[Federal Register Volume 87, Number 234 (Wednesday, December 7, 2022)]
[Rules and Regulations]
[Pages 75144-75171]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2022-25747]



[[Page 75143]]

Vol. 87

Wednesday,

No. 234

December 7, 2022

Part II





Department of Energy





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10 CFR Parts 429 and 431





Energy Conservation Program: Test Procedure for Single Package Vertical 
Air Conditioners and Single Package Vertical Heat Pumps; Final Rule

  Federal Register / Vol. 87, No. 234 / Wednesday, December 7, 2022 / 
Rules and Regulations  

[[Page 75144]]


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DEPARTMENT OF ENERGY

10 CFR Parts 429 and 431

[EERE-2017-BT-TP-0020]
RIN 1904-AD94


Energy Conservation Program: Test Procedure for Single Package 
Vertical Air Conditioners and Single Package Vertical Heat Pumps

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

ACTION: Final rule.

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SUMMARY: The U.S. Department of Energy (``DOE'') is publishing a final 
rule to amend its test procedures for single package vertical air 
conditioners and single package vertical heat pumps, collectively 
referred to as single package vertical units (``SPVUs''). DOE is 
incorporating by reference the most recent version of the relevant 
industry test standard, AHRI 390-2021, and amending certain provisions 
for representations for SPVUs. DOE is also establishing definitions for 
``single-phase single package vertical air conditioners with cooling 
capacity less than 65,000 Btu/h'' and for ``single-phase single package 
vertical heat pumps with cooling capacity less than 65,000 Btu/h'' to 
distinguish such equipment from certain residential central air 
conditioners and heat pumps.

DATES: The effective date of this rule is January 6, 2023. The final 
rule changes will be mandatory for product testing starting December 4, 
2023. The incorporation by reference of certain materials listed in the 
rule is approved by the Director of the Federal Register on January 6, 
2023.

ADDRESSES: The docket, which includes Federal Register notices, public 
meeting attendee lists and transcripts, comments, and other supporting 
documents/materials, is available for review at www.regulations.gov 
under docket number EERE-2017-BT-TP-0020. All documents in the docket 
are listed in the www.regulations.gov index. However, some documents 
listed in the index, such as those containing information that is 
exempt from public disclosure, may not be publicly available.
    The docket web page can be found at www.regulations.gov/docket?D=EERE-2017-BT-TP-0020. The docket web page contains 
instructions on how to access all documents, including public comments, 
in the docket.
    For further information on how to review the docket contact the 
Appliance and Equipment Standards Program staff at (202) 287-1445 or by 
email: [email protected].

FOR FURTHER INFORMATION CONTACT:
    Ms. Catherine Rivest, U.S. Department of Energy, Office of Energy 
Efficiency and Renewable Energy, Building Technologies Office, EE-2J, 
1000 Independence Avenue SW, Washington, DC 20585-0121. Telephone: 
(202) 586-7335. Email: [email protected].
    Mr. Nolan Brickwood, U.S. Department of Energy, Office of the 
General Counsel, GC-33, 1000 Independence Avenue SW, Washington, DC 
20585-0121. Telephone: (202) 586-4498. Email: 
[email protected].

SUPPLEMENTARY INFORMATION: DOE maintains a previously approved 
incorporation by reference and incorporates by reference the following 
industry standards into parts 429 and 431:

AHRI Standard 390 (I-P)-2021 ``Performance Rating of Single Package 
Vertical Air-Conditioners and Heat Pumps,'' copyright 2021 (AHRI 390-
2021).
ANSI/ASHRAE Standard 37-2009, ``Methods of Testing for Rating 
Electrically Driven Unitary Air-Conditioning and Heat Pump Equipment,'' 
ASHRAE approved June 24, 2009 (ANSI/ASHRAE 37-2009).
ANSI/ASHRAE Standard 41.2-1987 (RA 92), ``Standard Methods For 
Laboratory Airflow Measurement,'' ANSI-reaffirmed April 22, 1992.

    Copies of AHRI 390-2021 can be obtained from the Air-conditioning, 
Heating, and Refrigeration Institute (AHRI), 2311 Wilson Blvd., Suite 
400, Arlington, VA 22201, (703) 524-8800, or by going to 
www.ahrinet.org/search-standards.aspx. Copies of ANSI/ASHRAE Standard 
37-2009 and ANSI/ASHRAE 41.2-1987 (RA 92) can be obtained from the 
American Society of Heating, Refrigerating, and Air-Conditioning 
Engineers (ASHRAE), 180 Technology Parkway NW, Peachtree Corners, GA 
30092, (404) 636-8400, or by going to www.ashrae.org/. (ASHRAE 
standards co-published with American National Standards Institute 
(ANSI).)
    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. Updates to Industry Standards
    1. AHRI 390
    2. ASHRAE 37
    C. Energy Efficiency Descriptor
    1. Efficiency Metrics
    2. Low Temperature Heating Test
    3. Fan Energy Use
    D. Test Method
    1. External Static Pressures
    2. Defrost Energy Use
    E. Configuration of Unit Under Test
    1. Background
    2. Approach for Exclusion of Certain Components
    3. Specific Components for Exclusion
    F. Represented Values
    1. Multiple Refrigerants
    2. Cooling Capacity
    G. Effective and Compliance Dates
    H. 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

I. Authority and Background

    Single package vertical air conditioners (``SPVACs'') and single 
package vertical heat pumps (``SPVHPs''), collectively referred to as 
single package vertical units (``SPVUs''), are a category of small, 
large, and very large commercial package air conditioning and heating 
equipment. (42 U.S.C. 6311(1)(B)-(D); 42 U.S.C. 6313(a)(10)) 
Accordingly, SPVUs are 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)) DOE's energy conservation standards and test 
procedures for SPVUs are currently prescribed at title 10 of the Code 
of Federal Regulations (``CFR'') subpart F of part 431, Sec. Sec.  
431.97 and 431.96, respectively. The following sections discuss DOE's 
authority to establish test procedures for SPVUs and relevant 
background information

[[Page 75145]]

regarding DOE's consideration of test procedures for this equipment.

