issued March 27, 2019, for additional test set-up and methodology 
specifications.
    These changes, along with comments received in response to the July 
2017 ASHRAE TP RFI, were addressed in a test procedure NOPR for VRF 
multi-split systems published in the Federal Register on December 10, 
2021 (``December 2021 VRF TP NOPR''). 86 FR 70644. In that NOPR, DOE 
proposed to incorporate by reference AHRI 1230-2021 and ANSI/ASHRAE 37-
2009, as corrected by the Errata Sheet issued March 27, 2019) and 
establish provisions for determining IEER for VRF multi-split systems. 
Id. DOE also proposed to update its certification, compliance, and 
enforcement (``CCE'') provisions for VRF multi-split systems to provide 
information that is necessary for testing VRF multi-split systems 
consistent with the updated industry test procedure AHRI 1230-2021. DOE 
held a public meeting related to this NOPR on January 20, 2022 
(hereafter, the ``NOPR public meeting'').
    DOE received comments in response to the December 2021 VRF TP NOPR 
from the interested parties listed in Table I.1.

       Table I-1--List of Commenters With Written Submissions in Response to the December 2021 VRF TP NOPR
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                                           Reference in  this final    Docket entry
              Commenter(s)                           rule                   No.             Commenter type
----------------------------------------------------------------------------------------------------------------
Air-Conditioning, Heating, &              AHRI......................              12  Trade Association.
 Refrigeration Institute.
Appliance Standards Awareness Project,    Joint Advocates...........               9  Efficiency Advocacy
 American Council for an Energy-                                                       Organization.
 Efficient Economy, and Natural
 Resources Defense Council.
California Energy Commission............  CEC.......................              10  State Official/Agency.
California Investor-Owned Utilities.....  CA IOUs...................              11  Utilities.
Carrier Global Corporation..............  Carrier...................               7  Manufacturer.
Daikin North America LLC................  Daikin....................              13  Manufacturer.
Lennox International....................  Lennox....................               8  Manufacturer.
Northwest Energy Efficiency Analysis....  NEEA......................              14  Efficiency Advocacy
                                                                                       Organization.
New York State Energy Research and        NYSERDA...................               6  State Official/Agency.
 Development Authority.
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[[Page 63863]]

    A parenthetical reference at the end of a comment quotation or 
paraphrase provides the location of the item in the public record.\7\ 
To the extent that interested parties have provided written comments 
that are substantively consistent with any oral comments provided 
during the NOPR public meeting, DOE cites the written comments 
throughout this final rule. DOE did not identify any oral comments 
provided during the webinar that are not substantively addressed by 
written comments.
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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 VRF multi-split systems. (Docket No. EERE-2021-
BT-TP-0019, 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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    On March 1, 2022, DOE published in the Federal Register an energy 
conservation standards NOPR (``March 2022 VRF ECS NOPR'') that proposed 
amended energy conservation standards for VRF multi-split systems that 
rely on the new IEER cooling metric and are equivalent to the levels 
specified in ASHRAE Standard 90.1-2019. 87 FR 11335.

II. Synopsis of the Final Rule

    In this final rule, DOE is amending 10 CFR 431.96, ``Uniform test 
method for the measurement of energy efficiency of commercial air 
conditioners and heat pumps,'' to revise the relevant references to the 
most recent version of the industry test procedure as follows: (1) 
incorporating by reference AHRI 1230-2021 and ANSI/ASHRAE 37-2009, as 
corrected by the Errata Sheet issued March 27, 2019; and (2) 
establishing provisions for determining IEER for VRF multi-split 
systems. DOE is also adding new appendices D and D1 to subpart F of 
part 431, both titled ``Uniform test method for measuring the energy 
consumption of variable refrigerant flow multi-split air conditioners 
and heat pumps (other than air-cooled with rated cooling capacity less 
than 65,000 Btu/h),'' (``appendix D'' and ``appendix D1,'' 
respectively). The current DOE test procedure for VRF multi-split 
systems is relocated from 10 CFR 431.96 to 10 CFR part 431, subpart F, 
appendix D without change, and the new test procedure adopting AHRI 
1230-2021 is established in appendix D1 for determining IEER. 
Compliance with appendix D1 is not required until such time as 
compliance is required with amended energy conservation standards for 
VRF multi-split systems that rely on IEER, should DOE adopt such 
standards.
    In this final rule, DOE is also updating its certification, 
compliance, and enforcement (``CCE'') provisions for VRF multi-split 
systems, to require reporting of information that is necessary for 
testing VRF multi-split systems consistent with the updated industry 
test procedure AHRI 1230-2021. Most significantly, these changes 
include the incorporation of the controls verification procedure 
(``CVP'') from AHRI 1230-2021 into DOE's product-specific enforcement 
provisions at 10 CFR 429.134, as well as accompanying certification 
requirements at 10 CFR 429.43. Additionally, DOE is specifying tested 
combinations to align with AHRI 1230-2021, clarifying the role of 
manufacturer involvement during testing, and specifying how to 
determine represented values for systems using different indoor unit 
combinations DOE is not reducing the enforcement testing sample size 
from four units to two units, as was proposed in the December 2021 VRF 
TP NOPR. Figure 1 presents a process diagram for DOE's certification, 
compliance, and enforcement regulations for VRF multi-split systems, as 
described in this final rule.
BILLING CODE 6450-01-P

[[Page 63864]]

[GRAPHIC] [TIFF OMITTED] TR20OC22.000

BILLING CODE 6450-01-C
    The adopted amendments are summarized in Table II.1 and are 
compared to the test procedure provisions in place prior to these 
latest amendments, as well as the reason for each adopted change.

      Table II-1--Summary of Changes in the Amended Test Procedure
------------------------------------------------------------------------
  DOE test procedure prior to
           amendment            Amended test procedure     Attribution
------------------------------------------------------------------------
Incorporates by reference ANSI/ Incorporates by         Updates to the
 AHRI 1230-2010.                 reference in a new      applicable
                                 Appendix D1 AHRI 1230-  industry test
                                 2021 and ANSI/ASHRAE    procedures.
                                 37-2009 as corrected
                                 by the Errata Sheet
                                 issued March 27, 2019.
Includes provisions for         Includes provisions     Updates to the
 determining EER.                for determining both    applicable
                                 EER and IEER.           industry test
                                                         procedures.
Does not include VRF-specific   Includes provisions in  Establish VRF-
 provisions for determination    10 CFR 429.43           specific
 of represented values in 10     specific to VRF multi-  provisions for
 CFR 429.43.                     split systems to        determination
                                 determine represented   of represented
                                 values for models       values.
                                 with specific
                                 components, and
                                 determine represented
                                 values for different
                                 indoor unit
                                 combinations.
Includes certification          Adopts reporting        Establish
 requirements in 10 CFR 429.43   requirements            reporting
 consistent with testing to      consistent with new     requirements
 EER per ANSI/AHRI 1230-2010.    test requirements of    consistent with
                                 AHRI 1230-2021,         updated
                                 including tested        industry test
                                 combination,            method.
                                 certified critical
                                 parameter values, and
                                 instructions for
                                 conducting the
                                 controls verification
                                 procedure (``CVP'').
Does not include VRF-specific   Adopts product-         Establish
 enforcement provisions in 10    specific enforcement    provisions for
 CFR 429.134.                    provisions for VRF      DOE testing of
                                 multi-split systems     VRF multi-split
                                 including:              systems.
                                 verification of
                                 cooling capacity,
                                 testing of systems
                                 with specific
                                 components, break-in
                                 period, manufacturer
                                 involvement in
                                 assessment or
                                 enforcement testing,
                                 provisions for when
                                 DOE would conduct a
                                 CVP, and how CVP
                                 results would affect
                                 critical parameters
                                 used in IEER
                                 enforcement testing
                                 by DOE.
Does not provide VRF-specific   Specifies VRF-specific  Establish AEDM
 instruction for validating      AEDM validation         instructions
 alternative methods for         criteria that are       specific to VRF
 determining energy efficiency   dependent on indoor     multi-split
 and energy use (``AEDM'') at    unit combinations       systems.
 10 CFR 429.70.                  offered by the
                                 manufacturer.
------------------------------------------------------------------------


[[Page 63865]]

    DOE has determined that the amendments described in section III of 
this document regarding the establishment of appendix D do not alter 
the measured efficiency of VRF multi-split systems or require retesting 
solely as a result of DOE's adoption of the amendments to the test 
procedure. DOE has determined that the amendments regarding the test 
procedure in appendix D1 do alter the measured efficiency and are 
consistent with the updated industry test procedure AHRI 1230-2021. 
Further, use of the updated industry test procedure provisions and 
amended representation requirements in 10 CFR 429.43 and 10 CFR 429.70 
would not be required until the compliance date of any amended 
standards based on IEER. Additionally, DOE has determined that the 
finalized amendments will not increase the cost of testing relative to 
the updated industry test procedure. The effective date for the amended 
test procedures adopted in this final rule is 30 days after publication 
of this document in the Federal Register. Discussion of DOE's actions 
are addressed in detail in section III of this document.

III. Discussion

A. Scope of Applicability

    This rulemaking applies to variable refrigerant flow multi-split 
air conditioners and heat pumps. DOE defines variable refrigerant flow 
multi-split air conditioners and heat pumps as units of commercial 
package air conditioning and heating equipment that are configured as a 
split system air conditioner or heat pump incorporating a single 
refrigerant circuit, with one or more outdoor units, at least one 
variable-speed compressor or an alternate compressor combination for 
varying the capacity of the system by three or more steps, and multiple 
indoor fan coil units, each of which is individually metered and 
individually controlled by an integral control device and common 
communications network and which can operate independently in response 
to multiple indoor thermostats. 10 CFR 431.92. Variable refrigerant 
flow implies three or more steps of capacity control on common, inter-
connecting piping. Id. VRF multi-split heat pumps use reverse cycle 
refrigeration as its primary heating source and may include second 
supplemental heating by means of electrical resistance, steam, hot 
water, or gas. Id.
    DOE is not amending the scope of the Federal test procedure for VRF 
multi-split systems. DOE's current test procedure regulations for 
commercial air conditioners and heat pumps at 10 CFR 431.96 include 
test procedures that apply to air-cooled VRF multi-split air 
conditioners, air-cooled VRF multi-split heat pumps, and water-source 
VRF multi-split heat pumps,\8\ all with cooling capacity less than 
760,000 Btu/h. Table 1 of 10 CFR 431.96. Single-phase, air-cooled VRF 
multi-split air conditioners and heat pumps with cooling capacity less 
than 65,000 Btu/h are subject to DOE's consumer product regulations for 
central air conditioners, and test procedures for these products are 
specified in appendices M and M1 to subpart B of part 430. Test 
procedures for three-phase, air-cooled VRF multi-split systems with 
cooling capacity less than 65,000 Btu/h are not addressed in this final 
rule and are instead addressed in a separate test procedure rulemaking 
for air-cooled, three-phase, small commercial package air conditioning 
and heating equipment with a cooling capacity of less than 65,000 Btu/h 
(see Docket No. EERE-2017-BT-TP-0031).
---------------------------------------------------------------------------

    \8\ The EPCA definition for ``commercial package air 
conditioning and heating equipment'' specifically excludes ground 
water source equipment. (42 U.S.C. 6311(8)(A)).
---------------------------------------------------------------------------

B. Organization of the VRF Multi-Split System Test Procedure

    In the December 2021 VRF TP NOPR, DOE proposed to relocate and 
centralize the current test procedure for VRF multi-split systems to a 
new appendix D to subpart F of part 431, such that appendix D would not 
amend the current test procedure. 86 FR 70644, 70649 (Dec. 10, 2021). 
The proposed appendix D would also centralize the additional test 
provisions currently applicable under 10 CFR 431.96 (i.e., optional 
break-in period for tests conducted using ANSI/AHRI 1230-2010 (10 CFR 
431.96(c)); refrigerant line length corrections for tests conducted 
using ANSI/AHRI 1230-2010 (10 CFR 431.96(d); additional provisions for 
equipment set-up (10 CFR 431.96(e); and manufacturer involvement in 
assessment or enforcement testing for variable refrigerant flow systems 
(10 CFR 431.96(f))). As proposed, VRF multi-split systems would be 
required to be tested according to appendix D until such time as 
compliance is required with an amended energy conservation standard 
that relies on the IEER metric, should DOE adopt such a standard. Id.
    Similarly, DOE proposed to amend the test procedure for VRF multi-
split systems by adopting AHRI 1230-2021 in a new appendix D1 to 
subpart F of part 431. DOE proposed to adopt the updated version of 
AHRI 1230, including the IEER metric. Id. As proposed, VRF multi-split 
systems would not be required to be tested according to the test 
procedure in proposed appendix D1 until such time as compliance is 
required with an amended energy conservation standard that relies on 
the IEER metric, should DOE adopt such a standard. Id.
    DOE did not receive any comments in response to the proposed 
organization of the test procedure. Accordingly, for the reasons 
discussed in the December 2021 VRF TP NOPR and as discussed in the 
preceding paragraphs, DOE is finalizing the proposed organization of 
the test procedure by establishing appendices D and D1 for testing VRF 
multi-split systems.

C. Industry Standards

1. Updates to AHRI 1230
    As discussed in section I.B of this document, the VRF TP Term Sheet 
recommended that DOE adopt the 2019 draft version of AHRI 1230 with 
several changes, including:
     Adding a hierarchy of instructions for how to set up the 
unit under test, and a clarification that ``as-shipped'' settings 
should be used as a last resort when instructions are not provided in 
the supplemental testing instructions (``STI'') and/or the 
manufacturer's installation instructions (``MII'').
     Providing equations and example calculations of 
adjustments to measured results for steady-state tests if sensible heat 
ratio (``SHR'') \9\ limits are not met at the 100-percent full-load 
and/or 75-percent part-load cooling test points.
---------------------------------------------------------------------------

    \9\ Cooling load is composed of both sensible and latent 
portions. The sensible load is the energy required to reduce the 
temperature of the incoming air, without any phase change. The 
latent load is the energy required to change the moisture in the air 
from water vapor into a liquid phase as it condenses on the cooling 
coil. Sensible heat ratio is a ratio of the sensible cooling 
capacity to the total cooling capacity at a given test condition.
---------------------------------------------------------------------------

     Amending the definition of the draft CVP to include a 
definition of time periods for determining critical parameter 
validation and allowable critical parameter tolerances using 
manufacturer-provided data. (Docket No. EERE-2018-BT-STD-0003-0044 at 
p. 2)
    After the VRF ASRAC Working Group meetings in 2019, DOE provided 
technical support in an AHRI 1230 Technical Committee to address the 
three outstanding items identified in the VRF TP Term Sheet. For the 
last item--determining critical parameter tolerances--DOE compiled 
anonymized, aggregated test data to share with the committee. In a 
presentation to the AHRI 1230 Technical Committee on September 10, 
2020, DOE shared data

[[Page 63866]]

on the variability of critical parameter results as measured during 
different CVP runs, as well as data on how the measured IEER changed in 
response to changes in critical parameters. (EERE-2018-BT-STD-0003-
0063) DOE presented options that could be considered to express the 
maximum allowable variation in critical parameters as a ``budget.'' The 
AHRI 1230 Technical Committee incorporated a budget of 70 points (a 
measure of critical parameter variation) in the draft AHRI 1230, which 
is outlined in section III.E.1 of this document.
    Following the completion of the AHRI 1230 Technical Committee 
meetings, in May 2021, AHRI published AHRI 1230-2021, which 
incorporated the changes consistent with those recommended in the VRF 
TP Term Sheet. The following list includes substantive changes in AHRI 
1230-2021 as compared to ANSI/AHRI 1230-2010, the version currently 
used for certification:
     Air-cooled VRF multi-split systems with cooling capacity 
less than 65,000 Btu/h were removed from the scope of the industry test 
standard. These systems are addressed by AHRI 210/240-2023, 
``Performance Rating of Unitary Air-conditioning & Air-source Heat Pump 
Equipment.''
     Maximum SHR limits of 0.82 and 0.85 were added for full-
load and 75-percent part-load conditions, respectively.
     A CVP was added that verifies that the values certified in 
the STI for setting critical parameters during steady-state testing are 
within the range of critical parameters that would be used by the 
system's native controls at the same conditions. A 70-point budget was 
also added as the criteria for critical parameter validation during the 
CVP.
     A hierarchy was added indicating which sources of 
manufacturer's instructions to use during testing in the case of 
conflicting information among different sources.
     Provisions were updated for refrigerant piping length 
requirements and for the correction factors applied in the case of 
excess refrigerant piping length used during testing.
     For water-source equipment, the maximum water flow rate 
was reduced and part-load entering water temperatures were modified.
     New provisions were added to specify test methods and 
conditions for cases in which condenser head pressure controls result 
in unstable operation in part-load cooling tests.
     The provisions for tested combinations, which specify the 
indoor unit combination to be used for testing, were updated to replace 
``highest sales volume'' requirements with a specific hierarchy based 
on ``indoor unit model family'' (e.g., wall-mounted, compact 4-way 
ceiling cassette, mid-static ducted).
     A maximum airflow rate of 55 standard cubic feet per 
minute (``scfm'') per 1,000 Btu/h was added for non-ducted indoor 
units, and the maximum airflow rate was increased for ducted indoor 
units from 37.5 scfm per 1,000 Btu/h to 42 scfm per 1,000 Btu/h.
     Test tolerances for indoor air entering wet-bulb 
temperatures were increased. Specifically, the indoor wet-bulb 
temperature operating tolerance was increased from 1 [deg]F to 1.8 
[deg]F. The indoor wet-bulb temperature condition tolerance was also 
increased from 0.30 [deg]F to 0.36 [deg]F. Additionally, the operating 
tolerance for external static pressure (``ESP'') for ducted units was 
changed from 0.05 in H2O to 10 percent of the ESP reading.
     Appendix D to ANSI/AHRI 1230-2010 with Addendum 1, ``Test 
Requirements,'' was amended in ANSI/AHRI 1230-2021 and redesignated as 
Appendix E, ``ANSI/ASHRAE Standard 37-2009 Clarifications/Exceptions.'' 
This appendix provides additional instruction and exceptions to the use 
of ANSI/ASHRAE 37-2009.
     Informative appendices were added that show example 
calculations for IEER and the CVP ``budget'' method, which calculates 
the variation between measured critical parameter values and STI-
reported critical parameter values.
    As part of the December 2021 VRF TP NOPR, DOE evaluated the extent 
to which a test procedure based on AHRI 1230-2021 would meet the EPCA 
requirements to produce test results that reflect the energy 
efficiency, energy use, and estimated operating costs of that equipment 
during a representative average use cycle, and for such test procedure 
to not be unduly burdensome to conduct. DOE tentatively concluded that 
the changes in AHRI 1230-2021 better reflect the field performance of 
VRF multi-split systems and provide additional clarification for 
testing provisions. 86 FR 70644, 70650, 70669 (Dec. 10, 2021). DOE also 
tentatively determined that a test procedure based on AHRI 1230-2021 
would not be unduly burdensome to conduct. 86 FR 70644, 70669 (Dec. 10, 
2021).
    Therefore, DOE proposed to adopt the updated version of AHRI 1230, 
including the IEER metric, and to incorporate by reference AHRI 1230-
2021 in a new appendix D1 to subpart F of part 431. 86 FR 70644, 70650 
(Dec. 10, 2021). DOE proposed to reference the following sections from 
AHRI 1230-2021: Section 3 (except 3.11),\10\ Section 5 (except 5.1.2), 
Section 6 (except 6.3.3 and 6.5), Section 11, Section 12, and Appendix 
E. 86 FR 70644, 70650-70651 (Dec. 10, 2021). The remaining sections 
were excluded as either: (1) informative appendices not needed in the 
DOE test procedure; (2) procedures specific to the AHRI verification 
program that are not warranted for a DOE test procedure, or (3) 
sections for which DOE proposed modifications. Id.
---------------------------------------------------------------------------

    \10\ The CA IOUs stated that in proposed updates to 10 CFR 
431.97, subpart F, appendix D1, DOE states that critical 
parameter(s) are defined in section 3.10 of AHRI 1230-2021, but the 
correct reference should be to section 3.11 of that industry 
standard. (CA IOUs, No. 11 at p. 4) DOE acknowledges this 
typographical error and has corrected the section references in this 
final rule.
---------------------------------------------------------------------------

    In the December 2021 VRF TP NOPR, DOE included discussion on 
several test method topics about which DOE requested comment in the 
July 2017 ASHRAE TP RFI and received stakeholder comments in response 
to that RFI. These topics included setting indoor airflow and external 
static pressure, condenser head pressure controls, indoor unit 
operation during part-load tests, oil recovery mode during transient 
testing, secondary methods for capacity measurement, and heat recovery. 
All of these test method topics were addressed in AHRI 1230-2021, and 
DOE did not propose any deviations from AHRI 1230-2021 on any of the 
topics. 86 FR 70644, 70653-70656 (Dec. 10, 2021). DOE did not receive 
any comments regarding these test method topics in response to the 
December 2021 VRF TP NOPR, but as discussed, the Department did receive 
comments generally supportive of DOE's proposal to adopt AHRI 1230-
2021. Along these lines, Carrier, Lennox, the CA IOUs, AHRI, Daikin, 
and NEEA all commented that they support DOE's proposal to adopt AHRI 
1230-2021. (Carrier, No. 7 at p. 1; Lennox, No. 8 at pp. 1-2; CA IOUs, 
No. 11 at p. 3; AHRI, No. 12 at p. 2; Daikin, No. 13 at p. 2; NEEA, No. 
14 at p. 2) NEEA further commented that AHRI 1230-2021 adds clarifying 
provisions that will reduce variability in results. (NEEA, No. 14 at p. 
2)
    For the reasons discussed in the December 2021 VRF TP NOPR and 
consistent with the comments received in support of DOE adopting AHRI 
1230-2021, DOE concludes that as compared to previous versions of AHRI 
1230 (including ANSI/AHRI 1230-2010 which is referenced in the current 
Federal test procedure), AHRI 1230-2021 generally provides results that 
are more representative of an average use cycle for VRF multi-split 
systems, provides additional clarification for

[[Page 63867]]

testing provisions, and is not unduly burdensome to conduct. In 
particular, DOE finds that AHRI 1230-2021 includes several test 
procedure amendments that better reflect typical operation and 
performance of VRF indoor units, including the addition of SHR limits, 
further specification of indoor airflow, and changes to indoor unit 
tested combinations. DOE also finds that the addition of the CVP in 
AHRI 1230-2021 (which DOE is adopting in enforcement provisions) will 
improve representativeness by more closely tying controls behavior 
during testing to controls behavior that would be expected to occur in 
a field installation under native controls. Therefore, in this final 
rule DOE is incorporating by reference AHRI 1230-2021 and adopting 
specific sections for testing VRF multi-split systems as proposed. 
Sections of AHRI 1230-2021 for which DOE is adopting modifications are 
discussed in following sections of this final rule.
2. ASHRAE 37
    ANSI/ASHRAE Standard 37, which provides a method of test for many 
categories of air conditioning and heating equipment, is referenced for 
testing VRF multi-split systems by ANSI/AHRI 1230-2010, ANSI/AHRI 1230-
2014 with Addendum 1, and AHRI 1230-2021. ANSI/ASHRAE 37-2005 is 
referenced in ANSI/AHRI 1230-2010, which is the currently referenced 
industry test standard in the DOE test procedure for VRF multi-split 
systems.\11\ ANSI/ASHRAE 37-2009 is referenced in ANSI/AHRI 1230-2014 
with Addendum 1 and AHRI 1230-2021. To reflect the use of ANSI/ASHRAE 
37-2009 in conducting testing according to AHRI 1230-2021, DOE proposed 
in the December 2021 VRF TP NOPR to incorporate by reference ANSI/
ASHRAE 37-2009 (except for sections 1, 2, and 4) including the errata 
sheet issued March 27, 2019 (which corrected the total heating capacity 
equations for the outdoor liquid coil method in section 7.6.5.1 of that 
test standard) \12\ in the proposed appendix D1 for the VRF multi-split 
systems test procedure. 86 FR 70644, 70651 (Dec. 10, 2021). DOE did not 
receive any comments in response to its proposal to reference ASHRAE 
37-2009 in the test method for VRF multi-split systems. Accordingly, 
DOE concludes that ASHRAE 37-2009 is an integral component of testing 
VRF multi-split systems (per the 2014 and 2021 versions of AHRI 1230) 
and that it ensures representativeness and repeatability of the test 
procedure by specifying instrumentation requirements, test set-up 
provisions, calculation methods, and test tolerances. Therefore, DOE 
incorporates by reference ANSI/ASHRAE 37-2009 (as corrected by the most 
recent errata sheet issued March 27, 2019) and adopts the relevant 
sections for testing VRF multi-split systems, as proposed.
---------------------------------------------------------------------------

    \11\ In the December 2021 VRF TP NOPR, DOE incorrectly stated 
that ANSI/AHRI 1230-2010 references ANSI/ASHRAE 37-2009. 86 FR 
70644, 70651 (Dec. 10, 2021).
    \12\ The errata sheet, which was updated on March 27, 2019, is 
available at: www.ashrae.org/file%20library/technical%20resources/standards%20and%20guidelines/standards%20errata/standards/37-2009errata-3-27-2019-.pdf (Last accessed Sept. 7, 2022).
---------------------------------------------------------------------------

D. Metrics

1. IEER
    In the December 2021 VRF TP NOPR, DOE provided considerable 
background on the IEER metric, and the Department proposed to adopt the 
IEER metric and the relevant provisions in AHRI 1230-2021 to determine 
IEER for VRF multi-split systems. DOE currently prescribes energy 
conservation standards for air-cooled VRF multi-split systems with 
cooling capacity greater than or equal to 65,000 Btu/h and water-source 
VRF multi-split heat pumps in terms of the EER metric for cooling-mode 
operation and in terms of the COP metric for heating-mode operation. 
EER and COP capture the system performance at single, full-load 
operating points in cooling and heating mode, respectively (i.e., 
single outdoor air temperatures for air-cooled systems and single 
entering water temperatures for water-source systems). Neither metric 
provides a seasonal or load-weighted measure of energy efficiency. 86 
FR 70644, 70651 (Dec. 10, 2021).
    In contrast, the IEER metric factors in the efficiency of operating 
at full-load conditions as well as part-load conditions of 75-percent, 
50-percent, and 25-percent of full-load capacity. In general, the IEER 
metric provides a more representative measure of field performance by 
weighting the full-load and part-load efficiencies by the average 
amount of time equipment spends operating at each load. Id.
    IEER was first specified in a 2008 supplement to ASHRAE Standard 
90.1-2007 for commercial air-cooled, water-cooled, and evaporatively-
cooled air conditioning and heat pump equipment. ASHRAE Standard 90.1-
2010 included minimum efficiency levels in terms of both EER and IEER 
for air-cooled VRF multi-split systems. ASHRAE Standard 90.1-2016 added 
IEER levels for water-source VRF multi-split heat pump systems, 
including systems with cooling capacity less than 65,000 Btu/h, in 
addition to the specified EER levels. On January 15, 2016, DOE 
published a direct final rule in the Federal Register for energy 
conservation standards for air-cooled commercial unitary air 
conditioners (air-cooled CUACs, or ACUACs), which amended the energy 
conservation standards for ACUACs and changed the cooling efficiency 
metric from EER to IEER, with compliance required starting January 1, 
2018. 81 FR 2420.
    The proposal to adopt the IEER metric and relevant provisions of 
AHRI 1230-2021 in the test procedure for VRF multi-split systems 
aligned with the VRF TP Term Sheet upon which the ASRAC Working Group 
agreed. 86 FR 70644, 70652 (Dec. 10, 2021). DOE also proposed to amend 
the definition for IEER at 10 CFR 431.92 to distinguish between the 
test procedures for ACUACs and VRF multi-split systems. Id.
    Lennox, the CA IOUs, AHRI, Daikin, and NEEA commented that they 
support DOE's proposal to adopt the IEER metric for VRF multi-split 
systems. (Lennox, No. 8 at pp. 1-2; CA IOUs, No. 11 at p. 3; AHRI, No. 
12 at p. 2; Daikin, No. 13 at p. 2; NEEA, No. 14 at p. 2) Lennox and 
NEEA stated that IEER improves the representativeness of the tested 
value for VRF multi-split systems. (Lennox, No. 8 at p. 2; NEEA, No. 14 
at p. 2) The CA IOUs and NEEA commented that IEER informs consumers of 
the part-load performance benefits of variable speed equipment. (CA 
IOUs, No. 11 at p. 3; NEEA, No. 14 at p. 2) AHRI, Daikin, and Lennox 
supported DOE's proposed revision to the definition of IEER to 
differentiate between the test procedures for ACUAC and VRF multi-split 
systems. (AHRI, No. 12 at p. 2; Daikin, No. 13 at p. 2; Lennox, No. 8 
at p. 2)
    NEEA commented that DOE should investigate the differences between 
AHRI 1230-2021 and ANSI/AHRI 1230-2010, because manufacturers currently 
certify IEER measured per 1230-2010 for the AHRI certification program. 
The commenter stated that testing according to the new version of AHRI 
1230 could result in different IEER values, which could cause market 
confusion, so NEEA suggested that DOE consider changing the name of the 
metric measured per AHRI 1230-2021 to ``IEER2.'' (NEEA, No. 14 at p. 2)
    Regarding NEEA's comment, the changes in AHRI 1230-2021 as compared 
to ANSI/AHRI 1230-2010 better reflect typical operation and performance 
of VRF multi-split systems (see section III.C.1 of this document for 
further discussion). In particular, DOE