A. Authority

    The Energy Policy and Conservation Act, as amended (``EPCA''),\1\ 
authorizes DOE to regulate the energy efficiency of a number of 
consumer products and certain industrial equipment. (42 U.S.C. 6291-
6317) Title III, Part C \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 SPVUs, 
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 Part A-1.
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    The energy conservation program under EPCA consists essentially of 
four parts: (1) testing, (2) labeling, (3) Federal energy conservation 
standards, and (4) certification and enforcement procedures. Relevant 
provisions of EPCA specifically include definitions (42 U.S.C. 6291; 42 
U.S.C. 6311), test procedures (42 U.S.C. 6293; 42 U.S.C. 6314), 
labeling provisions (42 U.S.C. 6294; 42 U.S.C. 6315), energy 
conservation standards (42 U.S.C. 6295; 42 U.S.C. 6313), and the 
authority to require information and reports from manufacturers (42 
U.S.C. 6296; 42 U.S.C. 6316).
    The Federal testing requirements consist of test procedures that 
manufacturers of covered equipment must use as the basis for: (1) 
certifying to DOE that their equipment complies with the applicable 
energy conservation standards adopted pursuant to EPCA (42 U.S.C. 
6316(b); 42 U.S.C. 6296), and (2) making other representations about 
the efficiency of that equipment (42 U.S.C. 6314(d)). Similarly, DOE 
uses these test procedures to determine whether the equipment complies 
with relevant standards promulgated under EPCA.
    Federal energy efficiency requirements for covered equipment 
established under EPCA generally supersede State laws and regulations 
concerning energy conservation testing, labeling, and standards. (42 
U.S.C. 6316(a) and 42 U.S.C. 6316(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 (as determined by the Secretary) and 
requires that test procedures not be unduly burdensome to conduct. (42 
U.S.C. 6314(a)(2))
    EPCA also requires that, at least once every 7 years, DOE evaluate 
test procedures for each type of covered equipment, including SPVUs, 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, the Secretary must publish proposed 
test procedures in the Federal Register, and afford interested persons 
an opportunity (of not less than 45 days' duration) to present oral and 
written data, views, and arguments on the proposed test procedures. (42 
U.S.C. 6314(b)) If DOE determines that test procedure revisions are not 
appropriate, DOE must publish its determination not to amend the test 
procedures. (42 U.S.C. 6314(a)(1)(A)(ii))
    The U.S. Department of Energy (``DOE'') is also undertaking this 
rulemaking in part in response to updates to the relevant industry 
standard. As discussed earlier in this document, SPVUs are a category 
of commercial package air conditioning and heating equipment. EPCA 
requires the DOE test procedures for commercial package air 
conditioning and heating equipment to be the generally accepted 
industry testing procedure developed or recognized by the Air-
Conditioning, Heating, and Refrigeration Institute (``AHRI'') or by the 
American Society of Heating, Refrigerating and Air-Conditioning 
Engineers (``ASHRAE''), as referenced in ASHRAE Standard 90.1, ``Energy 
Standard for Buildings Except Low-Rise Residential Buildings'' (ASHRAE 
Standard 90.1). (42 U.S.C. 6314(a)(4)(A)) EPCA further requires that 
each time the referenced industry test procedure is amended in ASHRAE 
Standard 90.1, DOE must amend its test procedure to be consistent with 
the industry update, unless DOE determines in a rulemaking that there 
is clear and convincing evidence that the updated update industry test 
procedure would not be representative of an average use cycle or would 
be unduly burdensome to conduct. (42 U.S.C. 6314(a)(4)(B)(C)) While 
ASHRAE Standard 90.1 itself has not been updated, the test procedure 
referenced in 90.1 for SPVUs, AHRI Standard 390-2021, ``Performance 
Rating of Single Package Vertical Air-Conditioners and Heat Pumps'' 
(``AHRI 390-2021''), has been updated. DOE is considering the updated 
AHRI 390-2021 under its lookback review.
    DOE is publishing this final rule in satisfaction of the 7-year 
review requirement specified in EPCA. (42 U.S.C. 6314(a)(1)(A))

B. Background

    DOE's existing test procedures for SPVUs are set forth at 10 CFR 
431.96. The Federal test procedure currently incorporates ANSI/AHRI 
Standard 390-2003 (``ANSI/AHRI 390-2003''), ``Performance Rating of 
Single Package Vertical Air-Conditioners and Heat Pumps,'' (omitting 
section 6.4), and it also includes additional provisions in paragraphs 
(c) and (e) of 10 CFR 431.96 that provide for an optional break-in 
period and additional provisions for equipment set-up, respectively. 
DOE established its test procedure for SPVUs in a final rule for 
commercial heating, air conditioning, and water heating equipment 
published in the Federal Register on May 16, 2012. 77 FR 28928, 28932. 
ANSI/AHRI 390-2003 was the SPVU test procedure referenced in the 
edition of ASHRAE Standard 90.1 current at that time; ANSI/AHRI 390-
2003 remains the test procedure referenced by ASHRAE Standard 90.1.
    On June 24, 2021, AHRI published updates to its test procedure for 
SPVUs as AHRI 390-2021. Among other things, AHRI 390-2021 maintains the 
existing efficiency metrics--energy efficiency ratio (``EER'') for 
cooling mode and coefficient of performance (``COP'') for heating 
mode--but it also added a seasonal metric that includes part-load 
cooling performance--the integrated energy efficiency ratio (``IEER'') 
metric. AHRI 390-2021 also includes additional specifications regarding 
the test methods and conditions.
    DOE published a notice of proposed rulemaking (``NOPR'') on January 
14, 2022, presenting DOE's proposals to amend the SPVU test procedure 
(``January 2022 NOPR''). 87 FR 2490. In the January 2022 NOPR, DOE 
proposed to amend the test procedures for SPVUs to incorporate by 
reference AHRI 390-

[[Page 75146]]

2021. DOE proposed to add a new appendix G, ``Uniform test method for 
measuring the energy consumption of single package vertical air 
conditioners and single package vertical heat pumps,'' (``appendix G'') 
that would include the relevant test procedure requirements for SPVUs 
for measuring the existing efficiency metrics: (1) EER for cooling mode 
and (2) COP for heating mode. DOE also proposed to add a new appendix 
G1 that would include the relevant test procedure requirements for 
SPVUs for measuring with the updated efficiency metrics: (1) IEER for 
cooling mode and (2) COP for heating mode. 87 FR 2490, 2492.
    Additionally, DOE proposed to define in 10 CFR 431.92 ``single-
phase single package vertical air conditioner with cooling capacity 
less than 65,000 Btu/h'' and ``single-phase single package vertical 
heat pump with cooling capacity less than 65,000 Btu/h'' as subsets of 
the broader SPVAC and SPVHP equipment category, in order to clarify 
what kind of single-phase equipment with cooling capacity less than 
65,000 Btu/h was contemplated in the broader definitions of SPVAC and 
SPVHP established by Congress and what classifies as a consumer product 
instead. Single-phase equipment meeting these definitions would be 
subject to the applicable commercial equipment energy conservation 
standards for SPVACs and SPVHPs, while single-phase products not 
meeting these definitions would properly be classified as a central air 
conditioner (``CAC'') and subject to the applicable consumer products 
energy conservation standards. 87 FR 2490, 2492.
    DOE held a public meeting related to the January 2022 NOPR on 
February 9, 2022 (``NOPR public meeting''). DOE received comments in 
response to the January 2022 NOPR from the interested parties listed in 
Table II.1.
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    \3\ AHRI's comment was received 6 days after the comment 
submission deadline. DOE will generally not consider late-filed 
comments, but if DOE considers one late comment, it will consider 
all late comments. DOE considered the late comment in this case 
primarily because of the short duration between the comment's filing 
and the close of the comment period.

                              Table II.1--List of Commenters With Written Submissions in Response to the January 2022 NOPR
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                                                                          Document No.
               Commenter(s)                Reference in this Final Rule     in Docket                             Commenter type
--------------------------------------------------------------------------------------------------------------------------------------------------------
Appliance Standards Awareness Project,     Joint Efficiency Advocates..              14  Efficiency/Environmental Advocate.
 American Council for an Energy-
 Efficiency Economy, New York State
 Energy Research and Development
 Authority, and the Natural Resources
 Defense Council.
Pacific Gas and Electric Company, San      CA IOUs.....................              13  Utility.
 Diego Gas and Electric, and Southern
 California Edison; collectively, the
 California Investor-Owned Utilities.
Lennox International.....................  Lennox......................              12  Manufacturer.
GE Appliances, a Haier Company...........  GE..........................              15  Manufacturer.
Friedrich Air Conditioning...............  Friedrich...................              18  Manufacturer.
Northwest Energy Efficiency Alliance.....  NEEA........................              16  Efficiency/Environmental Advocate.
Air-Conditioning Heating and               AHRI........................              17  Trade Association.
 Refrigeration Institute \3\.
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    A parenthetical reference at the end of a comment quotation or 
paraphrase provides the location of the item in the public record.\4\
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    \4\ The parenthetical reference provides a reference for 
information located in the docket of DOE's rulemaking to develop 
test procedures for SPVUs. (Docket No. EERE-2017-BT-TP-0020, which 
is maintained at www.regulations.gov) The references are arranged as 
follows: (commenter name, comment docket ID number, page of that 
document).
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II. Synopsis of the Final Rule

    In this final rule, DOE is amending the test procedure for SPVUs to 
incorporate by reference AHRI 390-2021. DOE is establishing a new 
appendix G that includes the relevant test procedure requirements for 
SPVUs for measuring the existing efficiency metrics: (1) EER for 
cooling mode and (2) COP for heating mode. DOE is also establishing a 
new appendix G1 that includes the relevant test procedure requirements 
for SPVUs for measuring the updated efficiency metrics, (1) IEER for 
cooling mode and (2) COP for heating mode. Appendix G1 provides the 
test procedure for representations based on IEER and will be mandatory 
only at such time as compliance is required with amended energy 
conservation standards based on IEER should DOE adopt standards using 
such metrics. In conjunction, DOE is amending table 1 to paragraph (b) 
10 CFR 431.96 to identify the newly added appendices G and G1 as the 
applicable test procedures for testing SPVUs.
    Additionally, DOE is defining ``single-phase single package 
vertical air conditioner with cooling capacity less than 65,000 Btu/h'' 
and ``single-phase single package vertical heat pump with cooling 
capacity less than 65,000 Btu/h'' as subsets of the broader SPVAC and 
SPVHP equipment category. Single-phase equipment meeting these 
definitions are subject to the applicable energy conservation standards 
for SPVACs and SPVHPs, whereas single-phase products not meeting these 
definitions would properly be classified as central air conditioners 
(``CACs'') and subject to the applicable energy conservation standards 
for CACs.
    The adopted amendments are summarized in Table II.1 compared to the 
test procedure provision prior to the amendment, as well as the reason 
for the adopted change.

      Table II.1--Summary of Changes in the Amended Test Procedure
------------------------------------------------------------------------
        Current DOE TP                Amended TP           Attribution
------------------------------------------------------------------------
Incorporates by reference ANSI/ Incorporates by         Adopt industry
 AHRI 390-2003 (excluding        reference AHRI 390-     test procedure.
 section 6.4).                   2021, which includes
                                 the following changes.
                                --Includes a new
                                 energy efficiency
                                 descriptor, IEER,
                                 which incorporates
                                 part-load performance.

[[Page 75147]]

 
                                --Provides direction    ................
                                 and accompanying
                                 definitions for
                                 determining whether a
                                 unit is tested as a
                                 ducted or non-ducted
                                 unit.
                                --Directs that the      ................
                                 outdoor air-side
                                 attachments used for
                                 testing must be
                                 specified by the
                                 manufacturer in the
                                 supplemental testing
                                 instructions.
                                --Includes refrigerant  ................
                                 charging instructions
                                 for cases where they
                                 are not provided by
                                 the manufacturer.
                                --Specifies tolerances  ................
                                 for achieving the
                                 rated airflow and/or
                                 minimum external
                                 static pressure
                                 (``ESP'') during
                                 testing and specifies
                                 how to set indoor
                                 airflow if airflow
                                 and ESP tolerances
                                 cannot be
                                 simultaneously met.
                                >--Incorporates         ................
                                 specifications for
                                 measuring outdoor air
                                 conditions.
                                --Requires data be      ................
                                 recorded at equal
                                 intervals of 5
                                 minutes or less over
                                 a 30-minute
                                 measurement period.
                                --Clarifies that test   ................
                                 results for outdoor
                                 air enthalpy method
                                 are based on results
                                 without test
                                 apparatus connected.
                                --Defines the term      ................
                                 ``manufacturer's
                                 installation
                                 instructions'' and
                                 includes hierarchy of
                                 precedence if
                                 multiple instructions
                                 are included.
Only includes definitions for   Includes additional     Explicitly
 the equipment categories;       definitions: ``single-  delineate SPVUs
 ``Single Package Vertical Air   phase single package    from other
 Conditioner'' and ``Single      vertical air            covered
 Package Vertical Heat Pump''.   conditioner with        products.
                                 cooling capacity less
                                 than 65,000 Btu/h''
                                 and ``single-phase
                                 single package
                                 vertical heat pump
                                 with cooling capacity
                                 less than 65,000 Btu/
                                 h''.
Does not include provisions     Provides instructions   Establish
 for certain components.         for testing SPVUs       provisions for
                                 with certain specific   testing with
                                 components. This        certain
                                 includes:               components.
                                --a list of specific    ................
                                 components that must
                                 be present for
                                 testing, specified in
                                 10 CFR 429.43;
                                --provisions for        ................
                                 testing units with
                                 certain specific
                                 components, specified
                                 in appendix G1.
------------------------------------------------------------------------

    DOE has determined that the amendments would not be unduly 
burdensome. Furthermore, DOE has determined that the amended test 
procedure in appendix G as described in section III of this final rule 
would not alter the measured efficiency of SPVUs or require retesting 
solely as a result of DOE's adoption of the amendments to the test 
procedure. Use of the updated industry test procedure provisions in 
appendix G1 and the related amendments to representation requirements 
in 10 CFR 429.43 will not be required until the compliance date of any 
amended standards denominated in terms of IEER. Additionally, DOE has 
determined that the amendments would not increase the cost of testing. 
Discussion of DOE's actions are addressed in detail in section III of 
this final rule.
    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. Representations of energy use or energy efficiency must be 
based on testing in accordance with the amended test procedures 
beginning 360 days after the publication of this final rule.