[[Page 63868]]

finds that AHRI 1230-2021 includes several test procedure amendments 
that better reflect typical operation and performance of VRF indoor 
units, including the addition of SHR limits, further specification of 
indoor airflow, and changes to indoor unit tested combinations. DOE 
also finds that the addition of the CVP in AHRI 1230-2021 (which DOE is 
adopting in enforcement provisions) will improve representativeness by 
more closely tying controls behavior during testing to native controls 
behavior that would be expected to occur in a field installation. DOE 
also notes that the VRF TP Term Sheet included as Recommendation #1 
that VRF multi-split systems should be rated with the IEER metric. 
(Docket No. EERE-2018-BT-STD-0003-0044) This recommendation was 
unanimously agreed upon by all Working Group members, as it allowed for 
comparisons to CUAC ratings, which also use the IEER efficiency metric. 
Further, DOE does not require certification of IEER as measured per 
ANSI/AHRI 1230-2010 nor does it include IEER in its current test 
procedure for VRF multi-split systems. Therefore, DOE concludes that 
there is not a need to deviate from the metric name ``IEER'' specified 
in AHRI 1230-2021 and that doing so might spawn unnecessary confusion 
by suggesting that there is some significant difference as to how that 
term is used in the context of the amended Federal test procedure as 
compared to AHRI 1230-2021. Consequently, DOE is adopting the IEER 
metric measured per AHRI 1230-2021 in the Federal test procedure for 
VRF multi-split systems, as proposed. Further, DOE is adopting the 
proposed revisions to the definition for IEER at 10 CFR 431.92 to 
distinguish between the test procedures for ACUACs and VRF multi-split 
systems.
2. Test Conditions Used for Efficiency Metrics
    AHRI 1230-2021 includes a number of test conditions used to 
determine rated performance of VRF multi-split systems in both cooling 
mode and heating mode. Standard rating tests in cooling mode include 
the full-load cooling and three part-load cooling tests used to 
determine IEER. Standard rating tests in heating mode differ depending 
on whether the VRF multi-split heat pump is water-source or air-source. 
For water-source systems, there is only one heating mode standard 
rating test. For air-source systems, there are two heating mode 
standard rating tests (one at 47 [deg]F outdoor temperature and another 
at 17 [deg]F outdoor temperature).
    In the December 2021 VRF TP NOPR, DOE proposed to specify in the 
test procedure for VRF multi-split systems which test conditions would 
be required for compliance with standards, were DOE to amend the energy 
conservation standards based on AHRI 1230-2021, and to specify 
additional test conditions that would be included in the DOE test 
procedure for making optional representations of efficiency. 86 FR 
70644, 70652-70653 (Dec. 10, 2021). Specifically, for air-cooled VRF 
multi-split systems, DOE proposed to specify in section 3.1 of the 
proposed appendix D1 that the cooling test conditions used for 
compliance would be the ``Standard Rating Conditions, Cooling'' and 
``Standard Rating Part-Load Conditions (IEER)'' conditions specified in 
Table 8 \13\ of AHRI 1230-2021. DOE also proposed to specify in section 
4.1 of the proposed appendix D1 that the heating test condition used 
for compliance would be the ``Standard Rating Conditions, High 
Temperature Steady-State Test for Heating'' conditions (47 [deg]F) 
specified in Table 8 of AHRI 1230-2021. DOE also proposed to specify in 
section 4.1.1 of the proposed appendix D1 that representations of COP 
would be optional for the ``Low Temperature Steady-state Test for 
Heating'' conditions (17 [deg]F), also specified in Table 8 of AHRI 
1230-2021. For water-source VRF multi-split heat pumps, DOE proposed to 
specify in section 3.2 of the proposed appendix D1 that the test 
conditions used for compliance would be the standard rating test 
conditions for ``Water Loop Heat Pumps'' and proposed in section 4.2.1 
of proposed appendix D1 that representations of EER and COP at the 
standard rating conditions for ``Ground-loop Heat Pumps'' would be 
optional. Id.
---------------------------------------------------------------------------

    \13\ AHRI commented in response to the December 2021 NOPR that 
DOE incorrectly identified the relevant table numbers of AHRI 1230-
2021. They clarified that Table 8 of AHRI 1230-2021 outlines 
``standard rating conditions'' for air-source VRF multi-split 
systems, while Tables 9 and 10 provide these conditions for water-
source VRF multi-split systems for cooling mode and heating mode, 
respectively. (AHRI, No. 12 at p. 10) DOE has corrected these 
references in this final rule.
---------------------------------------------------------------------------

    In response to DOE's proposed rating conditions, NYSERDA encouraged 
DOE to work with industry stakeholders to improve the 
representativeness of heating-mode performance ratings by: (1) adding 
rating points at colder ambient temperatures and (2) encouraging DOE to 
shift from regulating based on a single test point to an integrated 
heating metric. NYSERDA asserted that the VRF heating performance 
rating (COP at 47 [deg]F) does not provide customers with sufficient 
information to determine equipment performance at temperatures 
experienced by New Yorkers during much of the winter season. 
Specifically, the commenter advocated that a rating condition at colder 
temperatures such as 5 [deg]F or 0 [deg]F is needed to provide colder 
climates with the data necessary to determine which VRF equipment is 
most appropriate. NYSERDA also encouraged DOE to change the test 
condition used for determining heating capacity from 47 [deg]F to 17 
[deg]F (or lower). Regarding an integrated heating metric, NYSERDA 
commented that although integrated ratings are not reflective of any 
specific building type or climate zone, they provide a relative ranking 
of products, thereby allowing consumers to understand which models are 
likely to perform better than others across a range of ambient 
temperatures and load levels on the equipment. NYSERDA commented that 
an integrated heating metric for VRFs would be more representative than 
COP at 47 [deg]F. (NYSERDA, No. 6 at p. 2) Furthermore, NYSERDA 
requested that if its comments could not be addressed in the current 
rulemaking, then it asked DOE to consider its comments for the next 
update of VRF test procedures. (NYSERDA, No. 6 at p. 3) No other 
comments were received as to the proposed test conditions for VRF 
multi-split systems.
    In response, DOE notes that for VRF multi-split systems, the 
generally accepted industry test procedure is AHRI 1230-2021, which for 
air-source heat pumps only includes provisions to determine the COP 
rating at a high temperature point of 47 [deg]F and at a low 
temperature point of 17 [deg]F (outdoor air dry-bulb temperatures). 
Neither AHRI 1230-2021 nor previous versions of AHRI 1230 include the 
provisions needed to determine heating performance at other outdoor 
temperatures or specify an integrated metric for heating.
    Regarding the addition of heating conditions at temperatures colder 
than 17 [deg]F or adoption of an integrated heating metric (which as 
described by NYSERDA, would involve adding part-load heating tests), at 
this time, DOE lacks sufficient evidence to adopt tests for VRF multi-
split systems at conditions other than those specified in the updated 
industry consensus test procedure, AHRI 1230-2021. Further, DOE does 
not have data as to representative test conditions, load levels, and 
weighting factors to be included in an integrated heating metric for 
VRF multi-split systems.
    Regarding the suggestion that rated heating capacity be based on 
performance at 17 [deg]F instead of 47 [deg]F,

[[Page 63869]]

NYSERDA did not provide evidence that heating capacity measured at 17 
[deg]F would be more representative for VRF multi-split systems for the 
nation as a whole. Further, all other commercial heat pump equipment 
categories regulated by DOE also have the rated heating capacity 
measured at 47 [deg]F, thus allowing comparison at the same condition 
across equipment categories. Additionally, the AHRI Directory of 
Certified Product Performance \14\ includes heating capacity measured 
at both 47 [deg]F and 17 [deg]F; therefore, to the extent stakeholders 
are interested in heating capacity of VRF multi-split systems at 17 
[deg]F, they can obtain such information from the data made publicly 
available in the AHRI Directory for systems included in AHRI's 
certification program.
---------------------------------------------------------------------------

    \14\ The AHRI directory for VRF multi-split systems is available 
at: www.ahridirectory.org/NewSearch?programId=72&searchTypeId=3 
(Last accessed July 8, 2022).
---------------------------------------------------------------------------

    DOE notes that NYSERDA acknowledged that the Department is 
finalizing its test procedure rulemaking for VRF multi-split systems 
and that the commenter's suggestions may not be able to be incorporated 
in this rulemaking. Absent data supporting the representativeness of 
alternate test conditions and an alternate metric, as well as a lack of 
information as to which test conditions would be included in a 
representative integrated heating metric, DOE is not considering test 
conditions or metrics for VRF multi-split systems other than those 
proposed in the December 2021 VRF TP NOPR. Therefore, DOE is not 
adopting a lower-temperature heating test or an integrated heating 
metric for VRF multi-split systems, as recommended by NYSERDA. For the 
reasons discussed in the December 2021 VRF TP NOPR and in the preceding 
paragraphs, DOE is finalizing its proposals from the December 2021 VRF 
TP NOPR regarding test conditions for VRF multi-split systems.

E. Controls Verification Procedure

    Section 5.1.2.1 of AHRI 1230-2021 specifies that during steady-
state performance rating tests for cooling and heating efficiency, VRF 
multi-split systems must operate under commands from system controls 
except for certain components, referred to as ``critical parameters,'' 
which are allowed to be set by a manufacturer's representative. These 
critical parameters are (1) compressor speed(s), (2) outdoor fan 
speed(s), and (3) outdoor variable valve positions. Settings for 
critical parameters are allowed to be manually controlled using a 
manufacturer control tool, as opposed to all other components which 
must operate per commands from the system controls. The measured 
performance of VRF multi-split systems depends, in part, on the 
operating positions of each of these critical parameters. Accordingly, 
Section 5.1.2 of AHRI 1230-2021 states that operational settings for 
each of the critical parameters must be specified in the STI, and that 
each of the critical parameters must be allowed to be manually adjusted 
(to match the STI-certified values) during testing.
    AHRI 1230-2021 also includes a normative Appendix C that specifies 
a CVP. The purpose of the CVP is to validate that the observed 
positions of critical parameters during the CVP are within tolerance of 
the STI-certified critical parameter values that are set by the 
manufacturer in steady-state IEER cooling tests (see section III.E.4 of 
this final rule for discussion of CVP results). This ensures that the 
measured results of the IEER test procedure are based on critical 
parameter settings that are representative of critical parameter 
behavior that would be experienced in the field. The December 2021 VRF 
TP NOPR includes additional information about the CVP. See 86 FR 70644, 
70658-70663 (Dec. 10, 2021).
1. Background
    DOE's current test procedure for VRF multi-split systems includes 
allowances in 10 CFR 431.96(f) for limited manufacturer involvement in 
assessment or enforcement testing. A manufacturer's representative may 
adjust components such as the compressor speed, fan speeds, and valve 
positions for the purposes of achieving steady-state conditions during 
testing. 10 CFR 431.96(f). This adjustment process is provided for VRF 
multi-split systems because of the complexity of VRF multi-split 
systems and the variety of settings needed to perform a test. 77 FR 
28928, 28946 (May 16, 2012). DOE's current certification requirements 
for VRF multi-split systems, found at 10 CFR 429.43(b)(4), specify that 
the STI must include compressor frequency setpoints and required dip 
switch/control settings for step or variable components. However, DOE's 
current regulations do not require these settings to match system 
behavior when the VRF multi-split system is operating under its own 
controls. Further, there are no constraints regarding the allowable 
range of adjustments that a manufacturer's representative may make to 
reach steady-state operation.
    In October 2018, during the negotiation meetings of the Working 
Group, the CA IOUs raised concern (supported by field and laboratory 
test data) as to the representativeness of the ANSI/AHRI 1230-2010 
method, particularly with respect to control inputs used at part-load 
test conditions. (Docket Nos. EERE-2018-BT-STD-0003-0011 and EERE-2018-
BT-STD-0003-0013) Ultimately, the VRF TP Term Sheet from the Working 
Group recommended that DOE adopt an updated draft of AHRI 1230 that 
included a controls verification procedure as an appendix. (Docket No. 
EERE-2018-BT-STD-0003-0044 at pp. 1-2)
    Appendix C of AHRI 1230-2021 establishes a CVP.\15\ The CVP 
verifies whether critical parameter settings certified in the STI, 
implemented by the manufacturer's representative during full-load and 
part-load steady-state cooling tests for IEER, are within the range of 
settings that would be used by the system during operation in the 
field--the system's native controls. The behavior of each critical 
parameter is monitored and recorded throughout the duration of a CVP. 
In contrast to steady-state tests in which test conditions are held 
constant, the CVP is a dynamic cooling test method in which certain 
test conditions are intentionally varied throughout the test. 
Specifically, the indoor room dry-bulb temperature is steadily 
decreased during the CVP using the room conditioning apparatus, in 
order to determine how the VRF multi-split system under test responds 
to approaching and achieving its setpoint. Outdoor room test conditions 
are held constant during the CVP. The CVP may be conducted at any of 
the four IEER outdoor air or entering water temperature conditions. At 
the start of the CVP, the indoor room test chamber temperature is 
controlled to a manufacturer-specified value that must be between 82 
[deg]F and 86 [deg]F, and the VRF indoor units are set to control to a 
constant indoor temperature, 80 [deg]F, except as explained by Section 
5.1.5 of AHRI 1230-2021. Section 5.1.5 provides instructions for 
adjusting the VRF indoor unit setpoints (deviating from 80 [deg]F) to 
account for setpoint bias and setpoint offset.\16\ VRF indoor units

[[Page 63870]]

typically use the calculated temperature difference between the 
setpoint and the measured indoor air temperature as a control parameter 
for determining when to shut down and become thermally inactive.
---------------------------------------------------------------------------

    \15\ The concept for the CVP originated from a minimum 
compressor speed verification procedure provided in Japanese 
standard JIS B 8616:2006, Package Air Conditioners, which is 
included as an informative reference in appendix B of AHRI 1230- 
2021, but not directly referenced within AHRI 1230-2021. Available 
at www.jsajis.org/index.php?main_page=product_info&cPath=2&products_id=13290.
    \16\ AHRI 1230-2021 provides the following definitions for these 
terms in sections 3.29 and 3.30, respectively:
    Setpoint Bias--The difference between 80 [deg]F and the nominal 
thermostat setpoint required for the thermostat to control for 80 
[deg]F sensed temperature at the sensed location.
    Setpoint Offset--The difference between the temperature 
indicated by a thermostat's temperature sensor and the actual 
temperature at the sensor's location.
---------------------------------------------------------------------------

    As discussed, the timing of the first indoor unit becoming 
thermally inactive dictates the allowable time period for determining 
whether certified critical parameter values have been validated, so it 
is crucial to account for setpoint bias and offset to ensure repeatable 
test results. After setting initial indoor air temperature, including 
any adjustments to control for setpoint bias and offset, the CVP 
proceeds by incrementally decreasing the indoor room test chamber 
temperature while the VRF multi-split system setpoint is held constant. 
As the indoor room temperature approaches and eventually passes below 
the VRF multi-split system setpoint, the VRF multi-split system 
controls should begin to register that the cooling demand has been 
satisfied, and the system will begin to ``unload,'' meaning reduce 
capacity.\17\ VRF multi-split systems typically unload by modulating 
component settings, including critical parameters, from the values used 
when providing full-load cooling capacity.
---------------------------------------------------------------------------

    \17\ Figure C.1 in AHRI 1230-2021 displays an example schematic 
of the indoor dry-bulb temperature in [deg]F, compressor speed in 
Hz, and the number of thermally active indoor units over the 
duration of a CVP test.
---------------------------------------------------------------------------

    During this unloading period and up until the time that the first 
indoor unit becomes thermally inactive, critical parameters are 
compared against the critical parameter values that are certified in 
the STI. Once the first indoor unit becomes thermally inactive, the 
indoor room dry-bulb temperature continues decreasing until the indoor 
room reaches 77 [deg]F. Section C6 of AHRI 1230-2021 includes equations 
for determining ``RSS Points Total'' \18\--an aggregated and normalized 
measure of deviation of all critical parameters from their certified 
values--and also includes criteria for determining whether or not the 
CVP has validated the certified critical parameter settings. The 
verification criteria specified in Section C6 of AHRI 1230-2021 for 
critical parameters measured during the CVP constitute a ``budget 
method'' that applies a limit to the calculated RSS Points Total across 
all three critical parameters instead of applying individual tolerances 
to each individual critical parameter.\19\ This method allows 
manufacturers flexibility in critical parameter control strategies 
while still constraining the overall variation in VRF multi-split 
system performance. The budget method can be applied the same way 
regardless of the number of critical parameters that a manufacturer 
certifies to their STI. For any critical parameter whose value is not 
certified in the STI, (i.e., not designated as being controlled during 
the IEER cooling tests), the deviation in that parameter will be 
calculated as zero for the duration of the CVP. Section C6.1.2 of AHRI 
1230-2021 specifies that the certified critical parameters are valid if 
at least one measurement period of at least three minutes and a minimum 
of five sample readings exists where the average RSS Points Total is 
less than or equal to 70 points. Section C6.1.3 specifies the converse, 
i.e., if no such measurement period satisfying those critical 
parameters exists within the CVP, then certified critical parameter 
values are deemed invalid. As discussed and for the reasons explained 
in the following sections, DOE is generally adopting the CVP provisions 
as proposed in the December 2021 VRF TP NOPR.
---------------------------------------------------------------------------

    \18\ In response to the December 2021 NOPR, the CA IOUs 
commented that there were certain incorrect section references in 
the December 2021 NOPR. They stated that proposed changes to 10 CFR 
429.134(s)(3)(ii)(B) state that the RSS points total is defined in 
Section 3.26 of AHRI 1230-2021, while the definition is actually in 
section 3.27. (CA IOUs, No. 11 at p. 4). DOE has corrected the 
section references in this final rule.
    \19\ In addition to recommending inclusion of a CVP as an 
appendix to the draft AHRI 1230, the VRF TP Term Sheet also 
recommended that DOE determine appropriate values for critical 
parameter tolerances using manufacturer-provided data. DOE 
subsequently conducted testing and sensitivity analysis of several 
VRF multi-split systems. The results were used to develop the 
``budget method'' for CVP critical parameter verification specified 
in Section C6 of AHRI 1230-2021.
---------------------------------------------------------------------------

2. When the CVP Is Conducted
    In the December 2021 VRF TP NOPR, DOE proposed to adopt the CVP 
that is specified in appendix C of AHRI 1230-2021 in the product-
specific enforcement provisions for VRF multi-split systems at 10 CFR 
429.134(s). 86 FR 70644, 70661 (Dec. 10, 2021). Additionally, DOE 
proposed to specify at 10 CFR 429.134(s)(3) that DOE would conduct a 
CVP at each of the four IEER cooling test conditions in the December 
2021 VRF TP NOPR. Id. DOE also proposed to specify that the CVP would 
be performed first at the full-load cooling condition to determine 
maximum critical parameter values, before conducting the CVP at part-
load cooling conditions because the maximum critical parameter values 
are used for calculating normalized deviation for CVPs at part-load 
conditions. Id.
    The CA IOUs, Daikin, and AHRI commented that they support DOE's 
proposal to incorporate the CVP into its product-specific enforcement 
provisions. (CA IOUs, No. 11 at p. 2; Daikin, No. 13 at p. 4; AHRI, No. 
12 at p. 5) The CA IOUs stated that this proposal captured the intent 
of the VRF TP Term Sheet and that this proposal will capture the 
benefits of the CVP while limiting test burden primarily to the systems 
included in enforcement testing. (CA IOUs, No. 11 at p. 2)
    NEEA commented that the CVP is an essential process to verify that 
the system can perform according to its rating. NEEA recommended that 
the CVP should be required as a part of the test procedure, not only 
included in enforcement provisions. The commenter stated that, without 
performing a CVP as part of the test procedure, the manufacturer may 
not be aware that its equipment is underperforming until DOE selects it 
for enforcement testing. (NEEA, No. 14 at pp. 2-3)
    Joint Advocates and the CA IOUs commented that they support DOE's 
proposal to conduct a CVP at each of the four load points. The CA IOUs 
stated that the CVP is important at part-load conditions, where 
deviation in the VRF system performance is expected to be largest. (CA 
IOUs, No. 11 at p. 2; Joint Advocates, No. 9 at p. 2) AHRI and Daikin 
pointed out that DOE's proposal to conduct a CVP at each load point 
would be more than what is required for AHRI's certification program. 
(AHRI, No. 12 at p. 10; Daikin, No. 13 at p. 7) Daikin further 
commented that, due to the relative newness of the CVP, manufacturers 
would likely perform the same CVP tests that DOE would perform as part 
of enforcement testing, thereby increasing test burden. (Daikin, No. 13 
at p. 7) AHRI further commented that other than conducting the CVP at 
all load points, the burdens of the NOPR proposals are similar to 
current industry practice as indicated by AHRI 1230-2021. (AHRI, No. 12 
at p. 10)
    With regards to NEEA's comment, DOE did consider the potential 
burden and benefits of including the CVP as part of the Federal test 
procedure, and this evaluation revealed the following. To start, DOE 
notes that the CVP is not required for rating models as part of the 
industry consensus test procedure (AHRI 1230-2021). Per the 
certification requirements adopted in this final rule (see section 
III.G.2.b of this document), manufacturers will be required to report

[[Page 63871]]

the critical parameter settings at each of the IEER test conditions as 
part of their STI. Consequently, DOE expects that manufacturers likely 
will develop these certified values first through investigative testing 
of some basic models and then later, as knowledge of VRF control 
systems improves, through simulations. However, DOE expects that 
manufacturers may determine that they do not need to conduct the CVP on 
every basic model in order to understand the behavior of the system 
controls to develop certified critical parameters. For instance, a 
manufacturer may conduct a CVP on one or two models within a model line 
and find that the resulting information provides an adequate basis to 
develop certified critical parameters for other models in the model 
line (e.g., similar models of differing capacities). Further, 
manufacturers likely will have some understanding of the dynamic system 
controls behavior of their models without conducting the CVP. Requiring 
conducting the CVP for rating every basic model would not provide 
manufacturers this discretion, and it could result in unnecessary and 
costly testing.
    Requiring the CVP to be conducted for every basic model would 
require manufacturers to physically test every basic model of VRF 
multi-split systems. Per current regulations at 10 CFR 429.43 and 10 
CFR 429.70, manufacturers are allowed to rate VRF multi-split systems 
using AEDMs and are not required to test every basic model. Therefore, 
requiring the CVP to be conducted for every basic model would 
substantially increase the number of basic models required to be 
physically tested. Further, as described in the December 2021 VRF TP 
NOPR, DOE estimated that the CVP would add approximately eight hours of 
test time at each of the four IEER load conditions during enforcement 
testing. 86 FR 70644, 70669 (Dec. 10, 2021). If the CVP were required 
to be used at each IEER test condition, each basic model would 
potentially require over 30 hours of testing time for the CVP, beyond 
the testing time required to measure IEER.
    Because manufacturers likely will conduct CVP testing and 
simulation on a number of their VRF models in order to determine 
representative certified settings for critical parameters in the STI 
for all basic models, DOE finds that NEEA's suggestion to include the 
CVP as part of the test procedure for VRF multi-split systems would not 
substantially change the critical parameter settings manufacturers 
would certify, and, thus, would not provide a significant increase in 
representativeness of the test procedure. Further, NEEA's suggestion 
would impose significantly more burden on manufacturers than the 
approach proposed in the December 2021 VRF TP NOPR, because it would 
require physical testing and conducting the CVP for every basic model, 
rather than allowing manufacturers to decide the appropriate balance of 
CVP testing and test burden to develop certified critical parameter 
settings. Contrary to what NEEA suggests, DOE also finds it unlikely 
that manufacturers would not take appropriate steps to assess their 
equipment's performance under the CVP, particularly given the potential 
business disruptions likely to result were underperformance to be 
encountered for the first time in the context of DOE enforcement 
testing. Given that not requiring the CVP for testing is consistent 
with the VRF TP Term Sheet and the most recent industry consensus test 
procedure, DOE does not have sufficient evidence to conclude that 
requiring the CVP for testing would improve the representativeness of 
the test procedure without being unduly burdensome. Therefore, DOE is 
adopting the CVP as product-specific enforcement provisions for VRF 
multi-split systems in 10 CFR 429.134(s) as proposed.
    With regard to conducting the CVP at all four IEER load points, DOE 
found through its investigative testing that there is substantial 
variability in VRF system behavior observed at different IEER load 
points, and that the system controls behavior at one IEER point does 
not necessarily predict behavior at a different load point. Therefore, 
DOE concludes that separately validating critical parameter behavior at 
each IEER condition is needed as part of DOE enforcement testing in 
order to sufficiently ensure representative system controls behavior. 
In consideration of these factors and comments received, in this final 
rule, DOE is adopting its proposals at 10 CFR 429.134(v)(3) regarding 
performing a CVP at full-load cooling conditions first, then at each of 
the part-load cooling conditions.
    Adoption of the CVP in enforcement provisions will not require 
manufacturers to conduct the CVP on every basic model. As previously 
discussed, manufacturers likely will choose not to conduct the CVP for 
every basic model of VRF multi-split systems, as they may find that 
simulations, similarity between basic models (particularly between 
models within a model line), and their understanding of the behavior of 
their system controls provide sufficient basis to develop certified 
critical parameter settings for some of their model offerings. To the 
extent that manufacturers conduct CVP testing on their models in order 
to sufficiently understand systems behavior, DOE acknowledges that its 
adoption of CVP testing at all four IEER load points for enforcement 
testing (rather than just at one IEER load point) may result in 
manufacturers conducting the CVP at more IEER load conditions than they 
otherwise would have. DOE acknowledges that in certain scenarios, 
running three more CVPs could take up to 24 hours. However, by 
performing the CVP at the same time as IEER testing, there would be no 
additional test burden associated with unit set-up/commissioning. 
Additionally, a CVP could be completed immediately following a steady-
state test run at the corresponding IEER load point, in which case 
there would be no need to change the test chamber temperatures prior to 
conducting the CVP. Therefore, DOE concludes that for the basic models 
for which manufacturers choose to conduct the CVP, conducting the CVP 
at all four IEER load points would not be unduly burdensome and would 
increase the representativeness of the test procedure. As discussed, 
DOE has concluded that conducting the CVP at all four IEER load points 
is needed to ensure representative system behavior. Therefore, DOE is 
adopting its proposals at 10 CFR 429.134(v)(3) that as part of 
assessment or enforcement testing, DOE will perform a CVP at full-load 
cooling conditions first, then at each of the part-load cooling 
conditions.
    In the December 2021 VRF TP NOPR, DOE also proposed to specify that 
the CVP would be performed on a single system of the two-system sample 
during enforcement testing. 86 FR 70644, 70661-70662 (Dec. 10, 2021).
    AHRI, Lennox, the CA IOUs, and Daikin commented that performing a 
CVP on a single system is adequate, provided that the testing 
laboratory ensures the set-up is correct and that a manufacturer 
representative is involved. (AHRI, No. 12 at p. 5; Lennox, No. 8 at p. 
3; CA IOUs, No. 11 at p. 2; Daikin, No. 13 at p. 4)
    For the reasons discussed in the December 2021 VRF TP NOPR and in 
the preceding paragraphs, DOE adopts its proposal to perform the CVP on 
a single system during assessment or enforcement testing. DOE is 
clarifying in this final rule that a CVP would be performed on a single 
system, regardless of the sample size used for enforcement (see section 
III.G.7 of this document for further discussion of the enforcement 
sampling plan). DOE's use of the CVP during assessment and enforcement