III. Discussion

A. Scope of Applicability

    EPCA, as amended by the Energy Independence and Security Act of 
2007 (``EISA 2007''), Public Law 110-140 (Dec. 19, 2007), defines 
``single package vertical air conditioner'' and ``single package 
vertical heat pump'' at 42 U.S.C. 6311(22) and (23), respectively. In 
particular, single package vertical air conditioners can be single- or 
three-phase; must have major components arranged vertically; must be an 
encased combination of components; and must be intended for exterior 
mounting on, adjacent interior to, or through an outside wall. Single 
package vertical heat pumps are single package vertical air 
conditioners that use reverse cycle refrigeration as their primary heat 
source and may include secondary supplemental heating by means of 
electrical resistance, steam, hot water, or gas. DOE codified the 
statutory definitions into its regulations at 10 CFR 431.92. 
Additionally, EPCA established initial equipment classes for SPVUs, 
including those with a capacity less than 65,000 Btu/h based on phase. 
(42 U.S.C. 6313(a)(10)(A)(i)-(ii) and (v)-(vi))
    DOE currently defines an SPVAC as air-cooled commercial package air 
conditioning and heating equipment that: (1) is factory-assembled as a 
single package that: (i) has major components that are arranged 
vertically; (ii) is an encased combination of cooling and optional 
heating components; and (iii) is intended for exterior mounting on, 
adjacent interior to, or through an outside wall; (2) is powered by a 
single-or 3-phase current; (3) may contain 1 or more separate indoor 
grilles, outdoor louvers, various ventilation options, indoor free air 
discharges, ductwork, well plenum, or sleeves; and (4) has heating 
components that may include electrical resistance, steam, hot water, or 
gas, but may not include reverse cycle refrigeration as a heating 
means. 10 CFR 431.92. Additionally, DOE defines an SPVHP as a single 
package vertical air conditioner that: (1) uses reverse cycle 
refrigeration as its primary heat source; and (2) may include secondary 
supplemental heating by means of electrical resistance, steam, hot 
water, or gas. Id. The Federal test procedures are applicable to SPVUs 
with a cooling capacity less than 760,000 Btu/h. (42 U.S.C. 
6311(8)(D)(ii))
    In the January 2022 NOPR, DOE explained that reading the 
definitions of SPVUs and CACs \5\ in isolation, certain single-phase 
air conditioners and heat pumps with cooling capacity less than 65,000 
Btu/h and with their components arranged vertically could be understood 
to be SPVUs, as opposed to CACs. 87 FR

[[Page 75148]]

2490, 2493-2494. However, DOE had previously explained that the 
definitions of SPVUs and CACs under EPCA must be read in the context of 
DOE's authority to regulate certain consumer products (covered 
products) and certain industrial equipment (covered equipment); under 
EPCA a product cannot be both covered equipment and a covered product 
as the definition of covered equipment excludes covered products. 79 FR 
78613, 78625 (Dec. 30, 2014). ``Covered products'' are certain consumer 
products explicitly set forth in the statute, as well as consumer 
products that have been classified as a covered product under 42 U.S.C. 
6292(b). EPCA defines ``consumer product,'' in part, as an article 
which, to any significant extent, is distributed in commerce for 
personal use or consumption by individuals. (42 U.S.C. 6291(1)(B)) As 
discussed in the January 2022 NOPR, CACs are covered products, and a 
product can only be classified as an SPVU, and, therefore, industrial 
equipment under EPCA, if it does not meet the definition of any covered 
product, including CACs. 87 FR 2490, 2494.
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    \5\ EPCA defines a ``central air conditioner'' as a product, 
other than a packaged terminal air conditioner, which is powered by 
single-phase electric current, air-cooled, rated below 65,000 Btu 
per hour, is not contained within the same cabinet as a furnace with 
a rated capacity above 225,000 Btu per hour, and is a heat pump or a 
cooling only unit. (42 U.S.C. 6291(21))
---------------------------------------------------------------------------

    To clarify the distinction between SPVUs as industrial equipment 
and CACs as covered consumer products, DOE proposed in the January 2022 
NOPR to add specific definitions for ``single-phase single package 
vertical air conditioner with cooling capacity less than 65,000 Btu/h'' 
and ``single-phase single package vertical heat pump with cooling 
capacity less than 65,000 Btu/h'' to explicitly identify those design 
characteristics specific to models that are not of a type distributed 
in commerce for personal use or consumption by individuals, and 
therefore are not consumer products or CACs. The current definitions of 
SPVAC and SPVHP at 10 CFR 431.92 allow for both wall-mounted and floor-
mounted units, and either may use single-phase or three-phase power. 
DOE proposed in the January 2022 NOPR to include certain 
characteristics as part of these definitions in order to evidence that 
this equipment should be properly classified as covered equipment and 
SPVUs rather than covered products and CACs, and that they would likely 
not be of a type distributed to any significant extent in commerce for 
personal use or consumption by individuals. Specifically, DOE 
preliminarily determined that weatherization, or in the case of non-
weatherized units, the presence of optional air ventilation provisions, 
represent key design characteristics that indicate use in commercial 
applications. DOE did not identify any products intended for consumer 
applications with these design characteristics. 87 FR 2490, 2493-2495.
    DOE proposed to define ``single-phase single package vertical air 
conditioner with cooling capacity less than 65,000 Btu/h'' and 
``single-phase single package vertical heat pump with cooling capacity 
less than 65,000 Btu/h'' as SPVACs and SPVHPs, respectively, that are 
either (1) weatherized, determined by a model being denoted for 
``Outdoor Use'' or marked as ``Suitable for Outdoor Use'' on the 
equipment nameplate; or (2) non-weatherized and have optional 
ventilation air provisions available with the ability to draw in and 
condition a minimum of 400 CFM of outdoor air. 87 FR 2490, 2495.
    DOE also proposed to amend the definitions of ``single package 
vertical air conditioner'' and ``single package vertical heat pump'' to 
state that those definitions include the equipment within the newly 
proposed definitions of SPVACs and SPVHPs, respectively, with cooling 
capacity less than 65,000 Btu/h. 87 FR 2490, 2495.
    In regard to determining if a unit is capable of providing 400 
cubic feet per minute (``CFM'') of outdoor air, DOE proposed to include 
provisions in 10 CFR 429.134 that specify the method of measurement of 
the maximum outdoor ventilation airflow rate. DOE proposed to specify 
that the outdoor ventilation airflow rate should be set up and measured 
in accordance with ASHRAE 41.2-1987, ``Standard Methods for Laboratory 
Airflow Measurement,'' and Section 6.4 of ASHRAE 37-2009. DOE also 
proposed specifications to clarify how these provisions are applied to 
measure the outdoor ventilation airflow rate. 87 FR 2490, 2495. As 
discussed in the January 2022 NOPR, DOE preliminarily determined that 
units for commercial applications provide sufficient ventilation 
airflow to meet commercial building ventilation requirements and 
specify ventilation airflow as low as 400 CFM. DOE preliminarily 
determined that units for consumer applications, including multi-family 
applications, typically have little or no capability for ventilation, 
with ventilation airflow only as high as 120 CFM. Therefore, DOE 
proposed 400 CFM as the characteristic applicable to SPVUs. 87 FR 2490, 
2494-2495. For models meeting the proposed amended SPVU definitions, 
DOE is able to conclude from these characteristics that such units are 
properly categorized as SPVUs and that they are unlikely to serve or be 
distributed in commerce for personal use or consumption as covered 
products.
    In response to the proposed definitions in the January 2022 NOPR, 
Lennox commented that a critical factor for them and the heating, 
ventilating, air conditioning (HVAC) industry is to ensure current 
products and new entries into the market are classified consistently 
across manufacturers. Lennox stated they generally supported DOE's 
effort to ensure current equipment and new entries into the market are 
classified consistently across manufacturers, and generally supported 
the distinguishing definitions proposed in the January 2022 NOPR. 
(Lennox, No. 12, p. 1) Furthermore, they stated that the distinguishing 
characteristics of outdoor ventilation airflow rate in CFM and 
weatherization are conceptually acceptable as long as characteristics 
like CFM thresholds are reasonably set and appropriately characterize 
the equipment. (Lennox, No. 12, p. 2)
    The CA IOUs commented that they agreed with DOE's conclusion that 
certain single-phase products currently classified as SPVUs satisfy the 
regulatory definition of consumer CAC, and supported the clarification 
that those products should be rated as CACs. The CA IOUs commented that 
manufacturer literature and website review confirms the installation of 
such products in consumer applications such as apartments, 
condominiums, and student and senior housing, and that these 
applications are no different from the installations for space-
constrained consumer products. CA IOUs stated that DOE's proposed 
approach facilitates consistency in the treatment of products intended 
for residential use. (CA IOUs, No. 13, pp. 1-2) CA IOUs also supported 
DOE's proposal to designate certain single-phase equipment as 
commercial and industrial equipment, but urged DOE to test such 
equipment with a cooling capacity less than 65,000 Btu/h using AHRI 
Standard 210/240-2023. (CA IOUs, No. 13, p. 2) They stated that the 
proposed definitions would otherwise be inconsistent with DOE's 
treatment of other single-package consumer products with a cooling 
capacity less than 65,000 Btu/h that are optionally capable of 
providing commercial levels of ventilation air or are weatherized, and 
urged DOE to follow DOE precedents and use AHRI Standard 210/240-2023. 
They recognized that energy conservation standards set for this 
equipment in a subsequent rulemaking may need to be different than 
other equipment, but noted that using the same test procedure for all 
products that compete in the market would enable consumer

[[Page 75149]]

comparison of the efficiency metrics. (CA IOUs, No. 13, p. 2)
    Friedrich opposed DOE's proposed definitions requirement that units 
must have the ability to provide a minimum of 400 CFM of outdoor air to 
qualify as an SPVU. (Friedrich, No. 18, p. 1) Friedrich commented that 
it is their understanding that this proposed requirement is 
irrespective of whether the unit is weatherized or non-weatherized. 
Friedrich commented that the proposed 400 CFM outdoor air requirement 
would be between 61 to 114 percent of the application supply airflow 
for their equipment, and that conditioning outdoor air that makes up 
such a large portion of the supply air will lead to higher energy 
consumption for those commercial sites, a decrease in occupancy 
comfort, and possibly humidity issues. Friedrich opposed DOE's 
statement that it identified each unit on the market as meeting this 
outdoor ventilation airflow requirement, noting that one of their 
specific product lines was not considered. (Friedrich, No. 18, pp. 1-2) 
Friedrich stated that their affected units have been tested according 
to AHRI 390 since 2005. They commented that their units are installed 
in hotels and other commercial locations within a closet, and that 
these installations typically have short discharge ducts, which is 
different from CACs. They stated that the exterior wall is designed 
with a large cutout area for the heat exchangers of these equipment. 
(Friedrich, No. 18, p. 2) Friedrich commented that this change will 
result in a change in minimum efficiency, and the current installed 
base will be left without a replacement option. They stated that this 
would necessitate a substantial change to building infrastructure 
because SPVAC and SPVHP replacements' unit size and method are designed 
into the building, and these substantial changes may compromise the 
integrity of building structure. (Friedrich, No. 18, p. 3)
    Friedrich also opposed DOE's classification of the primary market 
for SPVUs in its review of the ventilation requirements specified in 
ANSI/ASHRAE Standard 62.1-2019, ``Ventilation for Acceptable Indoor Air 
Quality,'' as excluding hotels and motels. Friedrich stated that one of 
its model lines is installed in hotels, hospitality, and other light 
commercial lodging locations in conjunction with Dedicated Outdoor Air 
Systems (``DOAS'') to meet ASHRAE Standard 62.1-2019 ventilation 
requirements. (Friedrich, No. 18, p. 2)
    AHRI questioned the proposed outdoor ventilation airflow 
requirement, noting that some standards (including California's Title 
24 and ASHRAE 90.1) are looking to lower the threshold of economizing 
requirements for exterior-mounted products installed in buildings that 
are three stories or higher to 33,000 Btu/h. (Public Meeting 
Transcript, No. 11, p. 13) The CA IOUs commented that Title 24 does not 
require equipment that serves dwelling units to include an economizer, 
noting that requirements for multifamily buildings have been moved to 
Subchapter 11 Multifamily Buildings--Performance and Prescriptive 
Compliance Approaches and provides an exception for systems serving 
dwelling units. They further commented that Draft Addendum to ASHRAE 
90.1-2019 will not require indoor equipment with a cooling capacity of 
less than 54,000 Btu/h to include an economizer. This proposal reduces 
the system cooling capacity threshold for economizing to 33,000 Btu/h 
from 54,000 Btu/h, but only for ``fan-cooling units located outside the 
building.'' (CA IOUs, No. 13, p. 4)
    GE stated that DOE has neither the authority nor the justification 
to redefine the SPVU product class, and that DOE cannot and should not 
create a separate product class for SPVUs with cooling capacity below 
65,000 Btu/h. (GE, No. 15, p. 2) Further, GE commented that the 
definition of SPVU is set by statute and that DOE has identified no 
authority that permits it to modify this statutory definition through 
regulation. GE also commented that the definition of SPVUs is included 
in ASHRAE 90.1 which is recognized by EPCA as the industry standard for 
commercial products. They noted that the presence of SPVUs in ASHRAE 
90.1 strongly indicates SPVUs are commercial, not consumer products. GE 
also commented that SPVUs with cooling capacity under 65,000 BTU/hr are 
marketed and sold as commercial products into commercial buildings, 
including hotels, dormitories, nursing homes and other medical care 
facilities, and senior housing communities. GE provided marketing 
material for their equipment and stated that it demonstrates that these 
products are marketed for commercial use. (GE, No. 15, p. 2) GE also 
commented that DOE should not change a product class definition through 
a test procedure rulemaking. GE stated that should DOE make the change 
it is proposing, it should do so only through a standards rulemaking 
and that to do otherwise, DOE would be effectively establishing new 
efficiency standards for existing products without EPCA's statutorily 
mandated 5-year compliance period. (GE, No. 15, p. 2)
    AHRI characterized DOE's proposal as to define single-phase SPVAC 
and SPVHPs with cooling capacity less than 65,000 Btu/h as one 
reclassifying single-phase SPVAC and SPVHPs as space constrained 
consumer central air conditioners and heat pumps, and disagreed with 
this proposal because SPVUs are classified as a type of commercial air 
conditioner under EPCA. (AHRI, No. 17, p. 5) AHRI noted that EPCA 
defines industrial equipment as any article of equipment of certain 
specified types that consumes, or is designed to consume, energy, which 
is distributed to any significant extent for industrial and commercial 
use, and which is not a covered product as defined, without regard to 
whether such article is in fact distributed in commerce for industrial 
or commercial use. AHRI said that the definition for SPVUs created by 
Congress in 2007 was the definition in AHRI 390-2003, and that Congress 
in choosing this definition meant to adopt AHRI's definition as it was 
implemented by AHRI in testing and certifying SPVU models under AHRI 
390-2003. (AHRI, No. 17, pp. 5-6) AHRI further contended that DOE 
should recognize that the models AHRI lists in its directory are SPVUs 
as they have their components arranged vertically and meet the 
definition of AHRI 390-2003, and that they are not consumer products or 
CACs. (AHRI, No. 17, p. 6)
    AHRI asserted that SPVUs fall squarely within the purview of ASHRAE 
90.1, which did not amend the definition to exclude any subset of the 
broader SPVAC and SPVHP categories. (AHRI, No. 17, p. 6) AHRI noted 
that what it calls smaller SPVUs are often designed to be installed 
through-the-wall in hotels, apartments, dormitories, and multi-family 
residential buildings, but disagreed that these applications could lead 
to these units being classified as consumer products. AHRI commented 
that the scope of ASHRAE 90.1, which is the minimum energy code for 
commercial buildings, covers multifamily structures of more than three 
stories as well as hotels and dormitories. AHRI stated that it is to be 
expected that certain SPVUs and other HVAC products listed in ASHRAE 
90.1 would be used in these commercial applications covered by ASHRAE 
90.1. AHRI noted that many SPVUs are sold in the same applications as 
packaged terminal equipment and DOE is not now questioning the use of 
package terminal equipment in these commercial applications. They 
further stated that a key distinction between SPVUs and residential 
products is that they are not