[[Page 63872]]

testing is illustrated in Figure 1 in section II of this final rule.
3. Critical Parameter Definition
    In the December 2021 VRF TP NOPR, DOE proposed not to reference the 
definition of ``critical parameters'' in Section 3.11 \20\ of AHRI 
1230-2021 in order to be more explicit that the term ``critical 
parameters'' refers only to those parameters specified by Section 
5.1.2.1 of AHRI 1230-2021. DOE proposed to define critical parameters 
in section 3 of appendix D1 as specifically referring to the following 
settings of modulating components of VRF multi-split air conditioners 
and heat pumps: compressor speed(s), outdoor fan speed(s) and outdoor 
variable valve position(s). 86 FR 70644, 70659 (Dec. 10, 2021). DOE 
tentatively concluded that the proposed change to the definition is 
editorial in nature and would not change or conflict with any testing 
provisions in AHRI 1230-2021. Id. at 86 FR 70659-70660.
---------------------------------------------------------------------------

    \20\ The CA IOUs stated that in proposed updates to 10 CFR 
431.97, subpart F, appendix D1, DOE states that critical 
parameter(s) are defined in section 3.10 of AHRI 1230-2021, but the 
correct reference should be to section 3.11 of that industry 
standard. (CA IOUs, No. 11 at p. 4) DOE acknowledges this 
typographical error and has corrected the section references in this 
final rule.
---------------------------------------------------------------------------

    AHRI and Daikin commented that the original definition for critical 
parameters as written in AHRI 1230-2021 should be used in the DOE test 
procedure. (AHRI, No. 12 at p. 3; Daikin, No. 13 at p. 2) AHRI stated 
that Section 5.1.2.1 of AHRI 1230-2021 specifies what the critical 
parameters are for a given system and stated their preference that this 
be enumerated in the test requirements rather than the definition so as 
to align with AHRI 1230-2021. (AHRI, No. 12 at p. 3) Daikin argued that 
the proposed revision to the definition does not add more specificity 
to which components can be adjusted. (Daikin, No. 13 at p. 2) The CA 
IOUs commented that they support DOE's proposed definition for 
``critical parameters'' and limiting the term to the parameters 
specified in section 5.1.2.1 of AHRI 1230-2021, and they agreed with 
DOE that the proposal would not conflict with any testing provisions in 
AHRI 1230-2021. (CA IOUs, No. 11 at p. 4) Lennox commented that they 
support DOE's proposal to clarify that critical parameters are limited 
to compressor speeds, outdoor fan speeds, and outdoor variable valve 
positions, stating that the proposed definition would provide clarity 
and consistency when conducting a CVP. (Lennox, No. 8 at p. 3)
    While section 5.1.2.1 of AHRI 1230-2021 clearly enumerates the 
three types of components that can be specified for testing and 
verified by conducting a CVP, the definition of ``critical parameter'' 
in AHRI 1230-2021 is rather vague, open-ended, and susceptible to a 
reading that would permit inclusion of components that cannot be 
overridden during testing (i.e., components other than compressor 
speed(s), outdoor fan speed(s) and outdoor variable valve position(s)). 
DOE concludes that specifying the relevant components in the definition 
will add clarity to the test procedure without conflicting with 
existing provisions or adding duplicative language into the test 
procedure. Therefore, for the reasons discussed in the December 2021 
VRF TP NOPR and in this paragraph, DOE is adopting its proposed 
definition for critical parameters that specifically refers to the 
relevant components: compressor speed(s), outdoor fan speed(s) and 
outdoor variable valve position(s).
4. Validation of Certified Critical Parameters
    As previously discussed, Sections C6.1.2 and C6.1.3 of AHRI 1230-
2021 specify validation criteria for the CVP using a budget method that 
limits the calculated RSS Points Total across all three critical 
parameters. In the December 2021 VRF TP NOPR, the Department discussed 
this matter in some detail, and DOE tentatively determined that the 
language in Sections C6.1.2 and C6.1.3 of AHRI 1230-2021 could be 
construed and applied in multiple manners, and that this could lead to 
differing test burdens. 86 FR 70644, 70660 (Dec. 10, 2021). The phrase 
``a measurement period of at least three minutes and a minimum of five 
sample readings'' could be misunderstood to indicate a measurement 
period with no upper limit, potentially encompassing the entire 
duration of the CVP. This reading could be misunderstood to require 
iterative calculations of time periods of varying lengths when 
validating critical parameters during the CVP (e.g., all three-minute 
periods, and all four-minute periods, and all five-minute periods). 
Taken to an extreme, this would result in thousands of calculations. 
Further, the language ``where the average RSS Points Total is less than 
or equal to 70 points'' does not indicate the specific procedure for 
determining the average value of RSS Points Total--i.e., whether 
``average'' refers to the average value within the measurement period 
or the cumulative average value of RSS points at the time of 
measurement. Id.
    Accordingly, DOE proposed to clarify these provisions by providing 
additional instructions for validating critical parameters in 10 CFR 
429.134(s)(3)(ii). Id. Specifically, DOE proposed to specify that the 
duration of the time period used for validating critical parameters 
must be whichever of the following is longer: three minutes or the time 
period needed to obtain five sample readings while meeting the minimum 
data collection interval requirements of Table C2 of AHRI 1230-2021. 
Id. DOE also proposed to specify that if at least one measurement 
period (with the aforementioned duration) exists before the first 
indoor unit goes thermally inactive that has an average RSS Points 
Total less than or equal to 70 points, then the certified critical 
parameter values are validated. Id.
a. Validation Time Period
    Regarding DOE's proposal to clarify the language about the length 
of time used for the critical parameter validation period, AHRI 
commented that DOE should not specify a duration for the measurement 
period used for validating critical parameters. AHRI argued that it is 
not necessary to change existing language, as increasing testing 
duration will not improve the ability of the equipment to conform to 
testing conditions. (AHRI, No. 12 at pp. 3-4) Daikin commented that 
while they agree with DOE's interpretation that technically a maximum 
validation time period is not specified in AHRI 1230-2021, a longer 
test run would result in a higher RSS point total. Daikin stated that 
this is detrimental to determining whether the critical parameters are 
valid and asserted that a manufacturer would likely test using the 
shortest time period permitted by AHRI 1230-2021 (3 to 4 minutes). 
(Daikin, No. 13 at p. 3) Despite both AHRI and Daikin indicating that a 
maximum limit for critical parameter validation is not necessary, they 
acknowledged that there may be merit in adding a maximum time period 
and suggested changing this period to twice that proposed (i.e., 8 
minutes). Daikin and AHRI provided three reasons to justify their 
proposals: (1) there may be difficulty achieving all three critical 
parameter values at the same time; (2) if any one critical parameter 
achieves its target setpoint before the other critical parameters, the 
system is penalized for going beyond the target setpoint; and (3) the 
newness of the CVP results in greater uncertainty. (AHRI, No. 12 at pp. 
3-4; Daikin, No. 13 at p. 3)

[[Page 63873]]

    In response, DOE understands Daikin's comment to reflect a 
misunderstanding of the calculation of the RSS points total, by 
suggesting the potential for accumulating more points as more time 
passes. As specified in Section C6.1.1 of AHRI 1230-2021, RSS points 
total is calculated at each data collection interval during the R2 
period \21\ as an instantaneous measurement, and, therefore, it does 
not accumulate over time. AHRI's comments seemingly contradict each 
other, as it in one place calls for an 8-minute maximum period while at 
another place it states that a maximum period would have no effect. 
With respect to AHRI and Daikin's claims about the timing with which 
critical parameters achieve their target operating states, DOE is aware 
of the possibility that system controls may achieve desired setpoints 
for one critical parameter at a different time during the CVP than 
other critical parameters. However, the purpose of the CVP is to 
validate that the measured results of the IEER test procedure are based 
on critical parameter settings that are representative of critical 
parameter behavior that would be experienced in the field. Because the 
measured performance of VRF multi-split systems is dependent on the 
simultaneous interaction of each of the critical parameters, critical 
parameter variation must be evaluated based on the simultaneous 
positions of each parameter, not based on the behavior for each 
parameter at different periods of the CVP. Therefore, DOE concludes 
that for representative IEER test results, the critical parameter 
settings used in IEER testing should be representative of a combination 
of setpoints that would be used simultaneously in real-word 
applications. If the desired critical parameter setpoints are achieved 
in the CVP at times far enough apart that the RSS Points Total limit is 
not met within the maximum length of validation period, then the 
certified critical parameter settings should be invalidated (i.e., not 
used for steady-state IEER testing). Daikin and AHRI also did not 
provide any evidence to support their suggestion for increasing the 
duration of the validation period beyond the duration in DOE's proposed 
clarification of Sections C6.1.2 and C6.1.3 of AHRI 1230-2021. Because, 
as discussed in section III.C.1 of this document, the Working Group 
unanimously recommended that DOE adopt a test procedure referencing 
AHRI 1230-2021, DOE understands AHRI 1230-2021 to represent the 
industry consensus opinion. By extension, DOE understands the critical 
parameter validation time period between 3-4 minutes specified in AHRI 
1230-2021 to reflect consensus on an appropriate validation time 
interval that provides for sufficient data collection and 
representative results.
---------------------------------------------------------------------------

    \21\ Section C4.4.2 of AHRI 1230-2021 defines the ``R2 period'' 
as beginning when the measured indoor dry-bulb temperature first 
crosses from above 82 [deg]F to below 82 [deg]F, and as ending when 
any indoor unit that was designated thermally active at the start of 
the CVP becomes thermally inactive.
---------------------------------------------------------------------------

    For the reasons discussed in the December 2021 VRF TP NOPR and in 
the preceding paragraphs, in this final rule, DOE is adopting its 
proposal to specify in 10 CFR 429.134(v)(3)(ii) the duration of the 
time period used for validating critical parameters. The additional 
instruction results in a validation period lasting a minimum of three 
minutes and a maximum of four minutes. For tests using the longest 
allowable data collection interval,\22\ the time required to obtain 
five sample readings would be four minutes (once at the start of the 
interval plus four successive measurements, once each minute). For 
tests using shorter data collection intervals, the validation time 
period would be either the time required to achieve five sample 
readings or three minutes, whichever is longer.
---------------------------------------------------------------------------

    \22\ Table C2 of AHRI 1230-2021 specifies the minimum data 
collection intervals for recording data during the CVP.
---------------------------------------------------------------------------

b. Validation Criteria
    Regarding DOE's proposal to validate certified critical parameters 
based on the presence of a period (with duration discussed in section 
III.E.4.a of this document) having an average RSS points total less 
than or equal to 70 points, the CA IOUs commented that they agree that 
the RSS Point Total budget of 70 points should be large enough to 
account for any potential source of variability. (CA IOUs, No. 11 at 
pp. 2-3) In contrast, AHRI and Daikin commented that CVP testing has 
only been conducted on a limited subset of products, with very few 
water-source products and no products over 240,000 Btu/h. These 
commenters further asserted that no lab-to-lab test validation has been 
conducted, especially between manufacturer laboratories and third-party 
laboratories. AHRI and Daikin also asserted that manufacturers have 
observed that changes in the indoor chamber temperature ramp rate 
impact the unit's ability to meet the average RSS points total and to 
reach conditions of the CVP. For these reasons, AHRI and Daikin 
recommended that in the case that a CVP invalidates the certified 
critical parameter settings during enforcement testing, DOE should 
require that a second CVP be conducted at an adjusted ramp rate to re-
attempt validation. (AHRI, No. 12 at pp. 4-5; Daikin, No. 13 at pp. 3-
4)
    Regarding AHRI and Daikin's claims about the potential for 
variation between different CVP test runs, as discussed in section 
III.E.1 of this final rule, the budget method (adopted at 10 CFR 
429.134(v)(3)(ii) in this final rule) allows manufacturers flexibility 
in critical parameter control strategies while still constraining the 
overall variation in VRF multi-split system performance. Following 
Working Group meetings, DOE conducted testing and sensitivity analysis 
of several VRF multi-split systems, the results of which were 
incorporated into the development of the budget method for CVP critical 
parameter verification specified in Section C6 of AHRI 1230-2021. The 
70-point threshold was developed as part of AHRI 1230 Technical 
Committee meetings in which DOE presented anonymized and aggregated 
test data. As part of those meetings, DOE presented its finding that a 
minimum point budget of 32 points was required to account for the lab-
to-lab and test-to-test variability observed in critical parameter 
behavior between CVP runs for a single system. (EERE-2018-BT-STD-0003-
0063 at p. 23) To account for additional variability (e.g., sample-to-
sample variability across the same VRF multi-split system and 
variability across different types of VRF multi-split systems), DOE 
recommended a 60-point budget to the Technical Committee. (Id) The 
Technical Committee ultimately agreed to specify a 70-point budget in 
AHRI 1230-2021. Additionally, in the December 2021 VRF TP NOPR, DOE 
specifically requested test data demonstrating any issues with 
repeatability and reproducibility of the CVP that would indicate that 
the 70-point budget for critical parameter variation included in the 
industry consensus test procedure AHRI 1230-2021 is insufficient. 86 FR 
70644, 70662 (Dec. 10, 2021). DOE did not receive any data in response 
to this request. For these reasons, DOE concludes that based on all 
available data, the RSS points total budget of 70 points is 
appropriately flexible to account for any issues with lab-to-lab and 
unit-to-unit repeatability when conducting the CVP.
    With regard to AHRI and Daikin's proposal to allow a second CVP to 
be conducted at an alternate ramp rate, DOE does not have sufficient 
information to support such an addition. As codified in this final 
rule, manufacturers will be responsible for reporting in their STI 
specific

[[Page 63874]]

instructions for conducting the CVP including ramp rate, starting 
temperature, and thermally active indoor units. The CVP then includes 
provisions for ensuring that the test laboratory properly conducts the 
CVP per manufacturer specifications. Manufacturers also will be 
required to report certified critical parameter values in their STI, 
which the manufacturer may develop based on a CVP conducted using the 
same instructions. These three provisions are all aligned to ensure the 
CVP is performed consistently and that results are more predictable 
(i.e., manufacturers can set their own ramp rate and CVP conditions, 
within bounds of the test procedure, that would provide the most 
consistent results). Additionally, DOE reiterates that the budget 
method used for validating critical parameters was designed to give 
enough flexibility to account for lab-to-lab and test-to-test variation 
in CVP results. Allowing an additional CVP run to attempt validation of 
critical parameters would in effect expand the uncertainty allowance 
beyond that agreed upon by the AHRI 1230 Technical Committee and 
addressed in AHRI 1230-2021. Therefore, in this final rule DOE is not 
adopting the suggestion to allow a second CVP to be conducted at an 
alternate ramp rate.
    AHRI further commented that if DOE's proposals regarding CVP 
validation of certified critical parameters were implemented as 
enforcement guidance instead of through regulation, then the provisions 
could be changed or rescinded more easily as industry gains experience 
with conducting the CVP. (AHRI, No. 12 at p. 5)
    As discussed, the CVP provisions (including the RSS points total 
budget of 70 points) were developed using the data gathered by testing 
several VRF multi-split systems. These data showed that a 70-point 
budget would be sufficient to account for lab-to-lab and unit-to-unit 
test variability. The provisions have also been thoroughly discussed in 
Working Group and AHRI 1230 Technical Committee meetings prior to 
inclusion in the most recent industry consensus test procedure AHRI 
1230-2021. Therefore, DOE concludes that the CVP provisions are 
appropriate for inclusion in DOE's regulations. Further, DOE finds that 
codifying the CVP provisions in regulation provides greater certainty 
for when and how the CVP would be used and prevents sudden shifts in 
policy or interpretation.
    Based on discussion in the December 2021 VRF TP NOPR and in the 
preceding paragraphs, DOE is adopting its proposal at 10 CFR 
429.134(v)(3)(ii) specifying that if at least one measurement period 
(with the aforementioned duration) exists before the first indoor unit 
goes thermally inactive that has an average RSS Points Total less than 
or equal to 70 points, then the certified critical parameter values are 
validated.
5. Determination of Alternate Critical Parameters
    In the December 2021 VRF TP NOPR, DOE proposed that in cases in 
which a CVP is not conducted, or if a CVP is conducted and the 
manufacturer-specified critical parameters are validated, the critical 
parameter values certified in the STI are to be used as the initial 
control inputs when conducting the IEER cooling test at the 
corresponding full- or part-load cooling condition. 86 FR 70644, 70661 
(Dec. 10, 2021). In cases in which a CVP fails to validate the 
certified critical parameter values, DOE proposed at 10 CFR 
429.134(s)(3)(iii)(B) that alternate critical parameter values would be 
determined by averaging the value for each critical parameter from a 
specified time period of the CVP data, and that these alternate 
critical parameter values would be used for IEER testing in lieu of the 
certified critical parameter values. Id.
    To provide further specification for determining these alternate 
parameters, DOE proposed to use the same procedure for determination of 
measurement period length as was proposed for validation of certified 
critical parameters in 10 CFR 429.134(s)(3)(ii)(A): the longer of three 
minutes or the time period needed to obtain five sample readings while 
meeting the minimum data collection interval requirements of Table C2 
of AHRI 1230-2021. 86 FR 70644, 70661 (Dec. 10, 2021). DOE also 
proposed to select the measurement period for determining alternate 
critical parameter values (with the aforementioned duration) that has 
the lower average RSS points total over the selected period than over 
any other period in the CVP having the same duration. Id. If multiple 
such periods exist with the same RSS Points Total, DOE proposed to 
select the period closest to (but before) the time when the first 
indoor unit becomes thermally inactive (tOff). Id.
    Daikin agreed that neither the Working Group nor the AHRI 1230 
Technical Committee resolved the question of how to determine alternate 
critical parameter values in the case where a CVP invalidates the 
manufacturer's certified values. Daikin concurred with DOE's suggested 
approach for determining alternate critical parameter settings. 
(Daikin, No. 13 at p. 3) DOE did not receive any other comments 
specific to the question of how to determine alternate critical 
parameters following a CVP that fails to validate the manufacturer-
certified critical parameter settings. For the reasons discussed in the 
December 2021 VRF TP NOPR and in this section, DOE is adopting the 
provisions for determining alternate critical parameter values in this 
final rule as proposed.

F. Allowable Critical Parameter Adjustment

1. Adjustment of Certified Critical Parameter Values
    Section 6.3.3 of AHRI 1230-2021 provides instructions for adjusting 
critical parameters during the four specified full- or part-load IEER 
cooling test conditions in order to meet cooling capacity targets or to 
adjust SHR to below the allowable limit. In the December 2021 VRF TP 
NOPR, DOE tentatively determined that amendments to this section of 
AHRI 1230-2021 are required and proposed to specify allowable critical 
parameter adjustments in section 5.2 of appendix D1 to subpart F of 
part 431. 86 FR 70644, 70662 (Dec. 10, 2021). Specifically, DOE 
proposed (1) instructions for calculating critical parameter variation 
(in terms of RSS Points Total) for steady-state IEER cooling tests for 
which the measured capacity is above the target load fraction; (2) 
clarification that upward adjustments to compressor speed (i.e., when 
the measured cooling capacity is too low or when the SHR is above the 
allowable limit) are not constrained by a budget on RSS Points Total; 
and (3) clarification to the instructions for calculating critical 
parameter variation in the scenario where a VRF multi-split system 
contains multiple components corresponding to a single critical 
parameter (e.g., multiple compressors). Id. at 86 FR 70662-70663.
    Daikin expressed support for DOE's proposal to calculate normalized 
critical parameter variation during the adjustment process if tested 
capacity is above the target capacity and also supported the proposal 
to adjust critical parameters to meet capacity requirements. (Daikin, 
No. 13 at p. 4) AHRI supported the clarifications proposed by DOE and 
commented that the Department should provide example calculations for 
each case so as to provide additional clarity. Specifically, AHRI 
mentioned that for systems with multiple modules (i.e., outdoor units), 
there are two types of critical parameters: (1) those that can be set 
for each module and (2) those that have one

[[Page 63875]]

value for multiple modules. (AHRI, No. 12 at p. 6)
    For the reasons discussed in the December 2021 VRF TP NOPR and in 
the preceding paragraphs, DOE is finalizing its proposals to add 
clarifying language to the provisions for determining allowable 
critical parameter adjustments when conducting IEER testing.
    Regarding AHRI's request that DOE provide example calculations for 
``each case'' describing allowable critical parameter adjustments, the 
scope of AHRI's suggestion is unclear (e.g., whether AHRI requested 
example calculations for different equipment classes of VRF multi-split 
systems or for different permutations of critical parameters). Further, 
DOE finds that the proposed instructions for critical parameter 
adjustments are sufficient for testing multi-module VRF multi-split 
systems, even if parameters are controlled jointly across modules. 
Section 5.2 of appendix D1 describes critical parameter adjustments and 
includes provisions that accommodate differential or shared adjustments 
of multiple instances of the same critical parameter (e.g., two 
compressors). Because the existing test provisions sufficiently cover 
the scenario described by AHRI, and because AHRI did not provide any 
other examples of VRF multi-split system configurations or control 
schemes for which the proposed testing provisions for critical 
parameter adjustments are unclear, DOE is not adding example 
calculations for critical parameter adjustments in this final rule.
    In the case that a VRF multi-split system configuration exists that 
raises questions about how the DOE test procedure should apply, DOE 
notes that it will receive general inquiries via email at 
[email protected]. DOE also maintains a repository 
of frequently asked questions pertaining to additional guidance issued 
by DOE.\23\ In addition, if it is ultimately determined that a VRF 
multi-split system configuration exists for which the critical 
parameter adjustment procedures will result in an inability to test the 
system or provide materially inaccurate performance results, 
manufacturers may petition DOE for a test procedure waiver under 10 CFR 
431.401.
---------------------------------------------------------------------------

    \23\ DOE's website houses frequently asked questions (FAQs) 
pertaining to the DOE Appliance Standards Program. The FAQ list is 
available at: https://www.energy.gov/eere/buildings/appliance-standards-guidance-and-frequently-asked-questions-faqs, or 
interested parties may submit a new question at: https://www.energy.gov/eere/buildings/appliance-standards-guidance-and-frequently-asked-questions.
---------------------------------------------------------------------------

2. Adjustment of Alternate Critical Parameter Values
    As described in section III.E.5 of this document, DOE proposed to 
clarify how, in the event that a manufacturer's certified critical 
parameter settings were invalidated through the CVP, alternate critical 
parameters would be determined and used as control inputs during DOE 
enforcement testing. 86 FR 70644, 70663 (Dec. 10, 2021). In the 
December 2021 VRF TP NOPR, DOE elaborated that in such a case, it may 
still be necessary to adjust the alternate critical parameter values in 
order to meet capacity tolerances and SHR limits for the IEER test. 
Accordingly, DOE proposed to include provisions at 10 CFR 
429.134(s)(3)(iii)(B)(3) specifying that in the case of invalidated 
critical parameter values in which DOE determines alternate critical 
parameters, additional adjustments to the alternate critical parameters 
are allowed in order to comply with capacity and/or SHR requirements. 
Id.
    Specifically, DOE proposed to rely on the methods for adjustment of 
critical parameters in proposed section 5.2 of appendix D1 to subpart F 
of part 431 with two modifications. Id. First, DOE proposed that in 
such a case, references in section 5.2 of appendix D1 to critical 
parameter values certified in the STI would be replaced with references 
to alternate critical parameter values determined under the CVP. 
Second, DOE proposed to determine the maximum operating state of each 
critical parameter (referred to as CPMax in AHRI 1230-2021 
and the proposed regulatory text) based on the maximum operating state 
observed during a CVP conducted at 100-percent cooling load conditions, 
instead of using the information certified to the STI for the 100-
percent cooling load point. Id.
    AHRI commented that it supports DOE's proposal to use alternate 
critical parameters for IEER adjustments in the case of invalidated STI 
critical parameters, as this proposal clarifies how a test would be run 
in this situation. (AHRI, No. 12 at p. 6) Daikin commented that DOE's 
proposed adjustments to meet capacity requirements, if not provided by 
the manufacturer in the STI, is acceptable. (Daikin, No. 13 at p. 4) 
DOE did not receive any additional comments on this topic.
    Based on the discussion presented in the December 2021 VRF TP NOPR 
and in the preceding paragraphs, DOE is adopting its proposals for 
section 5.2 of appendix D1 to subpart F of part 431 regarding 
adjustment of alternate critical parameter values.

G. Certification, Compliance, and Enforcement

1. Determination of Represented Values
a. Introduction
    VRF multi-split systems are, by definition, split-system commercial 
package air conditioners and heat pumps that employ an outdoor unit(s) 
and multiple separate indoor fan coil units connected in a single 
refrigerant circuit. 10 CFR 431.92. VRF multi-split heat pumps can be 
configured as heat recovery systems, which allows for recovered energy 
from the indoor units operating in one mode (e.g., cooling) to be 
transferred to one or more other indoor units operating in the other 
mode (e.g., heating). This necessitates a heat recovery box that is 
installed between the outdoor unit and indoor units. Additionally, VRF 
multi-split systems are available with different refrigerant options 
and 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. 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.
    In the December 2021 VRF TP NOPR, DOE proposed several items 
related to configuration of the unit under test and determination of 
represented values. These proposals included instructions on how to 
select indoor unit models (via reference of the tested combination 
requirements specified in section 6.2.1 of AHRI 1230-2021) and 
provisions specifying the different represented values that must be 
made for each indoor unit type within a basic model, as well as 
provisions for determination of represented values for basic models 
distributed in commerce with specific components, heat recovery 
components, and multiple refrigerants. 86 FR 70644, 70663-70665 (Dec. 
10, 2021). These proposals and related stakeholder comments are 
discussed in paragraph III.G.1.b of this document.
    In this final rule, DOE is providing additional discussion to help 
clarify the interplay between the previously proposed representation 
requirements, the proposed indoor unit tested combination requirements, 
and the proposed approach for specific components. The approach 
finalized by this rule is substantively the same as the corresponding 
proposals in the December 2021 VRF TP NOPR. The provisions adopted in 
this final rule and the justification for adopting these

[[Page 63876]]

provisions are described in greater detail in section III.G.1.c of this 
document.
b. NOPR Proposals and Comments
i. Tested Combination and Indoor Unit Combinations
    In the December 2021 VRF TP NOPR, DOE made two proposals pertaining 
to represented values for different combinations of VRF indoor unit 
models. First, DOE proposed to reference the tested combination 
provisions from section 6.2.1 of AHRI 1230-2021 in the test procedure 
at appendix D1. 86 FR 70644, 70663 (Dec. 10, 2021). These provisions 
instruct how to select indoor unit models to comprise a ducted, non-
ducted, or small-duct high-velocity tested combination. Section 6.2.1 
also specifies an indoor unit selection hierarchy based on indoor unit 
sub-type and other design characteristics. For example, to compose a 
non-ducted tested combination, AHRI 1230-2021 specifies compact 4-way 
ceiling cassettes as the highest-priority selection and further 
requires that the indoor unit model having the lowest normalized coil 
volume and lowest-efficiency indoor fan motor within the specified 
indoor unit type must be selected. Second, DOE proposed that 
manufacturers must determine separate represented values for each 
indoor unit tested combination that is distributed in commerce. 86 FR 
70644, 70664 (Dec. 10, 2021). Through this approach, each VRF basic 
model would be required to include separate representations for each of 
the ducted, non-ducted, and small-duct, high-velocity indoor unit 
tested combinations (if distributed in commerce in such a combination). 
DOE also proposed that manufacturers would be allowed to make optional 
``mixed'' representations based on the simple average of represented 
values of any two tested combinations within a basic model. Id.
    In response, AHRI, Carrier, and Daikin commented that they support 
DOE's proposals for determining represented values for different indoor 
unit combinations/mixed combinations. (AHRI, No. 12 at p. 6; Carrier, 
No. 7 at p. 1; Daikin, No. 13 at p. 5). DOE did not receive any 
comments specially addressing its proposal to reference the tested 
combination provisions from section 6.2.1 of AHRI 1230-2021.
ii. Treatment of Specific Components
    AHRI 1230-2021 outlines requirements for specific components in 
Appendix F, ``Unit Configuration for Standard Efficiency 
Determination--Informative.'' Appendix F provides discussion of 
components which would not be considered in representations, and 
provides instructions either to minimize their impact during testing or 
to determine representations for individual models with such components 
based on other individual models that do not include them. In the 
December 2021 VRF TP NOPR, instead of referencing Appendix F of AHRI 
1230-2021, DOE tentatively determined that it was necessary to adopt 
similar instructions in a more comprehensive manner, so the Department 
proposed provisions in the appendix D1 test procedure, in the 
representation requirements at 10 CFR 429.43, and in the enforcement 
provisions at 10 CFR 429.134. 86 FR 70644, 70657 (Dec. 10, 2021).
    Specifically, DOE proposed test provisions in section 6 of appendix 
D1 that instructed how to test a VRF multi-split system equipped with 
any specific component(s) listed in Table 6.1 \24\ of that same 
section. 86 FR 70644, 70686 (Dec. 10, 2021). These provisions were 
designed to minimize the impact on measured performance caused by 
testing with the specific component(s) present. Additionally, 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 in 10 CFR 429.43(a)(4)(i) 
listing the two components for which these provisions would apply (air 
economizers and desiccant dehumidification components). 86 FR 70644, 
70657-70658 (Dec. 10, 2021). DOE also proposed corresponding product 
enforcement provisions in 10 CFR 429.134 indicating that DOE would 
conduct enforcement testing on VRF multi-split systems having 
individual indoor unit models that do not include air economizers or 
dehumidification components, except in certain circumstances. 86 FR 
70644, 70658 (Dec. 10, 2021).
---------------------------------------------------------------------------

    \24\ Table 6.1 includes test provisions for VRF multi-split 
systems equipped with desiccant dehumidification components, air 
economizers, fresh air dampers, hail guards, low ambient cooling 
dampers, power correction capacitors, and/or ventilation energy 
recovery systems (VERS). 86 FR 70644, 70686-70687 (Dec. 10, 2021).
---------------------------------------------------------------------------

    DOE also proposed to adopt language more specific to VRF multi-
split systems, as compared to the general language contained in section 
F2.4 of AHRI 1230-2021. Specifically, DOE proposed to use the term 
``individual indoor unit models'' to account for potential 
discrepancies across individual indoor unit models that comprise the 
VRF multi-split system tested combination. 86 FR 70644, 70657 (Dec. 10, 
2021). DOE's proposed approach would allow for the individual 
consideration of specific components on an indoor unit-by-indoor unit 
basis to account for scenarios in which individual indoor unit models 
in the tested combination differ in components.
    For two components--coated coils and steam/hydronic heat coils--DOE 
did not propose to include these components in the list of specific 
components warranting enforcement relief (i.e., provisions in 10 CFR 
429.43(a)), nor did DOE propose any provisions to minimize their impact 
during testing (i.e., provisions in appendix D1). DOE noted that coated 
coils and steam/hydronic heat coils were not included in the list of 
optional features in Section F2.4 of AHRI 1230-2021, and determined the 
industry consensus to be that coated coils and steam/hydronic heat 
options should not be treated as optional features for VRF multi-split 
systems and/or that VRF multi-split systems are not distributed in 
commerce with these features. 86 FR 70644, 70657 (Dec. 10, 2021).
    Finally, DOE stated that, were DOE to adopt the provisions in 
appendix D1, 10 CFR 429.43, and 10 CFR 429.134 as proposed, DOE would 
rescind the Commercial HVAC Enforcement Policy to the extent it is 
applicable to VRF multi-split systems. 86 FR 70644, 70658 (Dec. 10, 
2021).
    In comments on the December 2021 VRF TP NOPR, Lennox, AHRI, and 
Carrier stated that they support DOE's proposal to include test 
provisions for specific components, as outlined in Table 6.1 of 
Appendix D1. (Lennox, No. 8 at p. 2; AHRI, No. 12 at p. 2; Carrier, No. 
7 at p. 1) Further, AHRI encouraged DOE to specifically exclude VRF 
multi-split systems from the Commercial HVAC Enforcement Policy going 
forward so as to avoid confusion. (AHRI, No. 12 at p. 2) Daikin 
commented that coated coils, low ambient cooling dampers, and power 
correction capacitors are a part of the outdoor unit model and asserted 
that a clarification was needed at 10 CFR 429.43(a)(4) to designate 
both indoor and outdoor unit models, as opposed to just indoor unit 
models. (Daikin, No. 13 at p. 2)
    With respect to DOE's proposals to exclude coated coils and steam/
hydronic heat coils from the testing provisions and from consideration 
when determining represented values, Lennox, AHRI, and Daikin all 
commented that DOE should also consider including coated coils and

[[Page 63877]]

steam/hydronic heat coils in table 6.1, as contained in the DOE 
Commercial HVAC Enforcement Policy. (Lennox, No. 8 at p. 2; AHRI, No. 
12 at p. 2; Daikin, No. 13 at p. 2) AHRI asserted that coated coils 
should not be required for testing because units will always be 
available without them (i.e., represented values should not be required 
to be based on a VRF multi-split system with coated coils when there 
would always be an otherwise comparable model available without coated 
coils). (AHRI, No. 12 at p. 2) Daikin stated that adding steam/hydronic 
coils to table 6.1 would align regulations for VRF multi-split systems 
with those for other equipment categories, and that coated coils, low 
ambient cooling dampers, and power correction capacitors might be 
included in the outdoor section of VRF multi-split systems. (Daikin, 
No. 13 at p. 2)
    In response, DOE has considered these comments and has determined 
that clarifications are warranted to the approach proposed in the 
December 2021 VRF TP NOPR regarding the treatment of certain components 
for determining represented values. Therefore, DOE is adopting the 
proposals made in the December 2021 VRF TP NOPR, with clarifications 
that are discussed in detail in section III.G.1.c of this final rule.
iii. Heat Recovery Components
    Section 5.6 of AHRI 1230-2021 specifies that for all VRF heat 
recovery systems, the heat recovery control unit must be attached 
during all tests. Similarly, section F2.3 of AHRI 1230-2021 requires 
that all heat recovery components must be present and installed for 
testing individual models distributed in commerce with these 
components. DOE proposed in the December 2021 VRF TP NOPR to reference 
Section 5.6 of AHRI 1230-2021 in its proposed test procedures for VRF 
multi-split systems at appendix D1. 86 FR 70644, 70651 (Dec. 10, 2021). 
Consistent with section F2.3 of AHRI 1230-2021, DOE also proposed to 
specify in 10 CFR 429.43(a) that for basic models of VRF multi-split 
systems distributed in commerce with heat recovery components, the 
manufacturer must determine represented values for the basic model 
based on performance of an individual model distributed in commerce 
with heat recovery components. 86 FR 70644, 70656 (Dec. 10, 2021).
    DOE did not receive any comments regarding heat recovery components 
in response to the December 2021 VRF TP NOPR. In this final rule, DOE 
is finalizing its proposed test provisions in appendix D1 but is 
removing its proposal to specify in 10 CFR 429.43(a) that VRF multi-
split systems distributed in commerce with heat recovery components 
must determine represented value based on a configuration of the basic 
model with heat recovery components installed, as discussed in section 
III.G.1.c.ii of this final rule.
iv. Multiple Refrigerants
    DOE proposed in the December 2021 VRF TP NOPR that in cases in 
which a basic model of VRF multi-split system can be used with multiple 
refrigerants without requiring different hardware, then a manufacturer 
must determine the represented values (e.g., IEER, COP, and cooling 
capacity) for that basic model based on the refrigerant(s)--among all 
refrigerants listed on the unit's nameplate--that result in the lowest 
cooling efficiency. 86 FR 70644, 70665 (Dec. 10, 2021). DOE also 
clarified that, should the use of a different refrigerant require 
different hardware, this would represent a different basic model and, 
consequently, separate representations of energy efficiency would be 
required. Id.
    The Joint Advocates, Lennox, and the CA IOUs expressed support for 
DOE's proposal to use the refrigerant listed on the unit's nameplate 
that results in the lowest cooling efficiency for represented values. 
(Joint Advocates, No. 9 at p. 1; Lennox, No. 8 at p. 3; CA IOUs, No. 11 
at p. 4) The Joint Advocates commented that DOE's proposal would ensure 
that when manufacturers test a basic model, a refrigerant would not be 
selected that overstates the efficiency of the equipment as compared to 
if it were charged with another (less-efficient) refrigerant in the 
field. (Joint Advocates, No. 9 at p. 1) The Joint Advocates and the CA 
IOUs recommended allowing manufacturers to make additional 
representations for a basic model using different (i.e., more-
efficient) refrigerants to demonstrate the benefits of using more-
efficient refrigerants. (Joint Advocates, No. 9 at p. 1; CA IOUs, No. 
11 at p. 4)
    DOE has considered these comments and has determined that the 
multiple refrigerant proposals made in the December 2021 VRF TP NOPR 
are not needed because the approach for determining represented values 
adopted in this final rule addresses the issue consistent with the NOPR 
proposals without need to specifically address multiple refrigerants. 
This matter is discussed in greater detail in section III.G.1.c of this 
final rule.
c. Final Rule Approach
i. Summary
    As previously introduced, DOE is finalizing an approach for 
determining represented values that improves the clarity of, but is not 
substantively different than, the proposals in the December 2021 VRF TP 
NOPR. In this final rule, DOE is amending language in 10 CFR 
429.43(a)(3)(ii) to clarify the interplay between the indoor unit 
tested combination, the representation requirements pertaining to 
specific components, and general requirements pertaining to represented 
values. DOE has structured the provisions at 10 CFR 429.43(a)(3)(ii) to 
reflect the different considerations when selecting outdoor vs. indoor 
units, and to highlight that the specific components currently subject 
to DOE enforcement relief (i.e., desiccant dehumidification components 
and air economizers) are only applicable at the level of indoor units 
within a tested combination, not at the basic model level. DOE is 
specifying that for each indoor unit combination within a basic model 
(i.e., ducted, non-ducted, or SDHV), the representation must be based 
on a combination of: (1) the least-efficient outdoor unit model 
distributed in commerce for that particular basic model which would be 
based on the least-efficient refrigerant (as discussed in section 
III.G.1.c.ii of this document); and (2) the combination of indoor units 
selected in accordance with the criteria described in section 
III.G.1.c.iii of this document. By taking this approach, DOE is 
clarifying the interaction between long-standing basic model 
provisions, tested combination requirements, and the treatment of 
specific components for VRF multi-split systems.
ii. Outdoor Unit and Heat Recovery
    In this final rule DOE is: (1) clarifying that the least-efficient 
outdoor unit model within a basic model must be used for determining 
represented values; and (2) clarifying that the test procedure requires 
that VRF multi-split heat pumps with heat recovery must be tested with 
heat recovery components present, but without the need for 
representation requirements as initially proposed. DOE is not adopting 
any exemptions to the ``least-efficient'' requirement for outdoor 
unit(s) used to determine represented values because neither of the 
specific components listed in Table 2 to 10 CFR 429.43(a)(3)(ii)(B) 
(i.e., air economizers and desiccant dehumidification components--as 
adopted in this final rule) are applicable for VRF outdoor units.

[[Page 63878]]

    With respect to comments received regarding multiple refrigerants 
available for a basic model of VRF multi-split system, because the 
efficiency of the VRF multi-split system could be impacted by different 
refrigerant choices, the least-efficient outdoor model requirement 
necessitates consideration of the least-efficient refrigerant when 
determining represented values for that basic model. Upon further 
consideration, DOE has determined that the proposal in the December 
2021 VRF TP NOPR regarding multiple refrigerants is already included 
substantively in the provision adopted at 10 CFR 429.43(a)(3) regarding 
least-efficient outdoor units, and that additional provisions would be 
redundant. As such, in this final rule, DOE is not adopting the 
refrigerant-specific language at 10 CFR 429.43(a)(3) that was proposed 
in the December 2021 NOPR.
    Regarding heat recovery components, as described in section 
III.G.1.b.iv of this document, DOE proposed related testing provisions 
in appendix D1 and representation provisions in 10 CFR 429.43(a). In 
this final rule, DOE is finalizing its proposed test provisions in 
appendix D1 but is removing its proposal to specify in 10 CFR 429.43(a) 
that VRF multi-split systems distributed in commerce with heat recovery 
components must determine represented value based on a configuration of 
the basic model with heat recovery components installed. Upon further 
review of the test provisions referencing section 5.6 of AHRI 1230-
2021, DOE has determined that all VRF multi-split heat pumps with heat 
recovery capability would always be required by to be configured with 
heat recovery components installed. Further, DOE's energy conservation 
standards for VRF multi-split systems specified at 10 CFR 431.97 
classify systems with and without heat recovery to be in different 
equipment classes, such that a given VRF basic model does not contain 
systems with and without heat recovery (as such systems are certified 
under separate equipment classes).\25\ The combination of these 
provisions ensures that represented values for VRF multi-split heat 
pumps with heat recovery are always determined with heat recovery 
components installed. Therefore, DOE finds its earlier proposal to be 
unnecessary, and accordingly, the Department is not adopting 
represented value provisions related to heat recovery components in 
this final rule.
---------------------------------------------------------------------------

    \25\ DOE distinguishes certain VRF equipment classes by ``with 
heat recovery'' and ``without heat recovery'', and other equipment 
classes with ``no heating or electric resistance heating'' and ``all 
other types of heating.'' Footnote 1 to Table 13 to 10 CFR 431.97 
specifies that VRF systems with heat recovery fall under the 
category of ``all other types of heating'' unless they also have 
electric resistance heating. In the March 2022 VRF ECS NOPR, DOE 
proposed to amend 10 CFR 431.97 to adopt the equipment class 
structure found in ASHRAE Standard 90.1-2016 for VRF multi-split 
systems, which, if adopted would create separate equipment classes 
for VRF heat pumps with and without heat recovery for all capacity 
ranges and heat rejection media (i.e., replacing any class 
distinctions based on supplementary heating type). 87 FR 11335, 
11346 (March 1, 2022).
---------------------------------------------------------------------------

iii. Indoor Unit Specification
    DOE made several proposals in the December 2021 VRF TP NOPR 
pertaining to the selection of indoor unit models when determining 
represented values for the basic model of VRF multi-split system. 86 FR 
70644, 70664-70665 (Dec. 10, 2021). As discussed elsewhere in this 
document, DOE proposed provisions related to different tested 
combinations of indoor units (see section III.G.1.b.i of this 
document), certification reporting requirements (see section III.G.2 of 
this document), and provisions related to treatment of specific 
components (see section III.G.1.b.ii of this document).
    As described in section III.G.1.b.i of this document, DOE received 
only supportive comments in response to its proposals for determining 
represented values for different indoor unit tested combinations (i.e., 
ducted, non-ducted, SDHV, and mixed representations thereof). In light 
of these comments and the reasoning provided in the December 2021 VRF 
TP NOPR, DOE is adopting its earlier proposals pertaining to this topic 
in this final rule.
    The adopted provisions provide guidance for determining required 
represented values of indoor unit combinations (i.e., ducted, non-
ducted, SDHV) and provide guidance for determining optional mixed 
representations that are determined by taking a simple average of any 
two of the required representations. By adopting these provisions, each 
VRF outdoor unit may include up to six separate representations within 
the same basic model number.
    Regarding certification requirements, as discussed in greater 
detail in section III.G.2 of this document, DOE proposed to require 
that manufacturers publicly report the indoor unit combination (i.e., 
ducted, non-ducted, SDHV, or mixed) used to determine represented 
values, as well as all outdoor and indoor unit model numbers used to 
compose the tested combination. For the reasons discussed in the 
December 2021 VRF TP NOPR and in section III.G.2.a of this document, 
DOE is adopting these amended certification requirements as proposed. 
DOE also proposed to require that manufacturers supply information in 
their STI regarding whether specific components were present or absent 
when determining represented values for the basic model. As discussed 
in section III.G.2.b of this document, DOE is not adopting 
certification requirements related to specific components in this final 
rule.
    Regarding specific components, DOE is clarifying the provisions at 
10 CFR 429.43(a)(3) that cover the determination of represented values 
for VRF multi-split systems. In the December 2021 VRF TP NOPR, DOE 
proposed to individually consider specific components on an indoor-
unit-by-indoor unit basis when determining represented values. 86 FR 
70644, 70657 (Dec. 10, 2021). DOE's approach in this final rule is 
consistent with the approach in the NOPR in that it requires 
consideration of specific components for each indoor unit individually, 
rather than at the basic model level. DOE has also introduced the 
concept of ``fully-specified'' indoor unit model numbers in order to 
provide greater clarity about selection of indoor units and to 
explicitly tie these requirements to the aforementioned certification 
requirements.
    For cases where an indoor unit model number is fully specified in 
the public certification (i.e., the indoor unit model number includes 
sufficient information to identify the presence or absence of all 
components), DOE will require that the indoor unit model number, 
precisely as it appears as certified, shall be used for determining 
represented values. For example, for an indoor unit whose certified 
model number affirmatively designates the presence of dehumidification 
components, represented values must be determined based on the indoor 
unit model with dehumidification components installed, regardless of 
whether otherwise comparable indoor units are distributed in commerce 
without dehumidification components present. This approach does not 
conflict with the tested combination requirements in section 6.2 of 
AHRI 1230-2021, which sets minimum criteria for indoor model 
specification and does not disallow further specification (including 
specification of dehumidification components and/or air economizers).
    For cases where an indoor unit model number is not fully-specified 
as part of the certified tested combination (i.e., where the model 
number is constructed in such a way that does not fully specify

[[Page 63879]]

the absence or presence of all components), DOE is applying the 
represented value requirements as proposed in the NOPR. This approach 
requires that for indoor unit model numbers that are not fully-
specified in the certification, a fully-specified indoor unit must be 
selected to determine represented values for the basic model. This 
fully-specified indoor model number must be consistent with the 
certified indoor unit model number (i.e., all specified digits must 
match), and, among the group of all indoor unit models having a 
consistent model number, must have the least number (which may include 
zero) of specific components (i.e., air economizers and desiccant 
dehumidification components) installed.
    Regarding DOE's proposed testing provisions for specific components 
in 10 CFR 431, subpart F, appendix D1, DOE is adopting the proposals 
from the December 2021 VRF TP NOPR. Specifically, DOE is finalizing 
provisions in section 6 to appendix D1 that provide instruction how to 
test a VRF multi-split system equipped with any specific component(s) 
listed in Table 6.1 \26\ of that same section.
---------------------------------------------------------------------------

    \26\ Table 6.1 includes test provisions for VRF multi-split 
systems equipped with desiccant dehumidification components, air 
economizers, fresh air dampers, hail guards, low ambient cooling 
dampers, power correction capacitors, and/or ventilation energy 
recovery systems (VERS).
---------------------------------------------------------------------------

    As discussed, DOE received comments suggesting that DOE should 
consider including coated coils and steam/hydronic heat coils in the 
list of specific components in table 6.1 to appendix D1. DOE also 
received similar comments pertaining to coated coils in response to 
other commercial HVAC equipment test procedure NOPRs, specifically the 
test procedure supplemental notice of proposed rulemaking (``SNOPR'') 
published for direct expansion-dedicated outdoor air systems (``DX-
DOASes'') \27\ (Docket No. EERE-2017-BT-TP-0018, AHRI, No. 34 at p. 4). 
In response to the DX-DOAS SNOPR, AHRI and Madison Indoor Air Quality 
(``MIAQ'') asserted that some coated coils impact performance, but that 
each coating is different (Docket No. EERE-2017-BT-TP-0018, AHRI, No. 
34 at p. 4; MIAQ, No. 29 at p. 4).
---------------------------------------------------------------------------

    \27\ See 86 FR 72874 (Dec. 23, 2021).
---------------------------------------------------------------------------

    AHRI and MIAQ's assertion 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). DOE has no data 
indicating the range of impacts for those coatings that do affect 
energy use, or how other characteristics of the coatings, such as 
durability and cost, correlate with energy use impacts. Absent such 
data, DOE is unable to determine the specific range of impacts on 
energy use made by coated coils. Nevertheless, given that comments on 
the DX-DOAS SNOPR suggest that certain implementations of coated coils 
do not impact energy use, DOE has determined that for those units for 
which coated coils do impact energy use, representations should include 
those impacts, thereby providing full disclosure for commercial 
customers. Consequently, DOE is not incorporating coated coils into 
DOE's provisions specified in 10 CFR 429.43(a)(3) which allow for the 
exclusion of specified components when determining represented values 
for VRF multi-split systems. This approach is consistent with the one 
DOE has established in a final rule for the DX-DOAS test procedure. 87 
FR 45164, 45186 (July 27, 2022).
    Commenters did not indicate whether models are available with 
steam/hydronic heat, thereby supporting DOE's tentative conclusion in 
the December 2021 VRF TP NOPR that steam/hydronic heat components are 
not present in VRF multi-split systems and/or models with these 
components are not distributed in commerce. 86 FR 70644, 70657 (Dec. 
10, 2021). Consequently, DOE is finalizing its proposal to exclude 
steam/hydronic heat from the specific components list for VRF multi-
split systems in 10 CFR 429.43(a)(3).
    As proposed in the December 2021 VRF TP NOPR, DOE sought to address 
VRF multi-split systems 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 70644, 70656-70658 (Dec. 10, 
2021). 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 429.134 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 VRF multi-split systems 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 the representation.
    In regards to the NOPR proposal that DOE shall rescind the 
commercial HVAC enforcement policy for VRF multi-split systems, DOE has 
provided substantive guidance for each component included in both the 
DOE Enforcement Policy and the ``Equipment Features Requiring Test 
Procedure Action'' from the term sheet agreed upon by an ASRAC working 
group for certain commercial HVAC equipment (``Commercial HVAC CCE Term 
Sheet'').\28\ (EERE-2013-BT-NOC-0023-0052) Consequently, these 
documents would no longer be applicable to VRF multi-split systems and 
could potentially cause confusion. To prevent this confusion, DOE is 
clarifying in this final rule that the provisions established in this 
final rule will take precedence over those in the DOE Enforcement 
Policy and the Commercial HVAC CCE Term Sheet, and that the 
aforementioned documents will no longer be applicable to VRF multi-
split systems. As previously discussed, this change will not take 
effect until the compliance date of amended energy conservation 
standards for VRF multi-split systems denominated in terms of IEER, 
should DOE adopt such standards.
---------------------------------------------------------------------------

    \28\ In 2013, members of ASRAC formed the Commercial HVAC 
Working Group to engage in a negotiated rulemaking effort regarding 
the certification of certain commercial HVAC equipment, including 
VRF multi-split systems. The Commercial HVAC Working Group's 
recommendations are available at www.regulations.gov under Docket 
No. EERE-2013-BT-NOC-0023-0052.
---------------------------------------------------------------------------

2. Certification Reporting Requirements
a. Certification Requirements
    DOE specifies certification reporting requirements for VRF multi-
split systems in 10 CFR 429.43(b). Certification reporting requirements 
for VRF multi-split systems include both public equipment-specific 
information and STI. As previously described, in the December 2021 VRF 
TP NOPR DOE proposed to amend the certification reporting requirements 
for VRF multi-split systems to address the IEER metric but did not 
propose amendments to the current standards (in terms of EER). 86 FR 
70644, 70665 (Dec. 10, 2021). Subsequently, in the March 2022 VRF ECS 
NOPR DOE proposed to amend

[[Page 63880]]

standards for VRF multi-split systems to be in terms of the IEER 
cooling metric, with a proposed compliance date of January 1, 2024. 87 
FR 11335, 11349 (March 1, 2022). Therefore, the amended certification 
reporting requirement proposals would only apply when certifying to a 
future IEER standard; existing certification reporting requirements 
used when certifying to the current EER standards would not change. In 
the December 2021 VRF TP NOPR, DOE proposed to add the following items 
to the public certification reporting requirements for VRF multi-split 
systems:
     IEER values (replacing the current certification 
requirement for EER values);
     The rated heating capacity, in Btu/h;
     The indoor unit combination used to determine the 
represented values for an individual combination (i.e., a non-ducted, 
ducted, SDHV, or mixed indoor unit combination), and all outdoor and 
indoor unit model numbers used to compose the tested combination; and
     The refrigerant used to determine the represented values 
for a basic model (e.g., EER, IEER, COP, and cooling capacity).

86 FR 70644, 70665 (Dec. 10, 2021). A draft certification template 
reflecting the proposed changes has been included in the docket.\29\
---------------------------------------------------------------------------

    \29\ The draft certification template columns can be found in 
the docket at: www.regulations.gov/document/EERE-2021-BT-TP-0019-0001.