[[Page 75150]]

sold directly to consumers, and that SPVUs are incorporated into the 
design of the building and usable spaces therein. AHRI continued that 
SPVUs are sold to commercial entities that build, own, or operate the 
building, and that these entities also own and maintain the products. 
AHRI said that consumers are not directly involved in the selection of 
the units or in the sale transactions, which would be the case for a 
``consumer product.'' (AHRI, No. 17, p. 7)
    AHRI contended that the products in question listed in its 
Directory meet the EPCA definition of SPVUs and AHRI maintains that DOE 
cannot recategorize a subset of products on assertions that those may 
be occasionally misapplied in the field. AHRI commented that DOE has 
not provided evidence of what AHRI categorizes as SPVUs being applied 
in any substantial number in single-family homes, or multi-family homes 
below three stories. AHRI also stated that for products marketed toward 
multifamily buildings over three stories, some manufacturers have 
chosen to rate certain product lines to AHRI Standard 210/240 because 
these product lines appear to have multi-stage compressors that do not 
benefit from efficiency distinction using a full-load performance 
method, such as AHRI Standard 390-2003. AHRI stated that now that AHRI 
390-2021 has published and includes a part-load efficiency metric, they 
expect manufacturers to no longer have reason to use the part-load 
performance of another industry test standard to market products 
effectively. (AHRI, No. 17, pp. 7-8)
    AHRI commented that the definition of ``space constrained product'' 
at 10 CFR 430.2 cannot accommodate the full range of units at issue due 
to the definition's maximum capacity cap of 30,000 Btu/h. Therefore, 
AHRI stated that DOE's proposal would split product lines into part 
residential and part commercial. AHRI noted that these proposed 
definitions would subject products between 30,000 and 65,000 Btu/h to 
the substantially higher efficiencies and regional standards of CACs. 
AHRI commented that definitionally, space-constrained residential 
products must be, ``currently usually installed in single-family 
homes,'' but that no one contends that these products are installed in 
single family homes. Further, AHRI questioned how SPVUs, which were 
established as a commercial category in 2007, would meet the portion of 
the space-constrained products definition that limits inclusion to 
product types that were available for purchase in the United States as 
of December 1, 2000. (AHRI, No. 17, pp. 8-9)
    DOE presents the relevant history here in support of DOE's 
determination regarding the differentiation between CACs and SPVUs.
    In an energy conservation standards NOPR for CACs, DOE stated that 
it understood that SPVUs are not distributed for personal use or 
consumption by individuals, and therefore are commercial equipment. 65 
FR 59589, 59610 (Oct. 5, 2000). As a result, this equipment would have 
been subject to standards for commercial package air conditioning and 
heating equipment. Id. In the subsequent final rule published on 
January 22, 2001, DOE established a separate CAC class for space-
constrained products, which included through-the-wall (``TTW'') 
products but did not establish standards for them, and announced an 
intent to go through a rulemaking for space-constrained products. 66 FR 
7169, 7196-7197. In 2004, DOE amended the CAC standards, establishing 
separate standards for space constrained products and TTW products, 
with the standards specific for TTW products applicable only to 
products manufactured prior to January 23, 2010. For products 
manufactured after January 23, 2010, the standards for space 
constrained products applied to these TTW air conditioners and heat 
pumps. 69 FR 50997, 50998 (Aug. 17, 2004).
    Beginning in 2002, ASHRAE first classified SPVU as a separate 
equipment class, through addendum ``d'' to ASHRAE 90.1-2001 and, later, 
addendum ``b'' to ASHRAE 90.1-2004. DOE reviewed these changes but took 
no action because SPVU equipment was subject to standards for 
commercial package air conditioning and heating equipment, and Energy 
Policy Act of 2005 (Pub. L. 109-58) had limited DOE's authority for 
this equipment. 72 FR 10038, 10046-10047 (Mar. 7, 2007). In 2007, 
Congress established definitions and equipment classes specific for 
SPVUs (through the EISA 2007; Pub. L. 110-140), which DOE codified in 
2009. (74 FR 12058 (Mar. 23, 2009)) Compliance with these SPVU 
standards was required starting January 1, 2010.
    In early 2011, ASHRAE put forward proposed addendum ``i'' to ASHRAE 
90.1-2010 to increase its efficiency standards for SPVU while 
establishing separate equipment classes with less-stringent efficiency 
levels for nonweatherized space constrained single-package vertical 
units. This proposal was formally incorporated into ASHRAE 90.1-2013. 
In an April 2014 Notice of Data Availability (``April 2014 NODA'') for 
certain industrial equipment including SPVUs, DOE, upon its review of 
the market of what ASHRAE Standard 90.1 classified in a new equipment 
class for SPVUs used in space-constrained applications as 
``nonweatherized space constrained single-package vertical unit[s],'' 
identified certain models of SPVUs in the AHRI Directory categorized as 
``space constrained'' that were previously classified by DOE as TTW 
CAC. 79 FR 20114, 20122-23 (April 11, 2014). DOE noted that it is in 
this TTW CAC product class that DOE expressly contemplated residential 
space-constrained units, including those models previously classified 
as TTW that manufacturers were then attempting to classify as SPVUs. 
Id. The re-classification of these models by manufacturers was made 
despite no apparent changes in technology or features, or any other 
indication that would demonstrate that commercial classification became 
more appropriate than residential classification. Id. DOE explained 
that to the extent that a unit meets the definition of ``central air 
conditioner'' (see 42 U.S.C. 6291(21); 10 CFR 430.2), a consumer 
product, it is excluded from the definition of industrial equipment 
(see 42 U.S.C. 6311(2)(A)(iii)), and therefore cannot be covered 
equipment. 79 FR 20114, 20123. DOE concluded that allowing models of a 
product type sold for personal use to instead be classified as 
commercial equipment simply because it is also of a type sold for 
commercial or industrial uses would allow those products to evade DOE's 
standards for consumer products and be contrary to EPCA. Id.
    DOE defined and established standards for space constrained CACs, 
including TTW units, prior to EISA 2007, which established standards 
specific to SPVU. 69 FR 50997, 50998. There is no indication that the 
SPVU provisions in EISA 2007's amendments to EPCA reclassified or were 
intended to reclassify products that were previously covered as covered 
products (i.e., space constrained and TTW CAC) as commercial equipment; 
instead, the new provisions intended to establish a new class for a 
different type of commercial equipment.
    In response to GE's and Friedrich's assertions that the product 
lines referenced in their comments are commercial equipment, and AHRI's 
comments regarding the differentiation between commercial equipment and 
consumer products, DOE reiterates that EPCA defines ``consumer 
product'' and ``industrial equipment'' as mutually exclusive. 
Specially, EPCA defines