    In response to DOE's certification proposals, the Joint Advocates 
commented that they support DOE's proposal to publicly report the 
heating capacity for VRF multi-split systems, stating that this 
requirement aligns with reporting requirements for the cooling metric 
and that consumers would be interested in this information. (Joint 
Advocates, No. 9 at p. 1) The CA IOUs supported DOE's certification 
proposals but requested that the certification report should clarify 
that COP is measured per the ``high temperature'' heating test at 47 
[deg]F, to prevent confusion with other temperatures at which heating 
COP tests can be conducted. As introduced in section III.G.1.b.v of 
this document, the CA IOUs also recommended allowing manufacturers to 
make additional representations for a basic model using different 
(i.e., more-efficient) refrigerants. (CA IOUs, No. 11 at p. 3) The CA 
IOUs suggested a corresponding certification requirement that the 
global warming potential (GWP) of each refrigerant be listed along with 
the performance information. (CA IOUs, No. 11 at p. 4)
    With respect to the CA IOUs' comment requesting clarification of 
the COP heating condition in the certification report, as discussed in 
section III.D.2 of this document, DOE acknowledges the need to clarify 
that the ratings for heating mode tests of air-cooled VRF multi-split 
heat pumps used for compliance with standards are those referred to as 
``High Temperature Steady-state Test for Heating'' in AHRI 1230-2021 
and measured at 47 [deg]F outdoor ambient air temperature. 
Additionally, DOE acknowledges the need to clarify that the ratings for 
heating mode tests of water-source VRF multi-split heat pumps used for 
compliance with standards are those specified for ``Water Loop Heat 
Pumps'' in AHRI 1230-2021 and measured at 68 [deg]F entering liquid 
temperature. Consistent with the test procedure provisions adopted in 
this final rule (as discussed in section III.D.2 of this document) and 
the CA IOUs' suggestion, DOE is amending the certification template to 
read ``Coefficient of Performance, measured at 47 [deg]F for air-source 
VRF multi-split heat pumps or measured at 68 [deg]F Entering Water 
Temperature for water-source VRF multi-split heat pumps.''
    With respect to the CA IOU's comments regarding certification 
requirements for VRF multi-split systems available with multiple 
refrigerants, DOE has concluded that because the efficiency of the VRF 
multi-split system could be impacted by different refrigerant choices, 
the least-efficient outdoor model requirement necessitates 
consideration of the least-efficient refrigerant when determining 
represented values for that basic model (see discussion in III.G.1.c.ii 
of this document). In this final rule, DOE is also finalizing its 
proposal to require certification of the refrigerant used to determine 
the represented values for a basic model. By combining these 
provisions, a set of represented values will be determined for a given 
basic model based on the least-efficient outdoor unit (and, therefore, 
as discussed, the least-efficient refrigerant), and the refrigerant 
must be certified by the manufacturer. Therefore, DOE is not adopting 
the CA IOUs' suggestions to allow certification of multiple 
refrigerants, because it would be inconsistent with the Department's 
adopted requirement that the represented values for a basic model be 
based on the least-efficient outdoor unit. Correspondingly, because DOE 
is not adopting the CA IOU's suggestion to allow certification of 
multiple refrigerants, DOE has concluded that requiring certification 
of the associated refrigerant characteristics (i.e., GWP) would provide 
minimal benefit, as there will not be ratings for different 
refrigerants within a basic model to compare. Therefore, DOE has 
concluded that requiring certification of refrigerant GWP would be 
unnecessarily burdensome.
    DOE is adopting all other proposals related to certification 
reporting requirements, without change. As discussed, these amended 
certification reporting requirements are not required until the 
compliance date of amended energy conservation standards for VRF multi-
split systems denominated in terms of IEER, should DOE adopt such 
standards.
b. Supplemental Testing Instructions
    The December 2021 VRF TP NOPR included proposals to amend the STI 
provisions at 10 CFR 429.43(b)(4) to reflect the proposed amendments to 
the test procedure and the proposed adoption of the IEER metric. 86 FR 
70644, 70666 (Dec. 10, 2021). DOE proposed amendments and additions to 
the STI requirements as follows:
     Identification of the indoor units to be thermally active 
for each IEER test point;
     The rated indoor airflow for the full-load cooling, full-
load heating, and all part-load cooling tests (for each indoor unit), 
in standard cubic feet per minute (scfm);
     The indoor airflow-control setting to be used in the full-
load cooling test and the indoor airflow control setting to be used in 
the full-load heating test (for each indoor unit);
     For water-cooled units, the rated water flow rate in 
gallons per minute (gpm);
     System start-up or initialization procedures, including 
conditions and durations;
     The duration of the compressor break-in period. (Existing 
requirements in 10 CFR 431.96(c) require manufacturers to include this 
information in the test data underlying the certified ratings that must 
be maintained according to 10 CFR 429.71);
     Instructions for adjustment of critical parameters to meet 
capacity targets and/or SHR limits, including hierarchy for adjusting;
     The layout of the system set-up for testing (previously 
required upon request) including a piping diagram, set-up instructions 
for indoor units and outdoor units, charging instructions, a control 
wiring diagram, and

[[Page 63881]]

identification of the location of each critical parameter;
     Explicitly providing that the nominal cooling capacity and 
nominal heating capacity (if applicable) in British thermal units per 
hour (Btu/h) must be certified for each outdoor unit and indoor unit;
     Requiring testing instructions for conducting testing for 
all indoor unit combinations with distinct represented values within a 
basic model, as applicable;
     Removing the current requirement to report compressor 
frequency setpoints and instead require reporting operational settings 
for all critical parameters to be manually controlled for each of the 
four IEER cooling test conditions and for the COP heating test;
     Removing the reporting requirement regarding whether the 
model will operate at test conditions without manufacturer programming 
because the VRF enforcement provisions allow for a manufacturer 
representative to be on site for DOE testing;
     Removing the reporting requirement for rated static 
pressure, which is unnecessary because AHRI 1230-2021 includes ESP 
requirements for testing; and
     The frequency of oil-recovery cycles.
    Further, in the December 2021 VRF TP NOPR, DOE proposed at 10 CFR 
429.43(b)(4) a certification reporting requirement for supplemental 
test instructions for VRF multi-split systems regarding specific 
components, corresponding to the proposed representation requirements 
for specific components at 10 CFR 429.43(a)(4). Specifically, DOE 
proposed that the manufacturer must certify in the STI for which, if 
any, specific components (as listed in 10 CFR 429.43(a)(4)(i)) the 
following provisions are applicable: (1) the indoor unit model(s) in a 
tested combination within a basic model include both individual indoor 
unit models distributed in commerce with the specific component and 
individual indoor unit models distributed in commerce without the 
specific component; (2) at least one of the individual indoor unit 
models distributed in commerce without the specific component is 
otherwise identical to any given individual indoor unit model 
distributed in commerce with the specific component; and (3) 
represented values for the tested combination are based on performance 
of individual indoor unit models distributed in commerce without the 
specific component. 86 FR 70644, 70666-70667 (Dec. 10, 2021). These 
proposed provisions would require manufacturers to report whether the 
represented values for that VRF multi-split system basic model were 
determined based on the presence or absence of air economizers and/or 
desiccant dehumidification components.
    In commenting on DOE's proposals in this area, AHRI and Carrier 
stated that STI requirements may need to include provisions that 
specify which, if any, components were used when calculating efficiency 
ratings. (AHRI, No. 12 at p. 2; Carrier, No. 7 at p. 1)
    In response and as described in section III.G.1.c.iii of this 
document, DOE is finalizing an approach in this rule requiring that if 
an indoor unit model number is not fully specified in the public 
certification, then represented values must be determined from a fully-
specified individual indoor unit model distributed in commerce that 
must be consistent with the certified indoor unit model number (i.e., 
all specified digits must match). Among the group of all indoor unit 
models having a consistent model number, that VRF system must have the 
least number (which may include zero) of specific components installed. 
Because the representation requirements adopted in this final rule 
provide clear direction as to how to determine represented values for 
basic models that include specific components, DOE concludes that a 
certification requirement for manufacturers to report whether 
representations are based on model(s) with specific components 
installed would be duplicative and would impose unnecessary burden on 
manufacturers. Therefore, DOE is not adopting any certification 
requirements related to specific components in this final rule.
    DOE also proposed to require reporting as part of the STI the 
following manufacturer-specified input conditions for conducting a CVP 
at each of the four IEER cooling test conditions:
    [squ] The required thermostat setpoints to ensure control for 80 
[deg]F dry-bulb temperature when accounting for setpoint bias;
    [squ] The starting indoor dry-bulb temperature; and
    [squ] The indoor dry-bulb temperature ramp rate.

Id.
    The CA IOUs commented that the system controls setting for steady-
state tests should be included in the STI requirements. Specifically, 
the CA IOUs suggested expanding the requirement for the ``required dip 
switch/control settings for step or variable components'' to instead 
require ``Dip switch/Control Settings from the manufacturer's 
installation instructions used for the full-load cooling and full-load 
heating tests.'' The CA IOUs asserted that this change would reduce the 
test burden when determining which control setting to use for the CVP 
as part of enforcement testing. (CA IOUs, No. 11 at p. 4) AHRI 
commented that some certification reporting requirements, such as 
compressor speed, critical parameter settings, and system device 
required for testing, are confidential business information and that 
they should be designated as such for certification. AHRI elaborated on 
this point by stating that the information included in the STI is 
confidential and should be designated as such. (AHRI, No. 12 at pp. 6-
7) Similarly, Daikin commented that they support DOE's proposal for 
certification reporting requirements, provided that all confidential 
information may be submitted in the STI, because the STI is not 
available to the public. (Daikin, No. 13 at p. 5)
    With respect to the CA IOU's request to amend the language of STI 
reporting requirements for dip switch/control settings, DOE interprets 
this suggestion to mean that manufacturers would be required to specify 
all dip switch/control settings required for conducting the full-load 
cooling and heating tests. This would include all settings for ``step 
or variable components'' in addition to any other settings required for 
testing that are not otherwise dictated by the test procedure but may 
impact system behavior--for example, ``mode-type'' settings (e.g., eco-
mode) or settings related to another function (e.g., noise reduction 
settings). DOE finds that the CA IOUs' proposal would improve the 
clarity of existing certification requirements, as it would ensure that 
the control settings needed for testing are readily identifiable and 
that they are used in a consistent manner during testing. Further, DOE 
finds that the CA IOUs' suggestion would not require additional 
collection of information by manufacturers, because the settings used 
for conducting testing would be readily available to manufacturers. 
Therefore, DOE is adopting the STI certification requirements for VRF 
multi-split systems as proposed in the December 2021 VRF TP NOPR, with 
the clarification that certification of dip switch/control settings 
applies more broadly than just step/variable components. As discussed 
previously, these amended STI certification requirements are not 
required until the compliance date of amended energy conservation 
standards denominated in

[[Page 63882]]

terms of IEER, should DOE adopt such standards.
    With respect to AHRI and Daikin's comments, DOE notes that 
certification reports routinely include both public and non-public 
information. Specifically, 10 CFR 429.43(b)(2) specifies requirements 
for public equipment-specific information, and 10 CFR 429.43(b)(3) and 
(4) specify requirements for equipment-specific information and 
supplemental information that are non-public. DOE notes that the 
treatment of confidential business information is addressed pursuant to 
the regulations at 10 CFR 1004.11. Any person submitting information 
that they believe to be confidential and exempt by law from public 
disclosure should submit via two well-marked copies: one copy of the 
document marked ``confidential'' including all the information believed 
to be confidential, and one copy of the document marked ``non-
confidential'' with the information believed to be confidential 
deleted. While DOE is responsible for making the final determination 
with regard to the disclosure or nondisclosure of information contained 
in requested documents, DOE will consider the submitter's views in 
making its determination. 10 CFR 1004.11(a). Accordingly, in light of 
the existing framework for handling confidential business information, 
DOE does not find it necessary to adopt the additional measures 
suggested by AHRI and Daikin. For the reasons stated in the December 
2021 VRF TP NOPR and the paragraphs here, DOE is adopting its proposed 
amendments related to the supplemental testing instructions for VRF 
multi-split systems along with the previously discussed modifications 
suggested by the CA IOUs.
3. Models Required for AEDM Validation
    In the December 2021 VRF TP NOPR, DOE proposed that the 
manufacturer must validate an AEDM used to make representations for 
only a single type of indoor unit combination (i.e., ducted, non-
ducted, or SDHV indoor unit combinations) within or across all its 
basic models by testing at least a single tested combination of that 
type of indoor unit combination for each of the two selected basic 
models. 86 FR 70644, 70667 (Dec. 10, 2021). If a manufacturer makes 
representations for two types of indoor unit combinations (i.e., 
ducted, non-ducted, and/or SDHV indoor unit combinations) within or 
across all its basic models to which the AEDM applies, DOE proposed 
that the manufacturer must test at least: (1) a single tested 
combination of a selected basic model as the first of those two types 
of indoor unit combination, and (2) a single tested combination of a 
different selected basic model as the second of those two types of 
indoor unit combination. Id. If a manufacturer makes representations 
for all three types of indoor unit combinations (i.e., ducted, non-
ducted, and SDHV indoor unit combinations) within or across all its 
basic models to which the AEDM applies, DOE proposed that the 
manufacturer must test at least a single tested combination of a 
selected basic model as a non-ducted tested combination and a single 
tested combination of a different selected basic model as a ducted 
tested combination. Id.
    In response, AHRI and Daikin commented in support of DOE's proposal 
to amend the applicable requirements for AEDM validation. (AHRI, No. 12 
at p. 7; Daikin, No. 13 at p. 5) DOE received no other comments on its 
AEDM proposals.
    Accordingly, DOE is finalizing its proposed AEDM validation 
requirements for VRF multi-split systems in 10 CFR 429.43(a)(2) and 10 
CFR 429.70 to be similar to the sampling plan requirements for tested 
units, as discussed in section III.G.7 of this final rule. Furthermore, 
DOE has concluded that these AEDM validation requirements are 
consistent with AHRI 1230-2021, because they ensure the values 
developed with an AEDM conform to the results obtained using AHRI 1230-
2021.
4. Manufacturer Involvement
a. Role of Manufacturer Representative
    In light of the complexity of VRF multi-split systems, the DOE test 
procedure at 10 CFR 431.96(f) does allow for limited manufacturer 
involvement, specifying that a manufacturer's representative is allowed 
to witness assessment and/or enforcement testing, inspect and discuss 
set-up only with a DOE representative, and adjust only the modulating 
components in the presence of a DOE representative that are necessary 
to achieve steady-state operation. In the December 2021 VRF TP NOPR, 
DOE proposed to establish new provisions for manufacturer involvement 
as part of the product-specific enforcement provisions at 10 CFR 
429.134(s)(2). 86 FR 70644, 70667 (Dec. 10, 2021). The proposals 
largely align with Sections 5.1.2 and 6.3.3 of AHRI 1230-2021 but 
prescribe more precisely the actions that a manufacturer's 
representative may take. Specifically, DOE proposed that a 
manufacturer's representative is allowed to support commissioning of 
the VRF multi-split system and to witness DOE assessment or enforcement 
testing. Id at 86 FR 70667-70668. For all cooling and heating tests, 
DOE proposed that all control settings other than critical parameters 
must be set by a member of the third-party laboratory, and that a 
manufacturer's representative may initially set all critical parameters 
to their certified values. Id. at 86 FR 70668. For IEER cooling tests 
only, DOE proposed to specify that if additional adjustments to 
critical parameters are required for meeting capacity targets and/or 
SHR limits, a manufacturer's representative may make such adjustments 
in accordance with section 5.1 of appendix D1 using a proprietary 
control tool. Id. DOE further proposed that initial setting and any 
additional critical parameter adjustments performed by a manufacturer's 
representative during IEER testing must be monitored by third-party 
laboratory personnel using a service tool. Id. For the heating test, 
DOE proposed that the manufacturer's representative would not be 
permitted to make any critical parameter adjustments during testing and 
would only be allowed to initially set critical parameters to their 
certified values. Id.
    The CA IOUs, Joint Advocates, and Lennox commented that they 
support DOE's proposal to specify the parameters of manufacturer 
involvement during testing. (CA IOUs, No. 11 at p. 3; Joint Advocates, 
No. 9 at p. 1; Lennox, No. 8 at p. 3) Joint Advocates further asserted 
that the language in Sections 5.1.2 and 6.3.3 of AHRI 1230-2021 is 
ambiguous, and that DOE's proposed language clarifies the role of the 
manufacturer's representative during testing. (Joint Advocates, No. 9 
at p. 1) The CA IOUs stated that DOE's proposals strike a reasonable 
balance between ensuring objective/repeatable ratings and the 
complexity associated with testing VRF multi-split systems. (CA IOUs, 
No. 11 at p. 3)
    AHRI commented that, due to the need for proprietary software, a 
manufacturer's representative, if present, should set the control 
settings, observed by a member of the third-party lab. They elaborated 
that a member of a third-party laboratory should set the critical 
parameters in the case where a manufacturer's representative is unable 
to be physically available or is choosing not to be present. AHRI 
further commented that they agree with DOE's proposals with respect to 
manufacturer involvement for cooling tests but argued that the 
manufacturer's representative should also be allowed to adjust the

[[Page 63883]]

critical parameters for heating tests (similar to IEER cooling tests). 
(AHRI, No. 12 at pp. 7-8) Specifically, AHRI argued that just as 
critical parameter adjustments are needed for cooling tests to meet 
capacity targets and/or SHR limits, small adjustments to critical 
parameters may be needed during heating tests to account for set-up 
variations between manufacturer and third-party laboratories. Further, 
AHRI asserted that on this topic, there is a conflict between the 
language proposed in the preamble and the proposed regulatory text of 
the December 2021 VRF TP NOPR, so further clarification is needed. The 
commenter referenced language from the NOPR's preamble (86 FR 70644, 
70668 (Dec. 10, 2021)) stating that a manufacturer's representative may 
not make critical parameter adjustments during heating tests, and would 
only be allowed to initially set critical parameters to their certified 
values. AHRI contrasted this with language in the proposed regulatory 
text at 10 CFR 429.134(s)(2)(ii) that would allow the manufacturer's 
representative to adjust the critical parameters for heating and IEER 
cooling tests (86 FR 70644, 70681 (Dec. 10, 2021)). (AHRI, No. 12 at 
pp. 7-8)
    Regarding AHRI's request that a manufacturer's representative 
should set the control settings rather than a member of the third-party 
laboratory, DOE interprets this request to refer to control settings 
other than the critical parameter settings (e.g., airflow control 
settings) because, as discussed, DOE proposed that the manufacturer's 
representative would set critical parameter settings to their certified 
values. DOE finds that requiring a member of the laboratory to set 
other control settings rather than a manufacturer's representative will 
improve transparency into testing practices by ensuring that settings 
used for testing match the settings specified in the manufacturer STI. 
Also, AHRI's suggestion conflicts with the language present in AHRI 
1230-2021 regarding control settings other than critical parameters. 
Specifically, Section 5.1.2.3 of AHRI 1230-2021 states that ``control 
settings shall be set by a member of the laboratory. All control 
settings are to remain unchanged for all load points once system set up 
has been completed.'' DOE's proposed approach (i.e., requiring that all 
control settings other than critical parameters be set by a member of 
the third-party laboratory) is consistent with the language from 
Section 5.1.2.3 of AHRI 1230-2021, which DOE understands to reflect the 
industry consensus approach and the intent of the Working Group.
    DOE interprets AHRI's concern about ``proprietary software'' to 
suggest that a member of the third-party laboratory should not be 
allowed to interact with such software. DOE finds that the use of 
proprietary software is not a valid reason to preclude involvement of 
third-party laboratory personnel during testing. Per DOE's proposal, a 
manufacturer's representative would be allowed to support commissioning 
of the VRF multi-split system to ensure that any proprietary software 
is being properly utilized by a member of the third-party laboratory. 
The amended STI certification requirements (described in section 
III.G.2.b of this document) ensure that members of the third-party 
laboratory will be equipped with all necessary information in order to 
set control settings during testing. If a manufacturer's representative 
is not available for testing, then testing would proceed with a member 
of the third-party laboratory using the control tool as provided by the 
manufacturer (see discussion in section III.G.4.b of this document)--an 
approach which was similarly suggested by AHRI in their comment. (AHRI, 
No. 12 at p. 8) Therefore, DOE is finalizing its proposal to require 
that members of the third-party laboratory set all control settings 
(other than critical parameters) during testing.
    With regard to AHRI's argument for allowing critical parameter 
adjustments for heating tests, the cooling capacity targets and SHR 
limits specified in Section 6.3.3 of AHRI 1230-2021 and Section 5.2 of 
the proposed test procedure in appendix D1 do not apply to heating 
tests, and neither DOE's proposed test procedure nor AHRI 1230-2021 
include any restrictions for heating tests that would warrant critical 
parameter adjustments. Further, DOE disagrees with AHRI's claim that 
critical parameter adjustments are needed for heating tests to account 
for set-up variation between manufacturer and third-party laboratories. 
DOE concludes that the STI provides manufacturers sufficient 
opportunity to certify critical parameters, control settings, and any 
additional testing information needed for the third-party laboratories 
to consistently test VRF multi-split systems. Therefore, DOE finds that 
allowing for critical parameter adjustments during heating tests is 
unnecessary and is inconsistent with the industry consensus test 
procedure recommended by the Working Group.
    Regarding AHRI's claim of contradictory language, the language in 
10 CFR 429.134(s)(2)(ii) proposed in the December 2021 VRF TP NOPR 
states, in relevant part, the following under a heading of 
``Manufacturer involvement in heating tests and IEER cooling tests'': 
``Critical parameters may be manually controlled by a manufacturer's 
representative, including initial setting to the certified values and 
additional adjustments (as described in sections 5.1 and 5.2 of 
appendix D1 to subpart F of part 431, respectively).'' 86 FR 70644, 
70681 (Dec. 10, 2021). Neither section 5.1 nor section 5.2 include any 
provisions allowing critical parameter adjustments during heating 
tests. Specifically, section 5.1 of proposed appendix D1 specifies 
provisions for initially setting control settings applicable for 
cooling and heating tests, and section 5.2 specifies provisions for 
allowable critical parameter adjustments that apply only for IEER 
cooling tests. Because the phrasing in proposed 10 CFR 
429.134(s)(2)(ii) allows critical parameter adjustments as described in 
sections 5.1 and 5.2 of appendix D1, which do not allow for critical 
parameter adjustments during heating tests, DOE concludes that the 
proposed regulatory text is consistent with the preamble discussion 
highlighted by AHRI (86 FR 70644, 70668 (Dec. 10, 2021)). However, DOE 
recognizes the potential to improve the clarity of the regulatory text 
regarding the specific adjustments that can be made by a manufacturer 
representative.
    Accordingly, in this final rule DOE is adopting the proposed 
provisions for manufacturer involvement as part of product-specific 
enforcement provisions at 10 CFR 429.134(v)(2). However, in light of 
the confusion reflected in AHRI's comment, DOE is adopting language in 
10 CFR 429.134(v)(2) that clarifies that critical parameter adjustments 
apply only to IEER cooling tests, not to heating tests.
b. Control Tool
    In the case that a manufacturer is not present for assessment or 
enforcement testing, third-party laboratory personnel may need a 
manufacturer's control tool to set critical parameters to the initial 
settings or make additional adjustments required by the test procedure. 
In the December 2021 VRF TP NOPR, DOE proposed to amend its enforcement 
test notice requirements for VRF multi-split systems at 10 CFR 
429.110(b)(1)(iv) to require manufacturers to include a means of 
control to set and adjust critical parameters with all systems provided 
for enforcement testing. 86 FR 70644, 70668 (Dec. 10, 2021). 
Correspondingly, DOE proposed provisions for VRF multi-split systems at 
10 CFR 429.104(b) that would require

[[Page 63884]]

manufacturers to provide a means of control for assessment testing, 
although manufacturers would not be required to provide the VRF multi-
split system for assessment testing. Id. This proposal would enable the 
laboratory staff to perform IEER and heating tests in the event that a 
manufacturer's representative is not available for assessment and/or 
enforcement testing. Id. DOE also proposed that, if a manufacturer's 
representative is not present for testing, a member of the third-party 
laboratory shall set and adjust critical parameter values in accordance 
with section 5.1 of appendix D1 using the means of control provided by 
the manufacturer in response to the test notice. Id.
    AHRI commented that the means of control of the unit could not be 
shipped ``from a retailer or distributor'' because it is not sold with 
the unit and, therefore, not sold by a distributor. They further 
commented that the means of control would need to be provided by the 
manufacturer, and preferably by the manufacturer's representative due 
to confidentiality. They suggested the following language: ``If a 
manufacturer's representative is not present for testing, a member of 
the third-party laboratory must set and adjust critical parameters 
using the provided means of control described in Sec.  
429.110(b)(1)(iv) for enforcement testing.'' (AHRI, No. 12 at pp. 7-8)
    Daikin commented that DOE's proposal regarding manufacturer 
involvement during assessment and enforcement testing is acceptable, 
provided that, should testing be scheduled and then delayed due to 
unforeseen circumstances (e.g., travel issues, positive COVID-19 
tests), the provision stating ``If a manufacturer's representative is 
not present for testing, a member of the third-party laboratory must 
set and adjust critical parameters . . .'' would not be invoked, but 
rather the testing would be rescheduled. Daikin further commented that 
a means of control for running the CVP would not be sold by retailers 
or distributors, as it contains confidential company intellectual 
property. Daikin suggested regulatory text that would require the 
manufacturer to ship any means of control necessary for conducting 
testing, if requested by DOE. Daikin also suggested language specifying 
that the means of control may be provided separately from the system(s) 
selected for testing, stating that it is not appropriate to ship the 
controls tool (usually a laptop) along with the VRF equipment via less 
than truckload (LTL) freight shipping. (Daikin, No. 13 at pp. 5-6)
    With regard to the logistics around sending manufacturer control 
tools, DOE acknowledges the comments from AHRI and Daikin indicating 
that means of control are not typically provided with a VRF multi-split 
system and would, therefore, not come from a retailer or distributor, 
but directly from the manufacturer, and potentially separate from the 
VRF equipment itself. Consequently, DOE is adopting the proposed 
provisions at 10 CFR 429.104(b) and 10 CFR 429.110(b)(1)(iv) with 
modifications to specify that, while manufacturers must provide a means 
of control for assessment testing, the means of control (necessary for 
testing conducted in accordance with appendix D1) may be shipped 
directly from the manufacturer, and separately from the system(s) 
selected for testing. These revisions are consistent with the language 
proposed by Daikin in their comment.
    With regard to Daikin's suggestion that enforcement testing be 
rescheduled if the manufacturer is unable to attend due to ``unforeseen 
circumstances,'' DOE will consider such circumstances as they arise on 
a case-by-case basis, and the Department will balance between providing 
reasonable flexibility and maintaining the integrity of the enforcement 
program. With regard to AHRI's suggestion that if a manufacturer's 
representative is not present for testing, a member of the third-party 
laboratory must set and adjust critical parameters using the provided 
means of control. DOE finds that this suggestion is already consistent 
with the proposed provisions covering manufacturer involvement and with 
the discussion in this section. In consideration of all input received 
on this topic, DOE is adopting its proposed provisions at 10 CFR 
429.104, 10 CFR 429.110, and 10 CFR 429.134 as proposed, with the 
additional clarifications previously discussed in this section.
5. Break-In Period
    The current Federal test procedure for VRF multi-split systems 
specifies at 10 CFR 431.96(c) that manufacturers may optionally specify 
a ``break-in'' period, not to exceed 20 hours, to operate the equipment 
under test prior to conducting the test method specified in by AHRI 
1230-2010. In the December 2021 VRF TP NOPR, DOE proposed to include 
similar provisions for VRF multi-split systems, but as part of the STI 
certification requirements rather than the proposed test procedure. 86 
FR 70644, 70666 (Dec. 10, 2021). DOE did not receive any comments in 
response to this proposal.
    However, DOE inadvertently omitted the 20-hour maximum time period 
from the proposed STI certification requirements. A 20-hour maximum 
time period prevents DOE testing from being unduly burdensome and is 
consistent with the current Federal test procedures for VRF multi-split 
systems as well as numerous other categories of air conditioners and 
heat pumps, including three-phase CUAC/HPs with cooling capacity less 
than 65,000 Btu/h, single package vertical units, computer room air 
conditioners, and central air conditioners and heat pumps. Therefore, 
DOE concludes that a 20-hour limit on the specified break-in period 
should also apply to testing VRF multi-split systems according to 
Appendix D1.
    As such, for the reasons previously stated, DOE is specifying in 10 
CFR 429.43(b)(4) that a manufacturer may certify a compressor break-in 
period duration of 20 hours or less in its STI. Further, DOE is adding 
a clarifying provision at 10 CFR 429.134(v)(4) stating that, during 
assessment and enforcement testing, DOE will perform a break-in period 
on VRF multi-split systems using a duration specified by the 
manufacturer only if a break-in period duration is specified in the 
STI.
6. Certified Critical Parameter Operational Settings
    DOE proposed in the December 2021 VRF TP NOPR to add a 
certification reporting provision specific to VRF multi-split systems 
in 10 CFR 429.43(b)(5) stating that if a manufacturer becomes aware 
that any of the certified operational settings for the critical 
parameters are determined to be invalid according to the results of a 
CVP, whether that CVP be performed by the manufacturer or another 
party, the manufacturer would be required to re-certify the operational 
settings of those critical parameters for all affected basic models, as 
well as re-rate and re-certify the affected basic models. 86 FR 70644, 
70668 (Dec. 10, 2021). DOE also proposed to amend the enforcement 
testing requirements at 10 CFR 429.110(a) to state that DOE may 
initiate enforcement testing for VRF multi-split systems if DOE has 
reason to believe that the model is not in compliance, has invalid 
certified operational settings for critical parameter values, or has an 
otherwise invalid certified rating. Id. at 86 FR 70669.
    Joint Advocates commented that DOE should provide additional 
clarification in the case when a manufacturer becomes aware that their 
certified critical parameter values have been invalidated, and these 
commenters

[[Page 63885]]

specifically suggested that DOE should specify a timeline between 
becoming aware of the invalid parameters and recertifying the impacted 
models. (Joint Advocates, No. 9 at p. 2) The CA IOUs commented that 
they support DOE's proposal for evaluating compliance of a system whose 
STI-reported critical parameters have been invalidated. (CA IOUs, No. 
11 at p. 2) AHRI commented that in the context of a ``another party'' 
(i.e., other than DOE) conducting a CVP that results in invalidated 
operational settings for critical parameters for a basic model, DOE 
should clarify that ``another party'' should not be a competitor, 
university, or party other than DOE. They commented that only DOE, a 
third-party lab contracted by DOE, or AHRI should have access to the 
STI. Further, they commented that if ``another party'' becomes aware of 
a potential issue, an investigation should take place rather than 
enforcement action. (AHRI, No. 12 at p. 8)
    In response, regarding the comments received from the Joint 
Advocates and AHRI about DOE's procedures for recertification and for 
initiating enforcement testing, DOE notes that these procedures pertain 
to DOE enforcement testing policy more generally, not just to VRF 
multi-split systems. Under 10 CFR 429.102(a)(8), it is a prohibited act 
for a manufacturer or private labeler to knowingly misrepresent the 
efficiency rating of any covered product or covered equipment 
distributed in commerce in a manner that is not supported by test data 
(e.g., a manufacturer determines IEER rating based on certified 
critical parameter values which are later invalidated via a CVP). For 
any other regulated product types, DOE does not specify in regulations 
a required timeline for recertification or any constraints on the 
information sources that DOE may consider as part of an enforcement 
case. For other categories of regulated air conditioners and heat pumps 
for which similar proprietary information may be included in STI or 
non-public sections of certification reports, the treatment of any 
proprietary aspects of the certification materials has been adequately 
addressed under the existing enforcement regulations without any 
product-specific restrictions. Therefore, while DOE acknowledges AHRI's 
concern that the critical parameter settings necessary for testing 
contain sensitive information, DOE has concluded that VRF multi-split 
systems do not warrant additional product-specific restrictions to the 
existing enforcement regulations. Therefore, DOE is not adopting a 
timeline regarding re-certification or defining which entities are able 
to submit information that may instigate potential enforcement action 
for VRF multi-split systems in this final rule. DOE will consider any 
appropriately submitted information in its assessment of compliance on 
a case-by-case basis. Based on the discussion presented in the December 
2021 VRF TP NOPR and in the preceding paragraphs, DOE is adopting the 
provisions as proposed in the NOPR regarding the CCE process in the 
event that certified critical parameter operational settings have been 
invalidated by a CVP. This process is visually represented in Figure 1 
in section II of this document.
7. Enforcement Sampling Plan
    The enforcement sampling plan for VRF multi-split systems was last 
amended in a final rule published in the Federal Register on March 7, 
2011, which addressed certification, compliance, and enforcement for 
consumer products and commercial and industrial equipment. 76 FR 12422 
(``March 2011 CCE Final Rule''). In the March 2011 CCE Final Rule, DOE 
specified flexible sampling provisions for certain covered products and 
equipment for which there is a lower market volume and/or manufacturing 
tends to be more customized. 76 FR 12422, 12436 (March 7, 2011). DOE 
included among such covered equipment commercial heating, air-
conditioning, and ventilation equipment, which includes VRF multi-split 
systems. Id. As established by the March 2011 CCE Final Rule, 10 CFR 
429.110(e)(2) states that for commercial air conditioners and heat 
pumps (which includes VRF multi-split systems), DOE will use an initial 
sample size of not more than four units when determining a basic 
model's compliance with applicable energy conservation standards.
    In the December 2021 VRF TP NOPR, DOE proposed to amend its 
enforcement sampling plan requirements specific to VRF multi-split 
systems to require a sample size of two VRF multi-split systems. DOE 
proposed a reduced sample size to reflect what the Department considers 
to be an adequate sample size for assessment and enforcement testing 
but that also recognizes of the involved nature of testing VRF multi-
split systems. DOE did not propose to amend the process for determining 
compliance with energy conservation standards (i.e., the compliance 
determination would be made for VRF multi-split systems using the 
sampling plan found in appendix B to subpart C of part 429 with a first 
sample size of n1 = 2). 86 FR 70644, 70669 (Dec. 10, 2021).
    The Joint Advocates commented that they support DOE's proposed 
sampling plan, due to the complexity of the test procedure 
commissioning for VRF equipment. (Joint Advocates, No. 9 at p. 2). 
Daikin agreed that the cost burden of testing VRF multi-split systems 
is high, including the equipment itself, copper piping, refrigerant, 
and laboratory testing. (Daikin, No. 13 at p. 6)
    However, Daikin expressed concern with using a sample size of two 
combined with the sampling plan found in appendix B to subpart C of 
part 429. Specifically, Daikin worried that the sample size of only two 
units would be unlikely to produce a sample mean and standard deviation 
that match the population mean and standard deviation. Daikin provided 
examples illustrating that a two-unit sample with lower and more varied 
test results could be determined compliant with the standard (e.g., 
first sample testing at 16.1 and the second sample testing at 15.5 
would be considered to meet a 17 IEER standard), while a different two-
unit sample with higher and less varied test results could be 
determined non-compliant (e.g., first sample testing at 16.1 and the 
second sample testing at 16.2 would be considered to fail to meet a 17 
IEER standard). Daikin concluded by asserting that it is not 
impractical, due to inherent statistics, to test four samples for 
enforcement. (Daikin, No. 13 at p. 6) AHRI commented that while costs 
associated with procurement of VRF multi-split systems may be high, 
there is not sufficient technical justification to deviate from the 
four-unit sample used for enforcement testing. AHRI stated that using a 
statistical sample to develop testing is an important feature of DOE's 
enforcement program. (AHRI, No. 12 at p. 9)
    DOE recognizes the concerns from AHRI and Daikin regarding the 
proposed reduced enforcement sampling plan for VRF multi-split systems. 
In particular, DOE acknowledges Daikin's comments that modifying the 
regulations to specify a two-system enforcement sample with the 
existing sampling plan at appendix B to subpart C of part 429 could 
result in further variation between the sample standard deviation and 
the population standard deviation. Therefore, DOE is not amending the 
enforcement sampling plan for VRF multi-split systems at 10 CFR 
429.110(e)(2) as proposed, which would have reduced the required sample 
size from four units to two units. Figure 1 in section II of this 
document reflects this determination.

[[Page 63886]]

    Although DOE is not amending the enforcement sampling plan for VRF 
multi-split systems in this final rule, DOE notes that stakeholder 
comments agreed with DOE's position in the December 2021 VRF TP NOPR 
that the burden associated with testing VRF multi-split systems is 
significantly higher than for other types of commercial HVAC equipment. 
In the March 2011 CCE Final Rule, DOE established an initial sample 
size of four units for this equipment and included provisions that 
provides for testing of fewer than four units if they are unavailable 
at the time that the test notice is received. 10 CFR 429.110(e)(3). The 
enforcement provisions also include a general provision applicable to 
all covered products and equipment that states if testing of the 
available or subsequently available units of a basic model would be 
impractical, as for example when a basic model has unusual testing 
requirements or has limited production, DOE may in its discretion 
decide to base the determination of compliance on the testing of fewer 
than the otherwise required number of units. 10 CFR 429.110(e)(7). DOE 
explained in the March 2011 CCE Final Rule that it would, in its 
evaluation of testing availability, take into consideration the units 
themselves as well as availability of third-party testing facilities to 
run the DOE test procedure. 76 FR 12422, 12436 (March 7, 2011).
8. Certified vs. Tested Performance
    In the December 2021 VRF TP NOPR, DOE proposed a process for 
assessment and enforcement testing for VRF multi-split systems to 
incorporate the CVP, which was illustrated via a flowchart in Figure 1 
of that NOPR (repeated here as Figure 2). 86 FR 70644, 70662 (Dec. 10, 
2021). One of the paths in the diagram showed that if a system was 
tested for IEER and was determined to be in compliance with the Federal 
standards, but did not meet the certified IEER value, then it would 
constitute an improper certification and manufacturers would be 
required to re-rate and recertify that model.
[GRAPHIC] [TIFF OMITTED] TR20OC22.001

    Daikin commented that this figure illustrates that regardless of 
whether a CVP is performed, the basic model must be re-rated if the 
IEER testing results are deemed invalid. Daikin asserted that the 
proposed regulatory text did not indicate that if critical parameters 
are validated but the IEER is not validated then a re-rate is required, 
as indicated in the figure. (Daikin, No. 13 at p. 7)
    AHRI asserted that DOE's proposal would introduce a tolerance on 
the certified IEER and claimed that DOE's proposal for certified IEER 
to be within any tolerance of the rated IEER would create a more 
stringent requirement for VRF equipment than for other Federally-
regulated products. AHRI further asserted that verification of 
published ratings is the purpose of the AHRI certification program, and 
that DOE's enforcement authority is to ensure compliance with energy 
conservation standards. However, AHRI acknowledged DOE's enforcement 
authority under 10 CFR 429.102(a)(8), 10 CFR 429.102(b), and 10 CFR 
429.106(a), and further recognized that 10 CFR 429.114(b) provides that 
DOE may issue a notice of noncompliance determination in the event that 
the Department determines a manufacturer has failed to comply with an 
applicable certification requirement with respect to a particular basic 
model. However, AHRI argued that besides DOE's

[[Page 63887]]

regulations for application of an AEDM at 10 CFR 429.70,\30\ there are 
no other references to or requirements surrounding the accuracy of 
certified ratings in subpart B--Certification. (AHRI, No. 12 at p. 9)
---------------------------------------------------------------------------

    \30\ AHRI acknowledged that10 CFR 429.70 requires that for 
covered products with an energy efficiency metric, the predicted 
efficiency of each model calculated by applying the AEDM may not be 
more than five percent greater than the efficiency determined from 
the corresponding test of the model.
---------------------------------------------------------------------------

    In response, DOE clarifies that it did not propose and is not 
adopting amendments to the enforcement process as it pertains to 
validating certified performance with test results. DOE did not propose 
any percentage agreement between certified and tested performance, and 
is not making any such amendment to its regulations in this final rule. 
As acknowledged by AHRI in their comment, in the event that DOE 
determines a manufacturer has failed to comply with an applicable 
certification requirement with respect to a particular basic model, DOE 
may issue a notice of noncompliance determination to the manufacturer 
or private labeler. 10 CFR 429.114(b). This notice of noncompliance 
determination will notify the manufacturer or private labeler of its 
obligations including the obligation to immediately comply with the 
applicable certification requirement. 10 CFR 429.114(b)(2). To avoid 
further confusion, DOE has clarified these mechanisms in a revised CCE 
process diagram for this final rule (see Figure 1 at section II of this 
document).
    AHRI asserted that DOE's proposal would introduce a tolerance on 
the certified IEER and claimed that DOE's proposal for certified IEER 
to be within any tolerance of the rated IEER would create a more 
stringent requirement for VRF equipment than for other Federally-
regulated products. AHRI further asserted that verification of 
published ratings is the purpose of the AHRI certification program, and 
that DOE's enforcement authority is to ensure compliance with energy 
conservation standards. However, AHRI acknowledged DOE's enforcement 
authority under 10 CFR 429.102(a)(8), 10 CFR 429.102(b), and 10 CFR 
429.106(a), and further recognized that 10 CFR 429.114(b) provides that 
DOE may issue a notice of noncompliance determination in the event that 
the Department determines a manufacturer has failed to comply with an 
applicable certification requirement with respect to a particular basic 
model. However, AHRI argued that besides DOE's regulations for 
application of an AEDM at 10 CFR 429.70,\31\ there are no other 
references to or requirements surrounding the accuracy of certified 
ratings in subpart B--Certification. (AHRI, No. 12 at p. 9)
---------------------------------------------------------------------------

    \31\ AHRI acknowledged that 10 CFR 429.70 requires that for 
covered products with an energy efficiency metric, the predicted 
efficiency of each model calculated by applying the AEDM may not be 
more than five percent greater than the efficiency determined from 
the corresponding test of the model.
---------------------------------------------------------------------------

    In response, DOE clarifies that it did not propose and is not 
adopting amendments to the enforcement process as it pertains to 
validating certified performance with test results. DOE did not propose 
any percentage agreement between certified and tested performance, and 
is not making any such amendment to its regulations in this final rule. 
As acknowledged by AHRI in their comment, in the event that DOE 
determines a manufacturer has failed to comply with an applicable 
certification requirement with respect to a particular basic model, DOE 
may issue a notice of noncompliance determination to the manufacturer 
or private labeler. 10 CFR 429.114(b). This notice of noncompliance 
determination will notify the manufacturer or private labeler of its 
obligations including the obligation to immediately comply with the 
applicable certification requirement. 10 CFR 429.114(b)(2). To avoid 
further confusion, DOE has clarified these mechanisms in a revised CCE 
process diagram for this final rule (see Figure 1 at section II of this 
document).

H. Effective and Compliance Dates

    The effective date for the adopted test procedure amendment 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)) To the extent the modified test 
procedure adopted in this final rule is required only for the 
evaluation and issuance of updated efficiency standards (e.g., 
standards using the IEER metric), compliance with the amended test 
procedure does not require use of such modified test procedure 
provisions until the compliance date of updated standards.

I. Test Procedure Costs

    In this final rule, DOE amends the current test procedure for VRF 
multi-split systems at 10 CFR 431.96 by: (1) incorporating by reference 
AHRI 1230-2021 and ANSI/ASHRAE 37-2009; and (2) establishing provisions 
for determining IEER for VRF multi-split systems. DOE also amends its 
CCE provisions for VRF multi-split systems to provide information that 
is necessary for testing VRF multi-split systems consistent with the 
updated industry test procedure AHRI 1230-2021. Most significantly, 
these changes include the incorporation of the CVP from AHRI 1230-2021 
into DOE's product-specific enforcement provisions at 10 CFR 429.134, 
as well as accompanying certification requirements at 10 CFR 429.43.
    DOE has determined that these amended test procedures will be more 
representative of an average use cycle and will not be unduly 
burdensome for manufacturers to conduct. The amended appendix D, 
measuring EER and COP per ANSI/AHRI 1230-2010, is simply a relocation 
of and does not contain any changes to the current Federal test 
procedure, and, therefore, it will not require retesting solely as a 
result of DOE's adoption of this amendment to the test procedure. The 
test procedure in appendix D1, measuring IEER and COP per AHRI 1230-
2021, will lead to an increase in cost from appendix D testing. DOE 
estimates that the cost for third-party laboratory testing according to 
appendix D1 for measuring IEER and COP to be $7,500--$27,000 per VRF 
multi-split heat pump system, depending on size and configuration.
    As discussed in section III.D.1 of this document, the test 
procedure provisions regarding IEER will not be mandatory unless DOE 
amends the energy conservation standards for VRF multi-split systems 
based on IEER. In the event testing is required pursuant to appendix 
D1, DOE has determined that the new test procedure would not be 
expected to increase the testing burden on VRF multi-split system 
manufacturers. All VRF multi-split system manufacturers are AHRI 
members; DOE is adopting the relevant provisions of the prevailing 
industry test procedure that was established for use in AHRI's 
certification program (which DOE presumes will be updated to include 
IEER in terms of the latest industry test procedure AHRI 1230-2021). 
Therefore, DOE expects that manufacturers will begin testing using the 
test methods in AHRI 1230-2021, and the testing burden will already be 
incurred by AHRI members participating in AHRI's certification program. 
Additionally, DOE has determined that the test procedure amendments 
will not require manufacturers to redesign any of the covered 
equipment, will not require

[[Page 63888]]

changes to how the equipment is manufactured, and will not impact the 
utility of the equipment.

IV. Procedural Issues and Regulatory Review

A. Review Under Executive Orders 12866 and 13563

    Executive Order (``E.O.'') 12866, ``Regulatory Planning and 
Review,'' 58 FR 51735 (Oct. 4, 1993), 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 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 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: www.energy.gov/gc/office-general-counsel. DOE reviewed this final rule under the 
provisions of the Regulatory Flexibility Act and the procedures and 
policies published on February 19, 2003.
    DOE reviewed this rule under the provisions of the Regulatory 
Flexibility Act and the procedures and policies published on February 
19, 2003. DOE certifies that the rule will not have a significant 
economic impact on a substantial number of small entities. The factual 
basis of this certification is set forth in the following paragraphs.
    DOE is amending the test procedures for VRF multi-split systems to 
satisfy its statutory requirements under EPCA to remain consistent with 
updates to the applicable industry test procedure and to re-evaluate 
its test procedures at least once every 7 years. (42 U.S.C. 
6314(a)(4)(A) and (B); 42 U.S.C. 6314(a)(1)(A))
    DOE is updating 10 CFR 431.96, ``Uniform test method for the 
measurement of energy efficiency of commercial air conditioners and 
heat pumps,'' as follows: (1) incorporate by reference AHRI 1230-2021 
and ANSI/ASHRAE 37-2009, as corrected by the Errata Sheet issued March 
27, 2019; and (2) establish provisions for determining IEER for VRF 
multi-split systems. DOE is adding new appendices D and D1 to subpart F 
of part 431, both titled ``Uniform test method for measuring the energy 
consumption of variable refrigerant flow multi-split air conditioners 
and heat pumps (other than air-cooled with rated cooling capacity less 
than 65,000 Btu/h),'' (``appendix D'' and ``appendix D1'', 
respectively). The current DOE test procedure for VRF multi-split 
systems is being relocated to appendix D without change, and the new 
test procedure adopting AHRI 1230-2021 is being established in appendix 
D1 for determining IEER. Compliance with appendix D1 is not required 
until the compliance date of amended energy conservation standards for 
VRF multi-split systems that rely on IEER, should DOE adopt such 
standards.
    DOE is also updating its certification, compliance, and enforcement 
(``CCE'') provisions for VRF multi-split systems to provide information 
that is necessary for testing VRF multi-split systems consistent with 
the updated industry test procedure AHRI 1230-2021. Most significantly, 
these changes include the incorporation of the controls verification 
procedure (``CVP'') from AHRI 1230-2021 into DOE's product-specific 
enforcement provisions at 10 CFR 429.134, as well as accompanying 
certification requirements at 10 CFR 429.43.
    For manufacturers of VRF multi-split systems, the Small Business 
Administration (``SBA'') has set a size threshold, which defines those 
entities classified as ``small businesses'' for the purposes of the 
statute. 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. The equipment covered by this rule is classified under North 
American Industry Classification System (``NAICS'') code 333415,\32\ 
``Air-Conditioning and Warm Air Heating Equipment and Commercial and 
Industrial Refrigeration Equipment Manufacturing.'' DOE used the SBA's 
small business size standards to determine whether any small entities 
would be subject to the requirements of the rule. DOE identified 
manufacturers using DOE's Compliance Certification Database \33\ and 
the AHRI database.\34\ DOE identified ten original equipment 
manufacturers (``OEMs'') of the covered equipment.
---------------------------------------------------------------------------

    \32\ The size standards are listed by NAICS code and industry 
description and are available at: www.sba.gov/document/support-table-size-standards (Last accessed on July 7, 2022).
    \33\ DOE's Compliance Certification Database is available at: 
www.regulations.doe.gov/ccms (Last accessed April 22, 2022).
    \34\ The AHRI Database is available at: www.ahridirectory.org/ 
(Last accessed April 22, 2022).
---------------------------------------------------------------------------

    In reviewing the ten OEMs for the December 2021 VRF TP NOPR, DOE 
did not identify any companies that met the SBA criteria for a small 
entity because all identified OEMs surpassed the SBA's employee 
threshold. 86 FR 70644,

[[Page 63889]]

70671 (Dec. 10, 2021). DOE tentatively concluded that the proposed rule 
would not have a significant economic impact on a substantial number of 
small entities. DOE requested comment regarding this assessment in the 
December 2021 VRF TP NOPR. Id. Because no comments were received in 
response to this request and having subsequently found no additional 
information to the contrary, DOE finalizes its conclusion that this 
final rule will not have a significant economic impact on a substantial 
number of small entities.
    Therefore, in the absence of small business manufacturers, DOE 
concludes that the cost effects accruing from this test procedure final 
rule will not have a ``significant economic impact on a substantial 
number of small entities,'' and that the preparation of a FRFA is not 
warranted. DOE has submitted a certification and supporting statement 
of factual basis to the Chief Counsel for Advocacy of the Small 
Business Administration for review under 5 U.S.C. 605(b).

C. Review Under the Paperwork Reduction Act of 1995

    Manufacturers of VRF multi-split systems must certify to DOE that 
their products comply with any applicable energy conservation 
standards. To certify compliance, manufacturers must first obtain test 
data for their products according to the DOE test procedures, including 
any amendments adopted for those test procedures. DOE has established 
regulations for the certification and recordkeeping requirements for 
all covered consumer products and commercial equipment, including VRF 
multi-split systems. (See generally 10 CFR part 429.) The collection-
of-information requirement for the certification and recordkeeping is 
subject to review and approval by OMB under the Paperwork Reduction Act 
(PRA). This requirement has been approved by OMB under OMB control 
number 1910-1400. Public reporting burden for the certification is 
estimated to average 35 hours per response, including the time for 
reviewing instructions, searching existing data sources, gathering and 
maintaining the data needed, and completing and reviewing the 
collection of information.
    Under EPCA, DOE's energy conservation program consists essentially 
of four parts: (1) Testing; (2) labeling; (3) Federal energy 
conservation standards, and (4) certification and enforcement 
procedures. For covered equipment, relevant provisions of the Act 
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).
    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 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 and 10 CFR part 431. Certification 
reports provide DOE and consumers with comprehensive, up-to date 
efficiency information and support effective enforcement.
    DOE requires manufacturers or their party representatives to 
prepare and submit certification reports and compliance statements 
using DOE's electronic web-based tool, the CCMS, which is the primary 
mechanism for submitting certification reports to DOE. CCMS currently 
has product-specific and equipment-specific templates which 
manufacturers are required to use when submitting certification data to 
DOE. DOE believes the availability of electronic filing through the 
CCMS system reduces reporting burdens, streamlines the process, and 
provides DOE with needed information in a standardized, more accessible 
form. This electronic filing system also ensures that records are 
recorded in a permanent, systematic way.
    In this final rule, DOE is amending the reporting requirements for 
VRF multi-split systems as discussed in section III.G.2 of this 
document. DOE sent a revised information collection approval to OMB 
under the existing Control Number 1910-1400, which reflected the 
changes in this rulemaking as an amendment to the existing information 
collection. More specifically, in this final rule, DOE is adding IEER, 
rated heating capacity, indoor unit combination, and the refrigerant 
used to determine the represented values for a basic model to the 
certification reporting requirements for VRF multi-split systems. These 
amended certification requirements enable the use of the industry test 
procedure, AHRI 1230-2021 (which, as described in III.C.1 of this 
document, DOE has concluded is more representative for measuring VRF 
performance). AHRI supported DOE's proposal to adopt IEER as determined 
under AHRI 1230-2021 in the federal test procedure for VRF multi-split 
systems. (AHRI, No. 12 at p. 2) DOE infers from AHRI's supportive 
comments that AHRI also plans to use AHRI 1230-2021 as the test 
procedure for its certification program for VRF multi-split systems. 
Therefore, DOE expects that manufacturers will already have the 
required certification information in order to test according to the 
amended industry test procedure. Additionally, AHRI 1230-2021 includes 
an informative appendix D, which specifies rated heating capacity and 
indoor unit combination as fields to include in the OEM's certified 
supplemental testing instructions. Therefore, DOE concludes that 
adopting the certification requirements in this final rule will not 
constitute additional burden, as compared to expected industry 
practice.
    DOE is requiring in this final rule that respondents must submit 
electronic forms using DOE's online CCMS. DOE's CCMS is accessible at: 
www.regulations.doe.gov/ccms, and includes instructions for users, 
registration forms, and the product-specific reporting templates 
required for use when submitting information to CCMS. DOE also 
concludes that manufacturers will rely on existing record keeping 
systems to maintain the additional information reported.
    OMB has approved this revised information collection under existing 
OMB Control Number 1910-1400. 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 amends the test procedure for VRF multi-
split systems, amendments which it expects will be used to develop and 
implement future energy conservation standards for such

[[Page 63890]]

equipment. 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.

E. Review Under Executive Order 13132

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

[[Page 63891]]

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 
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 Federal test procedure for VRF multi-split 
systems adopted in this final rule incorporates testing methods 
contained in certain sections of the following applicable commercial 
test standards: AHRI 1230-2021 and ANSI/ASHRAE 37-2009. DOE has 
evaluated these standards and is unable to conclude whether they fully 
comply with the requirements of section 32(b) of the FEAA (i.e., 
whether 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 final 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) AHRI 1230-2021 is an industry-accepted test procedure for 
measuring the performance of VRF multi-split systems. AHRI 1230-2021 is 
available on AHRI's website at www.ahrinet.org/search-standards.aspx.
    (2) ANSI/AHRI 1230-2010 is an industry-accepted test procedure for 
measuring the performance of VRF multi-split systems. ANSI/AHRI 1230-
2010 is available on AHRI's website at www.ahrinet.org/search-standards.aspx.
    (3) ANSI/ASHRAE Standard 37-2009. ANSI/ASHRAE Standard 37-2009 is 
an industry-accepted test procedure that provides a method of test for 
many categories of air conditioning and heating equipment. ANSI/ASHRAE 
Standard 37-2009 is available on ANSI's website at webstore.ansi.org/RecordDetail.aspx?sku=ANSI%2FASHRAE+Standard+37-2009.
    (4) ASHRAE Errata Sheet to ANSI/ASHRAE Standard 37-2009 is a 
technical corrections sheet for ANSI/ASHRAE 37-2009. The errata sheet 
for ANSI/ASHRAE 37-2009 is reasonably available on ASHRAE's website at: 
www.ashrae.org/.
    The following standards were previously approved for incorporation 
by reference in the section where they appear and no change is made: 
AHRI 210/240-2008, AHRI 340/360-2007, AHRI 390-2003, ASHRAE 127-2007, 
and 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, 
Incorporation by reference, Intergovernmental relations, Reporting and 
recordkeeping requirements, Small businesses.

10 CFR Part 431

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

Signing Authority

    This document of the Department of Energy was signed on October 6, 
2022, by Francisco Alejandro Moreno, Acting Assistant Secretary for 
Energy Efficiency and Renewable Energy, pursuant to delegated authority 
from the Secretary of Energy. That document with the original signature 
and date is maintained by DOE. For administrative purposes only, and in 
compliance with requirements of the Office of the Federal Register, the 
undersigned DOE Federal Register Liaison Officer has been authorized to 
sign and submit the document in electronic format for publication, as 
an official document of the Department of Energy. This administrative 
process in no way alters the legal effect of this document upon 
publication in the Federal Register.

    Signed in Washington, DC, on October 12, 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.  429.4 by:
0
a. Revising paragraph (a); and
0
b. Redesignating paragraph (c)(2) as (c)(3) and adding new paragraph 
(c)(2).
    The revision and addition read as follows.


Sec.  429.4  Materials incorporated by reference.