[[Page 75151]]

``industrial equipment'' as any article of equipment of certain 
specified types that consumes or is designed to consume energy, which 
is distributed in commerce to any significant extent for industrial and 
commercial use, and which is not a covered product as defined in 42 
U.S.C. 6291(2), without regard to whether such article is in fact 
distributed in commerce for industrial or commercial use. (42 U.S.C. 
6311(2)(A) (emphasis added)) A covered product is a consumer product of 
a type specified in 42 U.S.C. 6292. EPCA defines ``consumer product'' 
as any article: (1) of a type that consumes or is designed to consume 
energy, and, to any significant extent, is distributed in commerce for 
personal use or consumption by individuals, (2) without regard to 
whether such article of such type is in fact distributed in commerce 
for personal use or consumption by an individual. (42 U.S.C. 6291(1)) 
EPCA specifies that CACs are covered consumer products. (42 U.S.C. 
6292(3))
    As noted, the definition of ``consumer product'' is not limited to 
products used in single-family homes, and instead covers products that, 
in part, are distributed in commerce for personal use or consumption by 
individuals. Id. (emphasis added). As discussed in the January 2022 
NOPR, products serving a household, including a household in a multi-
family building, are for personal use by individuals and are serving 
consumer applications rather than commercial or industrial 
applications. 87 FR 2490, 2494.
    In addition, based on the similarities between units distributed 
for use in multi-family applications and those units distributed for 
commercial lodging applications referenced by GE and Friedrich, DOE 
finds that such units may still be of a type distributed in commerce 
for personal or individual use and therefore may be regulated as 
consumer products. (See 42 U.S.C. 6291(1)(B)) These products are only 
offered in single-phase electrical configurations, are non-weatherized, 
serve individual rooms, and are designed to be installed in closets or 
other enclosures through an opening in the exterior wall, with supply 
air ducts to distribute conditioned air to the occupied space. These 
products meet the definition of CACs, and have characteristics too 
similar to other CACs to allow clear distinction between commercial and 
consumer use. They are therefore of a type distributed in commerce for 
personal or individual use, and such products are consumer products. 
DOE also recognizes that the definition of space constrained products 
specifies, in part, that such products are substantially smaller than 
those of other units that are currently usually installed in site-built 
single-family homes and of a similar cooling capacity, and, if a heat 
pump, heating capacity. 10 CFR 430.2. The definition, however, does not 
require space constrained products to be installed in single-family 
homes, but references products installed in such applications for 
comparative purposes.
    Additionally, based on review of product literature, DOE identified 
multiple model lines with similar design as equipment cited by GE that 
included installation instructions for townhouse type applications or 
model lines with marketing literature \6\ showing three-story multi-
family apartment buildings in addition to commercial lodging 
applications.\7\ In addition, DOE noted that the marketing literature 
for the Friedrich Vert-I-Pak model line cited in their comments also 
indicates that it is intended for both commercial lodging and multi-
family apartment building applications. (Docket No. EERE-2017-BT-TP-
0020-0019) The use and marketing of these units for townhomes and 
multifamily housing indicates that these products are used for 
individual households' use and consumption. DOE considers this 
information to be evidence that these products are distributed in 
commerce to a significant extent for personal use or consumption by 
individuals.
---------------------------------------------------------------------------

    \6\ See Docket No. EERE-2017-BT-TP-0020-0021, Docket No. EERE-
2017-BT-TP-0020-0022, Docket No. EERE-2017-BT-TP-0020-0023, and 
Docket No. EERE-2017-BT-TP-0020-0024 for examples of products that 
were previously incorrectly certified but are now correctly 
certified. See Docket No. EERE-2017-BT-TP-0020-0019 and Docket No. 
EERE-2017-BT-TP-0020-0020 for Friedrich and GE literature showing 
similar marketing literature as these products.
    \7\ DOE notes that ASHRAE 90.1-2019 defines ``low-rise 
residential buildings'' as single-family houses, multifamily 
structures of three stories or fewer above grade, manufactured 
houses (mobile homes), and manufactured houses (modular).
---------------------------------------------------------------------------

    In response to Friedrich's understanding of the requirement for 400 
CFM of outdoor ventilation air applying to both weatherized and non-
weatherized SPVUs, DOE notes that the outdoor air ventilation 
requirement would only apply to non-weatherized units. DOE does not 
agree with Friedrich's assertion that DOE did not consider all SPVUs 
available on the market to determine the 400 CFM outdoor ventilation 
air requirement. As discussed, DOE reviewed the product literature for 
Friedrich's Vert-I-Pak model line and considers these to be CACs, as 
they meet the definitions of consumer product and CAC.
    DOE also disagrees with Friedrich's assertion that CACs are not 
installed with unducted intake and short discharge duct lengths, and 
that DOE's revised definition of SPVU would leave the market without 
replacement options. DOE has identified several units from multiple 
manufacturers with similar design to Friedrich's Vert-I-Pak model line 
(and GE's Zoneline model line, referenced in their comments) and that 
are marketed towards multi-family, hotel, and hospitality; that are 
correctly certified as a space-constrained CAC using DOE's appendix M 
and AHRI Standard 210/240-2023 (``AHRI 210/240-2023''), ``Performance 
Rating of Unitary Air-conditioning & Air-source Heat Pump Equipment.'' 
(See Docket No. EERE-2017-BT-TP-0020-0021, Docket No. EERE-2017-BT-TP-
0020-0022, Docket No. EERE-2017-BT-TP-0020-0023, and Docket No. EERE-
2017-BT-TP-0020-0024)
    AHRI commented that making this change through the test procedure 
rulemaking is inappropriate. (AHRI, No. 17, p. 8) AHRI stated that the 
economic impacts to manufacturers and their customers that would ensue 
from this proposed change to the method of determination for 
represented efficiency would be enormous, and a complete rulemaking 
analysis under 42 U.S.C. 6295(p) is first required to assess 
technological feasibility and economic justification. (AHRI, No. 17, p. 
8) AHRI also commented that the proposed test method for validating the 
outdoor testing ventilation airflow has not been vetted, and time to 
research this method or other options was not afforded to stakeholders 
given the comment period's length and the significant number of 
overlapping rulemakings impacting manufacturers of air conditioning 
products. AHRI characterized DOE's proposal as a significant 
recategorization that should occur over a longer timeframe than under a 
test procedure NOPR and its comment period. Additionally, AHRI 
commented that an SPVU's primary function is cooling and heating and 
AHRI is not aware of any field applications where an SPVU is used 
primarily for ventilation. (AHRI, No. 17, p. 8-9)
    In regards to AHRI's and GE's comment that the definition change 
should be done through the standards rulemaking, DOE notes that it is 
not re-categorizing any existing equipment. DOE is re-iterating its 
long-standing application of the space constrained product definition, 
the CAC definition, and the SPVU definition, and codifying additional 
SPVU definitions to better clarify the application of these 
definitions. The new definitions do not reclassify any products; DOE 
has