    (a) Certain material is incorporated by reference into this part 
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

[[Page 63892]]

this section, the U.S. Department of Energy (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: 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], 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.
* * * * *
    (c) * * *
    (2) AHRI Standard 1230(I-P) (``AHRI 1230-2021''), 2021 Standard for 
Performance Rating of Variable Refrigerant Flow (VRF) Multi-Split Air-
Conditioning and Heat Pump Equipment, copyright 2021; IBR approved for 
Sec. Sec.  429.43; 429.134.
* * * * *


0
3. Amend Sec.  429.43 by:
0
a. Revising paragraphs (a) introductory text, (a)(1)(ii)(A) 
introductory text, and (a)(1)(ii)(B) introductory text;
0
b. Redesignating table 1 to paragraph (a)(3) as table 1 to paragraph 
(a)(3)(i)(A);
0
c. In paragraph (a)(3)(i), removing the text ``Table 1 to paragraph 
(a)(3)'', wherever it appears, and adding in its place the text ``table 
1 to paragraph (a)(3)(i)(A)'' and removing the text ``Table 1'', 
wherever is appears, and adding in its place the text ``table 1'';
0
d. Adding reserved paragraph (a)(3)(i)(B);
0
e. Adding paragraph (a)(3)(ii);
0
f. Revising paragraphs (b)(2)(xi) and (xii);
0
g. Removing paragraph (b)(2)(xiii);
0
h. Redesignating paragraphs (b)(2)(xiv) and (xv) as (b)(2)(xiii) and 
(xiv), respectively;
0
i. Revising paragraphs (b)(4)(vii) and (viii);
0
j. Removing paragraph (b)(4)(ix);
0
k. Redesignating paragraphs (b)(4)(x) through (b)(4)(xiv) as (b)(4)(ix) 
through (b)(4)(xiii), respectively; and
0
l. Adding paragraph (b)(5).
    The revisions and additions read as follows.


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

    (a) Determination of represented values. Manufacturers must 
determine the represented values, which include the certified ratings, 
for each basic model of commercial HVAC equipment either by testing, in 
conjunction with the applicable sampling provisions, or by applying an 
AEDM.
    (1) * * *
    (ii) * * *
    (A) Any represented value of energy consumption or other measure of 
energy use of a basic model, or of a tested combination for variable 
refrigerant flow multi-split air conditioners and heat pumps certified 
to standards in terms of IEER as provided at paragraph (a)(3)(ii)(C) of 
this section, for which consumers would favor lower values shall be 
greater than or equal to the higher of:
* * * * *
    (B) Any represented value of energy efficiency or other measure of 
energy consumption of a basic model, or of a tested combination for 
variable refrigerant flow multi-split air conditioners and heat pumps 
certified to standards in terms of IEER as provided at paragraph 
(a)(3)(ii)(C) of this section, for which consumers would favor higher 
values shall be less than or equal to the lower of:
* * * * *
    (3) * * *
    (i) * * *
    (B) [Reserved]
    (ii) Variable refrigerant flow multi-split air conditioners and 
heat pumps (other than air-cooled with cooling capacity less than 
65,000 btu/h). When certifying to standards in terms of IEER, the 
following provisions apply.
    (A) Outdoor Unit Model Selection. All representations for basic 
models of VRF multi-split systems must be based on the least-efficient 
outdoor unit model(s) distributed in commerce within the basic model.
    (B) Indoor Unit Model Selection. A manufacturer must determine 
represented values for basic models of VRF multi-split systems based on 
the following provisions regarding selection of indoor units:
    (1) The combination of indoor unit models shall be selected per the 
certified tested combination in the STI, subject to the provisions in 
paragraph (a)(3)(ii)(B)(2) of this section.
    (2) For each indoor unit model identified in the tested combination 
for which the model number certified in the STI does not fully specify 
the presence or absence of all components, a fully-specified indoor 
unit model shall be selected that meets the following qualifications:
    (i) Is distributed in commerce; and
    (ii) Has a model number consistent with the certified indoor unit 
model number (i.e., shares all digits of the model number that are 
specified in the certified indoor unit model number); and
    (iii) Among the group of all indoor models meeting the criteria 
from paragraphs (a)(3)(ii)(B)(2)(i) and (ii) of this section, has the 
least number (which could be zero) of components listed in Table 2 to 
paragraph (a)(3)(ii)(B)(2) of this section.

 Table 2 to Paragraph (a)(3)(ii)(B)(2)--Specific Components for Variable
                  Refrigerant Flow Multi-Split Systems
------------------------------------------------------------------------
            Component                           Description
------------------------------------------------------------------------
Air economizers.................  An automatic system that enables a
                                   cooling system to supply and use
                                   outdoor air to reduce or eliminate
                                   the need for mechanical cooling
                                   during mild or cold weather.
Dehumidification Components.....  An assembly that reduced the moisture
                                   content of the supply air through
                                   moisture transfer with solid or
                                   liquid desiccants.
------------------------------------------------------------------------

    (C) Represented Values for Different Indoor Unit Combinations. (1) 
If a basic model includes only one type of indoor unit combination 
(i.e., ducted, non-ducted, or SDHV), a manufacturer must determine the 
represented values for the basic model in accordance with the sampling 
plan set forth in Sec.  429.11 and paragraph (a)(1) of this section if 
the represented values are determined through testing, or in accordance 
with the provisions for applying an AEDM set forth in paragraph (a)(2) 
of this section and Sec.  429.70. Indoor unit models must be selected 
in accordance

[[Page 63893]]

with paragraph (a)(3)(ii)(B) of this section.
    (2) If a basic model includes more than one type of indoor unit 
combination (i.e., ducted, non-ducted, and/or SDHV):
    (i) A manufacturer must determine separate represented values for 
each type of indoor unit combination. If the represented values are 
determined through testing, a manufacturer must test, at a minimum, a 
single tested combination that represents each type of indoor unit 
combination included in that basic model. A manufacturer may 
alternatively determine separate represented values through application 
of an AEDM as set forth in paragraph (a)(2) of this section and Sec.  
429.70. Indoor unit models within the indoor unit combination must be 
selected in accordance with paragraph (a)(3)(ii)(B) of this section.
    (ii) A manufacturer may also determine optional ``mixed'' 
representations by calculating the mean value across any two required 
representations described in the paragraph (a)(3)(ii)(C)(2)(i) of this 
section (i.e., a representation for ``mixed ducted/non-ducted'' would 
be determined by averaging the ducted representation and the non-ducted 
representation; a representation for ``mixed ducted/SDHV'' would be 
determined by averaging the ducted representation and the SDHV 
representation, and a representation for ``mixed non-ducted/SDHV'' 
would be determined by averaging the non-ducted representation and the 
SDHV representation).
    (b) * * *
    (2) * * *
    (xi) Variable refrigerant flow multi-split air-cooled air 
conditioners (other than air-cooled with rated cooling capacity less 
than 65,000 btu/h):
    (A) When certifying compliance with an EER standard: The energy 
efficiency ratio (EER in British thermal units per Watt-hour (Btu/Wh)), 
rated cooling capacity in British thermal units per hour (Btu/h), and 
the type(s) of heating used by the basic model (e.g., electric, gas, 
hydronic, none).
    (B) When certifying compliance with an IEER standard, the following 
must be certified for each tested combination as required under 
paragraph (a)(3)(ii)(C) of this section: The integrated energy 
efficiency ratio (IEER) in British thermal units per Watt-hour (Btu/
Wh)); the rated cooling capacity in British thermal units per hour 
(Btu/h); whether the represented values are for a non-ducted, ducted, 
or SDHV tested combination, or for a mixed representation of any two of 
the tested combinations; and the outdoor unit(s) and indoor units 
identified in the tested combination. The following must be certified 
for each basic model: the type(s) of heating used (i.e., electric, gas, 
hydronic, none); and the refrigerant used to determine the represented 
values.
    (xii) Variable refrigerant flow multi-split heat pumps (other than 
air-cooled with rated cooling capacity less than 65,000 btu/h):
    (A) When certifying compliance with an EER standard: The energy 
efficiency ratio (EER in British thermal units per Watt-hour (Btu/Wh)), 
the coefficient of performance (COP), rated cooling capacity in British 
thermal units per hour (Btu/h), and the type(s) of heating used by the 
basic model (e.g., electric, gas, hydronic, none).
    (B) When certifying compliance with an IEER standard, the following 
must be certified for each tested combination as required under 
paragraph (a)(3)(ii)(C) of this section: The integrated energy 
efficiency ratio (IEER) in British thermal units per Watt-hour (Btu/
Wh); the coefficient of performance (COP); the rated cooling capacity 
in British thermal units per hour (Btu/h); the rated heating capacity 
(Btu/h); whether the represented values are for a non-ducted, ducted, 
or SDHV tested combination, or for a mixed representation of any two of 
the tested combinations; and the outdoor unit(s) and indoor units 
identified in the tested combination. The following must be certified 
for each basic model: the type(s) of heating used (i.e., electric, gas, 
hydronic, none); and the refrigerant used to determine the represented 
values.
* * * * *
    (4) * * *
    (vii) Variable refrigerant flow multi-split air-cooled air 
conditioners (other than air-cooled with rated cooling capacity less 
than 65,000 btu/h):
    (A) When certifying compliance with an EER standard: The nominal 
cooling capacity in British thermal units per hour (Btu/h); outdoor 
unit(s) and indoor units identified in the tested combination; 
components needed for heat recovery, if applicable; rated airflow in 
standard cubic feet per minute (scfm) for each indoor unit; rated 
static pressure in inches of water; compressor frequency setpoints; 
required dip switch/control settings for step or variable components; a 
statement whether the model will operate at test conditions without 
manufacturer programming; any additional testing instructions if 
applicable; if a variety of motors/drive kits are offered for sale as 
options in the basic model to account for varying installation 
requirements, the model number and specifications of the motor (to 
include efficiency, horsepower, open/closed, and number of poles) and 
the drive kit, including settings, associated with that specific motor 
that were used to determine the certified rating; and which, if any, 
special features were included in rating the basic model. Additionally, 
upon DOE request, the manufacturer must provide a layout of the system 
set-up for testing including charging instructions consistent with the 
installation manual.
    (B) When certifying compliance with an IEER standard (for 
requirements in this list pertaining to or affected by indoor units, 
the requirements must be certified for each tested combination as 
required under paragraph (a)(3)(ii)(C) of this section): The nominal 
cooling capacity in British thermal units per hour (Btu/h) for each 
indoor and outdoor unit; identification of the indoor units to be 
thermally active for each IEER test point; the rated indoor airflow for 
the full-load cooling and all part-load cooling tests (for each indoor 
unit) in standard cubic feet per minute (scfm); the indoor airflow-
control setting to be used in the full-load cooling test (for each 
indoor unit); system start-up or initialization procedures, including 
conditions and duration; compressor break-in period duration of 20 
hours or less; the frequency of oil recovery cycles; operational 
settings for all critical parameters to be controlled at each of the 
four IEER cooling test conditions; all dip switch/control settings used 
for the full-load cooling test; identification of any system control 
device required for testing; a hierarchy of instructions for adjustment 
of critical parameters to reduce cooling capacity during IEER cooling 
tests (to be used if, using initial critical parameter settings, the 
measured cooling capacity is more than 3 percent above the target 
cooling capacity); any additional testing instructions if applicable; 
and if a variety of motors/drive kits are offered for sale as options 
in the basic model to account for varying installation requirements, 
the model number and specifications of the motor (to include 
efficiency, horsepower, open/closed, and number of poles) and the drive 
kit, including settings, associated with that specific motor that were 
used to determine the certified rating. Instructions for conducting a 
controls verification procedure (as described in Appendix C of AHRI 
1230-2021, (incorporated by reference, see Sec.  429.4) at each of the 
four IEER cooling test conditions must also be provided, including: the 
required thermostat

[[Page 63894]]

setpoints to ensure control for 80 [deg]F dry-bulb temperature when 
accounting for setpoint bias, the starting indoor dry-bulb temperature, 
and the indoor dry-bulb temperature ramp rate (R2). Additionally, the 
manufacturer must provide a layout of the system set-up for testing 
(including a piping diagram, a power wiring diagram, a control wiring 
diagram, and identification of the location of the component(s) 
corresponding to each critical parameter to be controlled), set-up 
instructions for indoor units and outdoor units, and charging 
instructions consistent with the installation manual.
    (viii) Variable refrigerant flow multi-split heat pumps (other than 
air-cooled with rated cooling capacity less than 65,000 btu/h):
    (A) When certifying compliance with an EER standard: The nominal 
cooling capacity in British thermal units per hour (Btu/h); rated 
heating capacity in British thermal units per hour (Btu/h); outdoor 
unit(s) and indoor units identified in the tested combination; 
components needed for heat recovery, if applicable; rated airflow in 
standard cubic feet per minute (scfm) for each indoor unit; water flow 
rate in gallons per minute (gpm) for water-cooled units only; rated 
static pressure in inches of water; compressor frequency setpoints; 
required dip switch/control settings for step or variable components; a 
statement whether the model will operate at test conditions without 
manufacturer programming; any additional testing instructions if 
applicable; if a variety of motors/drive kits are offered for sale as 
options in the basic model to account for varying installation 
requirements, the model number and specifications of the motor (to 
include efficiency, horsepower, open/closed, and number of poles) and 
the drive kit, including settings, associated with that specific motor 
that were used to determine the certified rating; and which, if any, 
special features were included in rating the basic model. Additionally, 
upon DOE request, the manufacturer must provide a layout of the system 
set-up for testing including charging instructions consistent with the 
installation manual.
    (B) When certifying compliance with an IEER standard (for 
requirements in this list pertaining to or affected by indoor units, 
the requirements must be certified for each tested combination as 
required under paragraph (a)(3)(ii)(C) of this section): The nominal 
cooling capacity in British thermal units per hour (Btu/h) for each 
indoor and outdoor unit; the nominal heating capacity (Btu/h) for each 
indoor and outdoor unit; components needed for heat recovery, if 
applicable; identification of the indoor units to be thermally active 
for each IEER test point; the rated indoor airflow for the full-load 
cooling, full-load heating, and all part-load cooling tests (for each 
indoor unit) in standard cubic feet per minute (scfm); the indoor 
airflow-control setting to be used in the full-load cooling test (for 
each indoor unit); the airflow-control setting to be used in the full-
load heating test (for each indoor unit); for water-cooled units--the 
rated water flow rate in gallons per minute (gpm); system start-up or 
initialization procedures, including conditions and duration; 
compressor break-in period duration of 20 hours or less; the frequency 
of oil-recovery cycles; operational settings for all critical 
parameters to be controlled at each of the four IEER cooling test 
conditions; operational settings for all critical parameters to be 
controlled for the heating test; all dip switch/control settings used 
for the full-load cooling and full-load heating tests; identification 
of any system control device required for testing; a hierarchy of 
instructions for adjustment of critical parameters to reduce cooling 
capacity during IEER cooling tests (to be used if, using initial 
critical parameter settings, the measured cooling capacity is more than 
3 percent above the target cooling capacity); any additional testing 
instructions if applicable; and if a variety of motors/drive kits are 
offered for sale as options in the basic model to account for varying 
installation requirements, the model number and specifications of the 
motor (to include efficiency, horsepower, open/closed, and number of 
poles) and the drive kit, including settings, associated with that 
specific motor that were used to determine the certified rating. 
Instructions for conducting a controls verification procedure (as 
described in Appendix C of AHRI 1230-2021) at each of the four IEER 
cooling test conditions must also be provided, including the required 
thermostat setpoints to ensure control for 80 [deg]F dry-bulb 
temperature when accounting for setpoint bias, the starting indoor dry-
bulb temperature, and the indoor dry-bulb temperature ramp rate (R2). 
Additionally, the manufacturer must provide a layout of the system set-
up for testing (including a piping diagram, a power wiring diagram, a 
control wiring diagram, and identification of the location of the 
component(s) corresponding to each critical parameter to be adjusted), 
set-up instructions for indoor units and outdoor units, and charging 
instructions consistent with the installation manual.
* * * * *
    (5) For variable refrigerant flow multi-split air conditioners and 
heat pumps (other than air-cooled with rated cooling capacity less than 
65,000 btu/h), if a manufacturer has knowledge that any of its 
certified operational settings for critical parameters to be controlled 
during IEER tests (per paragraph (b)(4)(vii)(B) or (b)(4)(viii)(B) of 
this section) are invalid according to the results of a controls 
verification procedure conducted according to Sec.  429.134(v)(3), then 
the manufacturer must re-rate and re-certify using valid operational 
settings for critical parameters for all affected basic models.
* * * * *

0
4. Amend Sec.  429.70 by revising paragraph (c)(2)(i) to read as 
follows:


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

* * * * *
    (c) * * *
    (2) * * *
    (i) The manufacturer must select at least the minimum number of 
basic models for each validation class specified in paragraph 
(c)(2)(iv) of this section to which the particular AEDM applies. Using 
the AEDM, calculate the energy use or efficiency for each of the 
selected basic models.
    (A) Except for variable refrigerant flow multi-split air 
conditioners and heat pumps (other than air-cooled with rated cooling 
capacity less than 65,000 btu/h) when certifying to standards in terms 
of IEER, test a single unit of each selected basic model in accordance 
with paragraph (c)(2)(iii) of this section. Compare the results from 
the single unit test and the AEDM energy use or efficiency output 
according to paragraph (c)(2)(ii) of this section. The manufacturer is 
responsible for ensuring the accuracy and reliability of the AEDM.
    (B) For variable refrigerant flow multi-split air conditioners and 
heat pumps (other than air-cooled with rated cooling capacity less than 
65,000 btu/h) when certifying to standards in terms of IEER, the 
following provisions apply.
    (1) If a manufacturer makes representations for a single type of 
indoor unit combination (i.e., only ducted, non-ducted, or SDHV indoor 
unit combinations) across all the basic models for which an AEDM 
applies, the manufacturer must test at least a single tested 
combination of that type of indoor unit combination for each selected 
basic model in accordance with paragraph (c)(2)(iii) of this section.

[[Page 63895]]

    (2) If a manufacturer makes representations for two types of indoor 
unit combinations (i.e., ducted, non-ducted, and/or SDHV) within or 
across all the basic models for which the AEDM applies, the 
manufacturer must test at least a single tested combination of a 
selected basic model for one of those two types of indoor unit 
combination, and at least a single tested combination of a different 
selected basic model for the other of those two types of indoor unit 
combination, each tested in accordance with paragraph (c)(2)(iii) of 
this section.
    (3) If a manufacturer makes representations for all three types of 
indoor unit combinations (i.e., ducted, non-ducted, and SDHV) within or 
across basic models for which the AEDM applies, the manufacturer must 
test at least a single tested combination of a selected basic model as 
a non-ducted tested combination and a single tested combination of a 
different selected basic model as a ducted tested combination, each in 
accordance with paragraph (c)(2)(iii) of this section.
    (4) In all cases, compare the results from each tested basic model 
and the AEDM energy use or efficiency output according to paragraph 
(c)(2)(ii) of this section. The manufacturer is responsible for 
ensuring the accuracy and reliability of the AEDM.
* * * * *

0
5. Section 429.104 is revised to read as follows:


Sec.  429.104  Assessment testing.

    (a) DOE may, at any time, test a basic model to assess whether the 
basic model is in compliance with the applicable energy conservation 
standard(s).
    (b) For variable refrigerant flow multi-split air conditioners and 
heat pumps (other than air-cooled with rated cooling capacity less than 
65,000 btu/h), when DOE may require that the manufacturer of a basic 
model ship at its expense any means of control for the basic model 
necessary for conducting testing in accordance with Appendix D1 to 
subpart F of 10 CFR part 431 of this subchapter.

0
6. Amend Sec.  429.110 by:
0
a. Redesignating paragraphs (a)(2) and (3) as paragraphs (a)(3) and 
(4), respectively;
0
b. Adding new paragraph (a)(2); and
0
c. Revising paragraph (b)(1)(iv).
    The addition and revision read as follows.


Sec.  429.110  Enforcement testing.

    (a) * * *
    (2) For variable refrigerant flow multi-split air conditioners and 
heat pumps (other than air-cooled with rated cooling capacity less than 
65,000 Btu/h), when determining compliance with an energy conservation 
standard based on IEER, DOE may test for enforcement if DOE has reason 
to believe that a basic model is not in compliance, has invalid 
certified operational settings for critical parameter values, or has an 
otherwise invalid certified rating.
* * * * *
    (b) * * *
    (1) * * *
    (iv) DOE may require in the test notice that the manufacturer of a 
basic model ship or cause to be shipped from a retailer or distributor 
at its expense the requested number of units of a basic model specified 
in such test notice to the testing laboratory specified in the test 
notice. The manufacturer shall ship the specified initial test unit(s) 
of the basic model to the testing laboratory within 5 working days from 
the time unit(s) are selected. For variable refrigerant flow multi-
split air conditioners and heat pumps (other than air-cooled with rated 
cooling capacity less than 65,000 btu/h) the manufacturer shall also 
ship any means of control necessary for conducting testing in 
accordance with appendix D1 to subpart F of 10 CFR part 431 of this 
subchapter. The manufacturer may ship the means of control separately 
from the system(s) selected for testing.
* * * * *

0
7. Amend Sec.  429.134 by:
0
a. In paragraph (s)(1), removing the text ``Table 1 of Sec.  
429.43(a)(3)'' and adding in its place the text ``table 1 to Sec.  
429.43(a)(3)(i)(A)''; and
0
b. Adding paragraph (v) to read as follows:


Sec.  429.134  Product-specific enforcement provisions.

* * * * *
    (v) Variable refrigerant flow multi-split air conditioners and heat 
pumps (other than air-cooled with rated cooling capacity less than 
65,000 btu/h). The following provisions apply for assessment and 
enforcement testing of models subject to standards in terms of IEER:
    (1) Specific components. For each indoor unit model identified in 
the tested combination for which the model number certified in the STI 
does not fully specify the presence or absence of components listed at 
table 2 to 10 CFR 429.43(a)(3)(ii)(B), the following provision applies. 
If DOE is not able to obtain an individual model with the least number 
of those components, then DOE may test a system that includes any 
individual indoor unit model that has a model number consistent with 
the certified indoor unit model number.
    (2) Manufacturer involvement in assessment or enforcement testing. 
A manufacturer's representative will be allowed to support 
commissioning and witness assessment and/or enforcement testing for 
variable refrigerant flow multi-split air conditioners and heat pumps, 
including during the controls verification procedures (CVPs) specified 
in paragraph (v)(3) of this section, with allowance for additional 
involvement as described in the following provisions.
    (i) Manufacturer involvement in CVP. Control settings must be set 
by a member of the third-party laboratory consistent with the 
provisions in section 5.1 of appendix D1 to subpart F of 10 CFR part 
431. Critical parameters must operate automatically from the system 
controls and must not be manually controlled or adjusted at any point 
by any party during the CVP.
    (ii) Manufacturer involvement in heating tests and IEER cooling 
tests. All control settings other than critical parameters must be set 
by a member of the third-party laboratory consistent with the 
provisions of section 5.1 of appendix D1 to subpart F of 10 CFR part 
431. In heating tests and IEER cooling tests, critical parameters may 
be manually controlled by a manufacturer's representative and initially 
set to their certified values as described in section 5.1 of appendix 
D1 to subpart F of 10 CFR part 431. During IEER cooling mode tests 
only, a manufacturer's representative may also make additional 
adjustments to the critical parameters as described in section 5.2 of 
appendix D1 to subpart F of 10 CFR part 431. Setting and adjustment of 
critical parameters by a manufacturer's representative must be 
monitored by third-party laboratory personnel using a service tool. 
Other than critical parameter adjustments made in accordance with 
section 5.3 of appendix D1 to subpart F of 10 CFR part 431, the 
manufacturer's representative must not make any other adjustments to 
the VRF multi-split system under test. If a manufacturer's 
representative is not present for testing, a member of the third-party 
laboratory must set and adjust critical parameters using the means of 
control provided by the manufacturer, as described in Sec.  
429.110(b)(1)(iv) for enforcement testing and Sec.  429.104 for 
assessment testing.
    (3) Controls Verification Procedure (CVP). This procedure validates 
the certified values of critical parameters for which positions may be 
manually set during the full- and part-load IEER cooling test 
conditions specified at appendix D1 to subpart F of 10 CFR part

[[Page 63896]]

431. The CVP will only be conducted for a single system.
    (i) Conducting the CVP--The CVP will be conducted at all of the 
four IEER cooling test conditions as specified in appendix D1 to 
subpart F of 10 CFR part 431; the CVP is not conducted at any heating 
test conditions. The CVP will first be performed at the full-load 
cooling condition before being conducted at part-load cooling 
conditions and must be conducted per Appendix C of AHRI 1230-2021 
(incorporated by reference, see Sec.  429.4).
    (ii) Validating critical parameters--At each load point, certified 
critical parameter values will be validated or invalidated according to 
Section C6 of AHRI 1230-2021 with the following amendments:
    (A) The duration of the period used for validating certified 
critical parameter values must be whichever of the following is longer: 
three minutes, or the time period needed to obtain five sample readings 
while meeting the minimum data collection interval requirements of 
Table C2 of AHRI 1230-2021.
    (B) If at least one measurement period with duration identified in 
paragraph (v)(3)(ii)(A) of this section exists before tOFF 
that has an average root-sum-square (``RSS'') points total (as defined 
in Section 3.27 of AHRI 1230-2021) over the measurement period that is 
less than or equal to 70 points, the certified critical parameter 
values are valid.
    (C) If no measurement period with duration identified in paragraph 
(v)(3)(ii)(A) of this section exists before tOFF that has an 
average RSS points total over the measurement period that is less than 
or equal to 70 points, the certified critical parameter values are 
invalid.
    (iii) Determining critical parameters for use in steady-state IEER 
cooling tests. If, following a CVP, IEER testing is conducted per 
appendix D1 to subpart F of 10 CFR part 431, the following provisions 
apply:
    (A) Validated critical parameter settings. At each load point, if 
certified critical parameter values are found to be valid according to 
the results of the CVP, initially set critical parameters to their 
certified values for the IEER test at the corresponding full- or part-
load cooling condition. Perform additional adjustments to critical 
parameters as described in section 5.2 of appendix D1 to subpart F of 
10 CFR part 431.
    (B) Invalidated critical parameter settings. At each load point, if 
certified critical parameter values identified pursuant to paragraph 
(v)(3) of this section are found to be invalid according to the results 
of the CVP, determine alternate critical parameter values for use in 
the corresponding IEER test (as specified in appendix D1 to subpart F 
of 10 CFR part 431) as follows:
    (1) Select the CVP measurement period--this period must have 
duration determined per paragraph (v)(3)(ii)(A) of this section and 
must be the period where the RSS points total has a lower average value 
over the measurement period than over any other time period in the CVP 
of the same duration. If multiple periods exist with the same RSS 
points total, select the measurement period closest to but before the 
time that the first indoor unit switches to thermally inactive (denoted 
as ``toff'' in AHRI 1230-2021).
    (2) Determine alternate critical parameters--calculate the average 
position for each critical parameter during the measurement period 
selected in paragraph (v)(3)(iii)(B)(1) of this section. When initially 
setting critical parameters per section 5.1 of appendix D1 to subpart F 
of 10 CFR part 431, instead of using the certified critical parameter 
values, use the alternate critical parameter values as control inputs. 
The same initial alternate critical parameter values must be used for 
all systems in the assessment/enforcement sample (though critical 
parameter adjustments as needed to achieve target capacity or sensible 
heat ratio (SHR) limits are made independently for each tested system, 
per paragraph (v)(3)(iii)(B)(3) of this section.
    (3) For each system, determine whether critical parameter 
adjustments are needed to achieve the target capacity or SHR limit for 
an IEER cooling test. Perform critical parameter adjustments 
independently on each system as described in section 5.2 of appendix D1 
to subpart F of 10 CFR part 431, with the following exceptions:
    (i) Replace all references to ``certified critical parameter 
values'' with ``alternate critical parameter values'' as determined in 
paragraph (v)(3)(iii)(B) of this section.
    (ii) Determine CPMax from a CVP conducted at full-load cooling 
conditions as the maximum value observed during the R2 period as 
described in Section C.4.4.2.3 of AHRI 1230-2021. If multiple 
components corresponding to a single parameter are present, determine 
CPMax at the point during the R2 period at which the average value 
across all components corresponding to that critical parameter is 
maximized.
    (4) Break-in period. DOE will perform a compressor break-in period 
during assessment or enforcement testing using a duration specified by 
the manufacturer only if a break-in period duration is provided in the 
supplemental testing instructions.

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

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

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


0
9. Section 431.92 is amended by revising the definition of ``Integrated 
energy efficiency ratio, or IEER'' to read as follows:


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

* * * * *
    Integrated energy efficiency ratio, or IEER, means a weighted 
average calculation of mechanical cooling EERs determined for four load 
levels and corresponding rating conditions, expressed in Btu/watt-hour. 
IEER is measured per appendix A to this subpart for air-cooled small 
(>=65,000 Btu/h), large, and very large commercial package air 
conditioning and heating equipment and measured per appendix D1 to this 
subpart for variable refrigerant flow multi-split air conditioners and 
heat pumps (other than air-cooled with rated cooling capacity less than 
65,000 Btu/h).
* * * * *

0
10. Amend Sec.  431.95 by:
0
a. Revising paragraph (b)(7);
0
b. Adding paragraph (b)(8);
0
c. Revising paragraph (c)(2);
0
d. Redesignating paragraphs (c)(3) through (7) as (c)(4) through (8); 
and
0
e. Adding new paragraph (c)(3).
    The revisions and addition read as follows:


Sec.  431.95  Materials incorporated by reference.

* * * * *
    (b) * * *
    (7) ANSI/AHRI Standard 1230-2010, (``ANSI/AHRI 1230-2010''), ``2010 
Standard for Performance Rating of Variable Refrigerant Flow (VRF) 
Multi-Split Air-Conditioning and Heat Pump Equipment,'' approved August 
2, 2010 and updated by addendum 1 in March 2011; IBR approved for Sec.  
431.96 and appendix D to this subpart.
    (8) AHRI Standard 1230 (I-P), (``AHRI 1230-2021'), ``2021 Standard 
for Performance Rating of Variable Refrigerant Flow (VRF) Multi-Split 
Air-Conditioning and Heat Pump Equipment'', copyright in 2021; IBR 
approved for appendix D1 to this subpart.

[[Page 63897]]

    (c) * * *
    (2) ANSI/ASHRAE Standard 37-2009, (``ANSI/ASHRAE 37-2009''), 
``Methods of Testing for Rating Electrically Driven Unitary Air-
Conditioning and Heat Pump Equipment,'' ASHRAE approved June 24, 2009; 
IBR approved for Sec.  431.96 and appendices A, B, and D1 to this 
subpart.
    (3) Errata Sheet for ANSI/ASHRAE Standard 37-2009, Methods of 
Testing for Rating Electrically Driven Unitary Air-Conditioning and 
Heat Pump Equipment, March 27, 2019; IBR approved for appendix D1 to 
this subpart.
* * * * *


0
11. Amend Sec.  431.96 by revising paragraph (b)(1) and table 1 to 
paragraph (b) to read as follows:


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

* * * * *
    (b) * * *
    (1) Determine the energy efficiency of each type of covered 
equipment by conducting the test procedure(s) listed in table 1 to this 
paragraph (b) along with any additional testing provisions set forth in 
paragraphs (c) through (g) of this section and appendices A through D1 
of this subpart, that apply to the energy efficiency descriptor for 
that equipment, category, and cooling capacity. The omitted sections of 
the test procedures listed in table 1 to this paragraph (b) must not be 
used. For equipment with multiple appendices listed in table 1 to this 
paragraph (b), consult the notes at the beginning of those appendices 
to determine the applicable appendix to use for testing.
* * * * *

                                Table 1 to Paragraph (b)--Test Procedures for Commercial Air Conditioners and Heat Pumps
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                       Cooling capacity or                          Use tests,      Additional test procedure provisions
         Equipment type                 Category         moisture removal    Energy efficiency    conditions, and        as indicated in the listed
                                                           capacity \2\         descriptor       procedures \1\ in       paragraphs of this section
--------------------------------------------------------------------------------------------------------------------------------------------------------
Small Commercial Package Air-     Air-Cooled, 3-       <65,000 Btu/h......  SEER and HSPF.....  AHRI 210/240-2008   Paragraphs (c) and (e).
 Conditioning and Heating          Phase, AC and HP.                                             (omit section
 Equipment.                                                                                      6.5).
                                  Air-Cooled AC and    >=65,000 Btu/h and   EER, IEER, and COP  Appendix A to this  None.
                                   HP.                  <135,000 Btu/h.                          subpart.
                                  Water-Cooled and     <65,000 Btu/h......  EER...............  AHRI 210/240-2008   Paragraphs (c) and (e).
                                   Evaporatively-                                                (omit section
                                   Cooled AC.                                                    6.5).
                                                       >=65,000 Btu/h and   EER...............  AHRI 340/360-2007   Paragraphs (c) and (e).
                                                        <135,000 Btu/h.                          (omit section
                                                                                                 6.3).
                                  Water-Source HP....  <135,000 Btu/h.....  EER and COP.......  ISO Standard 13256- Paragraph (e).
                                                                                                 1.
Large Commercial Package Air-     Air-Cooled AC and    >=135,000 Btu/h and  EER, IEER and COP.  Appendix A to this  None.
 Conditioning and Heating          HP.                  <240,000 Btu/h.                          subpart.
 Equipment.
                                  Water-Cooled and     >=135,000 Btu/h and  EER...............  AHRI 340/360-2007   Paragraphs (c) and (e).
                                   Evaporatively-       <240,000 Btu/h.                          (omit section
                                   Cooled AC.                                                    6.3).
Very Large Commercial Package     Air-Cooled AC and    >=240,000 Btu/h and  EER, IEER and COP.  Appendix A to this  None.
 Air-Conditioning and Heating      HP.                  <760,000 Btu/h.                          subpart.
 Equipment.
                                  Water-Cooled and     >=240,000 Btu/h and  EER...............  AHRI 340/360-2007   Paragraphs (c) and (e).
                                   Evaporatively-       <760,000 Btu/h.                          (omit section
                                   Cooled AC.                                                    6.3).
Packaged Terminal Air             AC and HP..........  <760,000 Btu/h.....  EER and COP.......  Paragraph (g) of    Paragraphs (c), (e), and (g).
 Conditioners and Heat Pumps.                                                                    this section.
Computer Room Air Conditioners..  AC.................  <65,000 Btu/h......  SCOP..............  ASHRAE 127-2007     Paragraphs (c) and (e).
                                                                                                 (omit section
                                                                                                 5.11).
                                                       >=65,000 Btu/h and   SCOP..............  ASHRAE 127-2007     Paragraphs (c) and (e).
                                                        <760,000 Btu/h.                          (omit section
                                                                                                 5.11).
Variable Refrigerant Flow Multi-  AC.................  <65,000 Btu/h (3-    SEER..............  ANSI/AHRI 1230-     Paragraphs (c), (d), (e), and (f).
 split Systems.                                         phase).                                  2010 (omit
                                                                                                 sections 5.1.2
                                                                                                 and 6.6).
Variable Refrigerant Flow Multi-  HP.................  <65,000 Btu/h (3-    SEER and HSPF.....  ANSI/AHRI 1230-     Paragraphs (c), (d), (e), and (f).
 split Systems, Air-cooled.                             phase).                                  2010 (omit
                                                                                                 sections 5.1.2
                                                                                                 and 6.6).
Variable Refrigerant Flow Multi-  AC and HP..........  >=65,000 Btu/h and   EER and COP.......  Appendix D to this  None.
 split Systems, Air-cooled.                             <760,000 Btu/h.                          subpart \3\.
                                                       >=65,000 Btu/h and   IEER and COP......  Appendix D1 to      None.
                                                        <760,000 Btu/h.                          this subpart \3\.
Variable Refrigerant Flow Multi-  HP.................  <760,000 Btu/h.....  EER and COP.......  Appendix D to this  None.
 split Systems, Water-source.                                                                    subpart \3\.
                                                       <760,000 Btu/h.....  IEER and COP......  Appendix D1 to      None.
                                                                                                 this subpart \3\.
Single Package Vertical Air       AC and HP..........  <760,000 Btu/h.....  EER and COP.......  AHRI 390-2003       Paragraphs (c) and (e).
 Conditioners and Single Package                                                                 (omit section
 Vertical Heat Pumps.                                                                            6.4).
Direct Expansion-Dedicated        All................  <324 lbs. of         ISMRE2 and ISCOP2.  Appendix B to this  None.
 Outdoor Air Systems.                                   moisture removal/                        subpart.
                                                        hr.
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Incorporated by reference; see Sec.   431.95.
\2\ Moisture removal capacity applies only to direct expansion-dedicated outdoor air systems.

[[Page 63898]]

 
\3\ For equipment with multiple appendices listed in this table 1, consult the notes at the beginning of those appendices to determine the applicable
  appendix to use for testing.

* * * * *

Appendix C to Subpart F of Part 431 [Reserved]

0
12. Add reserved appendix C to subpart F of part 431.


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

Appendix D to Subpart F of Part 431--Uniform Test Method for Measuring 
the Energy Consumption of Variable Refrigerant Flow Multi-Split Air 
Conditioners and Heat Pumps (Other Than Air-Cooled With Rated Cooling 
Capacity Less Than 65,000 Btu/h)

    Note: Manufacturers must use the results of testing under this 
appendix to determine compliance with the relevant standard from 
Sec.  431.97 as that standard appeared in the January 1, 2022 
edition of 10 CFR parts 200-499. Specifically, representations must 
be based upon results generated either under this appendix or under 
10 CFR 431.96 as it appeared in the 10 CFR parts 200-499 edition 
revised as of January 1, 2022.
    For any amended standards for variable refrigerant flow multi-
split air conditioners and heat pumps that rely on integrated energy 
efficiency ratio (IEER) published after January 1, 2022, 
manufacturers must use the results of testing under appendix D1 of 
this subpart to determine compliance. Representations related to 
energy consumption must be made in accordance with the appropriate 
appendix that applies (i.e., appendix D or appendix D1) when 
determining compliance with the relevant standard.

1. Incorporation by Reference

    DOE incorporated by reference in Sec.  431.95, the entire 
standard for ANSI/AHRI 1230-2010. However, enumerated provisions of 
ANSI/AHRI 1230-2010, as listed in this section 1, are excluded. 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 ANSI/AHRI 1230-2010:

    (a) Section 5.1.2--Manufacturer involvement.
    (b) Section 6.6--Verification testing and uncertainty is 
inapplicable as specified in section 2.2 of this appendix.

1.2 [Reserved.]

    2. General. Determine the energy efficiency ratio (EER) and 
coefficient of performance (COP) (as applicable) in accordance with 
ANSI/AHRI 1230-2010.

    Note: Sections 3 through 6 of this appendix provide additional 
instructions for determining EER and COP.

    3. Optional break-in period. Manufacturers may optionally 
specify a ``break-in'' period, not to exceed 20 hours, to operate 
the equipment under test prior to conducting the test method 
specified in this appendix. A manufacturer who elects to use an 
optional compressor break-in period in its certification testing 
should record this period's duration as part of the information in 
the supplemental testing instructions under 10 CFR 429.43.
    4. Refrigerant line length corrections. For test set-ups where 
it is physically impossible for the laboratory to use the required 
line length listed in Table 3 of the ANSI/AHRI 1230-2010, then the 
actual refrigerant line length used by the laboratory may exceed the 
required length and the following cooling capacity correction 
factors are applied:

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

    5. Additional provisions for equipment set-up. The only 
additional specifications that may be used in setting up the basic 
model for test are those set forth in the installation and operation 
manual shipped with the unit. Each unit should be set up for test in 
accordance with the manufacturer installation and operation manuals. 
Sections 5.1 through 5.3 of this appendix provide specifications for 
addressing key information typically found in the installation and 
operation manuals.
    5.1. If a manufacturer specifies a range of superheat, sub-
cooling, and/or refrigerant pressure in its installation and 
operation manual for a given basic model, any value(s) within that 
range may be used to determine refrigerant charge or mass of 
refrigerant, unless the manufacturer clearly specifies a rating 
value in its installation and operation manual, in which case the 
specified rating value must be used.
    5.2. The airflow rate used for testing must be that set forth in 
the installation and operation manual being shipped to the 
commercial customer with the basic model and clearly identified as 
that used to generate the DOE performance ratings. If a rated 
airflow value for testing is not clearly identified, a value of 400 
standard cubic feet per minute (scfm) per ton must be used.
    5.3. The test set-up and the fixed compressor speeds (i.e., the 
maximum, minimum, and any intermediate speeds used for testing) 
should be recorded and maintained as part of the test data 
underlying the certified ratings that is required to be maintained 
under 10 CFR 429.71.
    6. Manufacturer involvement in assessment or enforcement 
testing. A manufacturer's representative will be allowed to witness 
assessment and/or enforcement testing for variable refrigerant flow 
multi-split air conditioners and heat pumps. The manufacturer's 
representative will be allowed to inspect and discuss set-up only 
with a DOE representative. During testing, the manufacturer's 
representative may adjust only the modulating components that are 
necessary to achieve steady-state operation in the presence of a DOE 
representative. Only previously documented specifications for set-up 
as specified under sections 4 and 5 of this appendix will be used.


0
14. Add appendix D1 to subpart F of part 431 to read as follows:

Appendix D1 to Subpart F of Part 431--Uniform Test Method for Measuring 
the Energy Consumption of Variable Refrigerant Flow Multi-Split Air 
Conditioners and Heat Pumps (Other Than Air-Cooled With Rated Cooling 
Capacity Less Than 65,000 Btu/h)

    Note: Manufacturers must use the results of testing under this 
appendix to determine compliance with any amended standards for 
variable refrigerant flow multi-split air conditioners and heat 
pumps provided in Sec.  431.97 that are published after January 1, 
2022, and that rely on integrated energy efficiency ratio (IEER). 
Representations related to energy consumption must be made in 
accordance with the appropriate appendix that applies (i.e., 
appendix D or appendix D1) when determining compliance with the 
relevant standard.

1. Incorporation by Reference

    DOE incorporated by reference in Sec.  431.95, the entire 
standard for AHRI 1230-2021 and ANSI/ASHRAE 37-2009, as corrected by 
the Errata sheet for ANSI/ASHRAE 37-2009 issued on March 27, 2019 
(``ANSI/ASHRAE 37-2009 (as corrected)''). However, only

[[Page 63899]]

enumerated provisions of AHRI 1230-2021 and ANSI/ASHRAE 37-2009 are 
required or excluded, as listed in this section 1. 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 Provisions Required

1.1.1 AHRI 1230-2021

    (a) Section 3--Definitions, except section 3.11, as specified in 
section 2 of this appendix,
    (b) Section 5--Test Requirements, except section 5.1.2, as 
specified in sections 2 and 5.1 of this appendix,
    (c) Section 6--Rating Requirements, except sections 6.3.3 and 
6.5, as specified in sections 2, 4.1, 4.1.1, 4.2, 4.2.1, and 5.1 of 
this appendix,
    (d) Section 11--Calculations is applicable as specified in 
sections 2, 5.2.1.2, and 5.2.2 of this appendix,
    (e) Section 12--Symbols, Subscripts, and Superscripts as 
specified in section 2 of this appendix,
    (f) Appendix E--ANSI/ASHRAE Standard 37-2009 Clarifications/
Exceptions--Normative as specified in section 2 of this appendix.

1.1.2 [Reserved]

1.2 Provisions Excluded

1.2.1 ANSI/ASHRAE 37-2009 (as Corrected)

    (a) Section 1--Purpose,
    (b) Section 2--Scope, and
    (c) Section 4--Classification.
    2. General. Determine IEER and coefficient of performance (COP) 
(as applicable) in accordance with AHRI 1230-2021 and ANSI/ASHRAE 
37-2009 (as corrected). Sections 3 through 5 of this appendix 
provide additional instructions for determining IEER and COP. In 
cases where there is a conflict, the language of this appendix takes 
highest precedence, followed by AHRI 1230-2021, followed by ANSI/
ASHRAE 37-2009 (as corrected).

    Note: The controls verification procedure specified in Appendix 
C of AHRI 1230-2021 is referenced as part of DOE's certification 
provisions at Sec.  429.43(b) and product-specific enforcement 
provisions located at Sec.  429.134(v)(3).

3. Definitions

    3.1. Critical Parameter(s) are the following settings of 
modulating components of variable refrigerant flow multi-split air 
conditioners and heat pumps: compressor speed(s), outdoor fan 
speed(s), and outdoor variable valve position(s).

4. Test Conditions

    4.1 Test Conditions for Air-Cooled VRF Multi-split Systems with 
Rated Cooling Capacity Greater Than 65,000 Btu/h. When testing to 
certify to the energy conservation standards in Sec.  431.97, test 
using the ``Standard Rating Conditions, Cooling'' and ``Standard 
Rating Part-Load Conditions (IEER)'' conditions for cooling mode 
tests and ``Standard Rating Conditions (High Temperature Steady-
state Test for Heating)'' conditions for heat pump heating mode 
tests, as specified in Table 9 in Section 6 of AHRI 1230-2021.
    4.1.1 Representations of COP for air-cooled VRF multi-split 
systems with rated cooling capacity greater than 65,000 Btu/h made 
using the ``Low Temperature Operation, Heating'' condition specified 
in Table 9 in Section 6 of AHRI 1230-2021 are optional.
    4.2 Test Conditions for Water-source VRF Multi-split Systems. 
When testing to certify to the energy conservation standards in 
Sec.  431.97, test using the ``Part-load Conditions (IEER)'' 
conditions specified for ``Water Loop Heat Pumps'' in Table 10 of 
AHRI 1230-2021 for cooling mode tests and the ``Standard Rating 
Test'' conditions specified for ``Water Loop Heat Pumps'' in Table 
11 in Section 6 of AHRI 1230-2021 for heat pump heating mode tests.
    4.2.1 For water-source VRF multi-split systems, representations 
of EER made using the ``Standard Rating Test'' conditions specified 
for ``Ground-loop Heat pumps'' in Table 10 of Section 6 of AHRI 
1230-2021 and representations of COP made using the ``Standard 
Rating Test'' conditions specified for ``Ground-loop Heat Pumps'' in 
Table 11 of Section 6 of AHRI 1230-2021 are optional.

5. Test Procedure

    5.1 Control Settings. Control settings must be set in accordance 
with Sections 5.1.3, 5.1.4, 5.1.5, and 5.2 of AHRI 1230-2021. For 
systems equipped with head pressure controls, the head pressure 
controls must be set per manufacturer installation instructions or 
per factory settings if no instructions are provided. Indoor 
airflow-control settings must be set in accordance with Section 
6.3.1 of AHRI 1230-2021. At each load point, critical parameters 
must be set to the values certified in the supplemental testing 
instructions (STI) provided by the manufacturer pursuant to Sec.  
429.43(b)(4) of this chapter. In cases in which a certified critical 
parameter value is not in the STI, the system must operate per 
commands from the system controls for that parameter. Once set, 
control settings must remain unchanged for the remainder of the test 
(except for allowable adjustment of critical parameters as described 
in section 5.2 of this appendix).
    5.2 Allowable Critical Parameter Adjustments for IEER Cooling 
Tests. The following sections describe allowable adjustments to 
critical parameters after the initial system set-up (during which 
all control settings, including certified critical parameters, are 
set). Adjust critical parameters in order to achieve full- and part-
load cooling capacity targets and sensible heat ratio (SHR) limits.
    5.2.1 Critical Parameter Adjustments for Meeting Cooling 
Capacity Targets. Once critical parameters have been set to the 
values certified in the STI, if the unit cannot operate within 3% of 
the target cooling capacity (i.e., within 3% of the load fraction 
for a given part-load cooling test (75%, 50%, or 25% load) or within 
3% of the certified cooling capacity for a 100% full-load cooling 
test), manually-controlled critical parameters must be adjusted 
according to the following provisions:
    5.2.1.1. Cooling Capacity is Below Lower Tolerance. If, for any 
test, the cooling capacity operates below the lower tolerance for 
the target cooling capacity, increase the compressor speed(s) beyond 
the STI-certified value(s) until the cooling capacity operates 
within 3% of the target cooling capacity. If multiple compressors 
are present in the system, increase compressor speed by the same 
absolute increment in RPM or Hz for each compressor for which the 
following conditions apply:
    (a) The STI specifies a non-zero compressor speed for the 
compressor for that test and
    (b) The compressor has not yet reached its maximum capable 
operating speed. The compressor speed(s) must not be less than the 
STI-certified value(s) at any point during the test. Upward 
adjustments to compressor speed are not constrained by a budget on 
RSS Points Total (See section 5.2.1.2.1 of this appendix).
    5.2.1.2 Cooling Capacity is Above Upper Tolerance. If, for any 
test, the cooling capacity operates above the upper tolerance for 
the target cooling capacity, adjust any manually-controlled critical 
parameters per the STI. If the STI does not include a hierarchy of 
instructions for adjustment of critical parameters to reduce cooling 
capacity during IEER cooling tests, then reduce only the compressor 
speed(s) to reduce cooling capacity. If multiple compressors are 
present in the system, decrease compressor speed by the same 
absolute increment for each compressor for which the following 
conditions apply:
    (a) The STI specifies a non-zero compressor speed for the 
compressor for that test and
    (b) The compressor has not yet reached minimum speed. Continue 
reducing cooling capacity in this manner until one of the following 
occurs:
    (1) The unit operates within 3% of the target cooling capacity; 
or
    (2) The RSS point total reaches a budget of 70 points (see 
section 5.2.1.2.1 of this appendix). For the 75%, 50%, and 25% part-
load cooling test points, if the RSS point total reaches 70 during 
critical parameter adjustments before the capacity operates within 
3% of the target cooling capacity, stop adjustment and follow cyclic 
degradation procedures in accordance with Section 11.2.2.1 of AHRI 
1230-2021.
    5.2.1.2.1 Measuring Critical Parameter Variation During 
Adjustment Period. When adjusting critical parameters to reduce 
cooling capacity, critical parameter variation must be calculated 
each time the critical parameters are adjusted, using the following 
equations:
    (a) First, use equation 5.2-1 to calculate the absolute 
parameter percent difference () between each adjusted critical 
parameter and the value for that parameter certified in the STI.

[[Page 63900]]

[GRAPHIC] [TIFF OMITTED] TR20OC22.002

Where:

``i'' identifies the critical parameter--either compressors 
speed(s), outdoor fan speed(s), or outdoor variable valve 
position(s)
CPi,Adj = The adjusted position of critical parameter ``i'' recorded 
at each measurement interval. If multiple components corresponding 
to a single parameter are present (e.g., multiple compressors), 
calculate the average position across all components corresponding 
to that parameter at each measurement interval when determining 
CPi,Adj.
CPi,STI = The position of critical parameter ``i'' as certified in 
the STI. If multiple components corresponding to a single parameter 
are present, calculate the average position across all components 
corresponding to that parameter at each measurement interval when 
determining CPi,STI.
CPMax = The maximum operating position for Critical Parameter ``i'' 
as certified in the STI for the 100% load condition. If multiple 
components corresponding to a single parameter are present, 
calculate as the average value across all components corresponding 
to that critical parameter certified in the STI for the 100% load 
condition.

    (b) Next, use equation 5.2-2 to this section to determine the 
accrued points for each critical parameter:
[GRAPHIC] [TIFF OMITTED] TR20OC22.003

Where:

``i'' identifies the critical parameter--either compressors 
speed(s), outdoor fan speed(s), or outdoor variable valve 
position(s)
NPVi = the nominal point value for critical parameter ``i'' as 
follows:

           Table 5.1--Critical Parameter Nominal Point Values
------------------------------------------------------------------------
                                                           Nominal point
                   Critical parameter                          value
------------------------------------------------------------------------
Compressor Speed(s).....................................              13
Outdoor Fan Speed(s)....................................               7
Outdoor Variable Valve Position(s)......................               1
------------------------------------------------------------------------

    (c) Finally, use equation 5.2-3 to this section to calculate the 
root-sum-squared (RSS) Points Total across all critical parameters.
[GRAPHIC] [TIFF OMITTED] TR20OC22.004

    5.2.2 Critical Parameter Adjustments for Meeting SHR Limits. The 
SHR for the 100% load test point and the 75% part-load test point 
must not be higher than 0.82 and 0.85, respectively (measured to the 
nearest hundredth). If the SHR is above the allowable limit, 
increase the compressor speed(s) until either the SHR is less than 
or equal to the allowable limit or the cooling capacity reaches 3% 
greater than the target cooling capacity for that test, whichever 
happens first. If multiple compressors are present in the system, 
increase compressor speed by the same absolute increment for each 
compressor for which the following conditions apply:
    (a) The STI specifies a non-zero compressor speed for the 
compressor for that test and
    (b) The compressor has not yet reached maximum speed. Upwards 
adjustments to compressor speed are not constrained by a budget on 
RSS Points Total. Should the SHR remain above the maximum limit when 
the cooling capacity reaches its upper 3% tolerance, no further 
compressor adjustments shall be made, and the calculation procedures 
specified in Section 11.2.2.2 of AHRI 1230-2021 must be applied 
using the adjusted SHR value obtained after increasing the 
compressor speed(s).
    6. Set-Up and Test Provisions for Specific Components. When 
testing a VRF multi-split system that includes any of the specific 
components listed in table 6.1 to this appendix, test in accordance 
with the set-up and test provisions specified in table 6.1.

           Table 6.1--Test Provisions for Specific Components
------------------------------------------------------------------------
          Component                Description         Test provisions
------------------------------------------------------------------------
Desiccant Dehumidification    An assembly that      Disable desiccant
 Components.                   reduces the           dehumidification
                               moisture content of   components for
                               the supply air        testing.
                               through moisture
                               transfer with solid
                               or liquid
                               desiccants.
Air Economizers.............  An automatic system   For any air
                               that enables a        economizer that is
                               cooling system to     factory-installed,
                               supply outdoor air    place the
                               to reduce or          economizer in the
                               eliminate the need    100% return
                               for mechanical        position and close
                               cooling during mild   and seal the
                               or cold weather.      outside air dampers
                                                     for testing. For
                                                     any modular air
                                                     economizer shipped
                                                     with the unit but
                                                     not factory-
                                                     installed, do not
                                                     install the
                                                     economizer for
                                                     testing.
Fresh Air Dampers...........  An assembly with      For any fresh air
                               dampers and means     dampers that are
                               to set the damper     factory-installed,
                               position in a         close and seal the
                               closed and one open   dampers for
                               position to allow     testing. For any
                               air to be drawn       modular fresh air
                               into the equipment    dampers shipped
                               when the indoor fan   with the unit but
                               is operating.         not factory-
                                                     installed, do not
                                                     install the dampers
                                                     for testing.
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.

[[Page 63901]]

 
Low Ambient Cooling Dampers.  An assembly with      Remove low ambient
                               dampers and means     cooling dampers for
                               to set the dampers    testing.
                               in a position to
                               recirculate the
                               warmer condenser
                               discharge air to
                               allow for reliable
                               operation at low
                               outdoor ambient
                               conditions.
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.
Ventilation Energy Recovery   An assembly that      For any VERS that is
 Systems (VERS).               preconditions         factory-installed,
                               outdoor air           place the VERS in
                               entering the          the 100% return
                               equipment through     position and close
                               direct or indirect    and seal the
                               thermal and/or        outside air dampers
                               moisture exchange     and exhaust air
                               with the exhaust      dampers for
                               air, which is         testing, and do not
                               defined as the        energize any VERS
                               building air being    subcomponents
                               exhausted to the      (e.g., energy
                               outside from the      recovery wheel
                               equipment.            motors). For any
                                                     VERS module shipped
                                                     with the unit but
                                                     not factory-
                                                     installed, do not
                                                     install the VERS
                                                     for testing.
------------------------------------------------------------------------

[FR Doc. 2022-22511 Filed 10-19-22; 8:45 am]
BILLING CODE 6450-01-P