[[Page 75152]]

concluded that any products not meeting the definition finalized by 
this rule should have previously been properly classified, and would 
continue to be classified, as consumer products because they are 
distributed in commerce for personal use or consumption. As a result, 
an energy conservation standards rulemaking is not required to adopt 
these definitions.
    With regards to AHRI's concern about the impact of changes to 
California's Title 24 and ASHRAE 90.1, DOE notes, consistent with the 
CA IOU comments, that the revised requirements for economizing apply 
only to outdoor mounted units. As a result, DOE does not expect this 
design requirement to impact the products it considers to be CACs. The 
provisions would require indoor equipment with a cooling capacity of 
less than 54,000 Btu/h to include an economizer and that the proposal 
reducing the system cooling capacity threshold for economizing to 
33,000 Btu/h from 54,000 Btu/h only applies to ``fan-cooling units 
located outside the building.'' Therefore, DOE believes that the 
outdoor ventilation airflow threshold remains a distinguishing 
characteristic to distinguish SPVUs from consumer products.
    In regards to AHRI's comment that some manufacturers have chosen to 
rate certain product lines marketed toward multifamily buildings over 
three stories to AHRI 210/240-2023 and DOE's appendix M because they 
incorporate multi-stage compressors, DOE first notes that, in addition 
to making representations using these test standards, manufacturers are 
certifying compliance for these products as space-constrained CACs. As 
discussed, these products that are being correctly certified as space-
constrained CACs are similar in design to the products currently being 
misclassified as SPVUs. DOE also notes that the definitions of SPVU and 
CAC and applicable test procedures are not dependent on technology 
options for improving efficiency of the product. Products are 
explicitly categorized based on the definitions provided in 10 CFR 
parts 430 and 431, and not based on the test procedures that provide 
the most benefit.
    In response to AHRI's comment that SPVUs are not primarily used for 
ventilation, DOE recognizes that the primary function of an SPVU is for 
cooling and/or heating. The proposed definition identifies 
characteristics of equipment intended to distinguish SPVU from consumer 
products, but does not change the application of the equipment. 
Further, DOE has found that all SPVUs available on the market that 
include an outdoor ventilation option publish ventilation airflow 
rates, so DOE anticipates this is common industry practice.
    For the reasons previously discussed, DOE has determined that the 
definitions proposed in the January 2022 NOPR for ``single-phase single 
package vertical air conditioner with cooling capacity less than 65,000 
Btu/h'' and ``single-phase single package vertical heat pump with 
cooling capacity less than 65,000 Btu/h'' are appropriate to explicitly 
delineate such equipment from certain covered consumer products. These 
definitions will not reclassify any existing products, and are intended 
to prevent the misclassification of consumer products as industrial 
equipment, specifically SPVUs. In addition, the methods proposed in the 
January 2022 NOPR for determining if a unit is capable of providing 400 
CFM of outdoor air are based on the industry standard test methods for 
measuring airflow and DOE considers them to be consistent with industry 
practice. As a result, DOE is adopting these definitions in 10 CFR 
431.92 and provisions for determining the outdoor ventilation airflow 
rate in 10 CFR 429.134 in this final rule.

B. Updates to Industry Standards

1. AHRI 390
    In the January 2022 NOPR, DOE proposed to incorporate by reference 
AHRI 390-2021, which maintains the existing full-load cooling mode 
metric, EER, and adds the seasonal cooling metric, IEER. More 
specifically, DOE proposed to add a new appendix G that would include 
the relevant test procedure requirements for SPVUs for measuring 
efficiency using the existing efficiency metrics (i.e., EER for cooling 
mode and COP for heating mode) and to add a new appendix G1 that would 
incorporate the provisions for measuring efficiency using IEER and COP. 
87 FR 2496.
    In response to the NOPR, Lennox and NEEA commented that they 
support the incorporation of AHRI 390-2021. (Lennox, No. 11, p. 2; 
NEEA, No. 16, pp. 1-2) The CA IOUs urged DOE to follow its precedent 
for other commercial and industrial equipment by requiring testing to 
AHRI 210/240-2023 on all SPVUs with a cooling capacity of less than 
65,000 Btu/h. They stated that using the same test procedure for all 
products that compete in the market would enable consumer comparison of 
the efficiency metrics. CA IOUs commented that this path would also 
benefit manufacturers, since using AHRI Standard 210/240-2023 would 
reduce the testing burden for manufacturers of single-speed products, 
as the basic models would be subject to two cooling tests instead of 
four. Furthermore, they stated it will allow manufacturers to provide 
cold-climate heat pump data if they offer products that can operate as 
heat pumps at 5 [deg]F. (CA IOUs, No. 13, pp. 2-3)
    AHRI commented that AHRI 390-2021 is a solid test procedure and 
supported its use for calculating IEER. (AHRI, No. 17, p. 10) In the 
public meeting AHRI noted that the new industry test procedure 
incorporates part-load performance, which they stated is a necessary 
step for regulation due to developments in these products. (Public 
Meeting Transcript, No. 11, p. 16) In the public meeting AHRI stated 
that they did not dispute DOE's authority to consider test procedure 
changes under the lookback provisions in EPCA, but noted that if there 
is a deviation between the test procedure cited in ASHRAE 90.1 and the 
DOE test procedure, it would create challenges and confusion in the 
marketplace with different efficiency metrics and test procedures. 
(Public Meeting Transcript, No. 11, pp. 17-19) AHRI stated in their 
comment however that DOE must follow the statutorily mandated process 
and only adopt a revised test method after it has been adopted by 
ASHRAE 90.1. (AHRI, No. 17, p. 3) Further, AHRI commented that DOE 
lacks the authority to adopt a test procedure edition not cited in 
ASHARE 90.1. Id. AHRI stated that waiting to harmonize will establish 
consistent energy efficiency levels and design requirements between 
ASHRAE Standard 90.1 and the Federal requirements as well as comparable 
metrics. Id. AHRI further asserted that in order for DOE to deviate 
from ANSI/AHRI 390-2003, the Department would need to propose and 
justify by clear and convincing evidence each amendment made to arrive 
at a test procedure equivalent to AHRI 390-2021, which AHRI conceded 
would be unnecessarily onerous. (AHRI, No. 17, pp. 3-4, 8-10)
    During the public meeting, AHRI noted that they are working to 
evaluate a crosswalk between EER and IEER, but that there is no 
consistent correlation between the metrics. AHRI also noted that they 
are also evaluating the impact of the new test procedure on the heating 
metric, COP. AHRI noted that this work is being conducted in support of 
the ASHRAE 90.1 process. (Public Meeting Transcript, No. 11, pp. 17-19)
    In response to AHRI, DOE has the authority to adopt AHRI 390-2021 
in this rulemaking under the authority and in satisfaction of EPCA's 7-
year-lookback review requirement for test

[[Page 75153]]

procedures. (42 U.S.C. 6314(a)(1)(A)) With respect to small, large, and 
very large commercial package air conditioning and heating equipment 
(of which SPVUs are a category), EPCA directs that the test procedures 
shall typically be those generally accepted industry testing procedures 
or rating procedures developed or recognized by AHRI or by ASHRAE, as 
referenced in ASHRAE Standard 90.1. (42 U.S.C. 6314(a)(4)(A)) But if 
the industry test procedure referenced in Standard 90.1 is determined 
by DOE to not meet the representativeness and undue burden requirements 
in 42 U.S.C. 6314(a)(2) and (3) by clear and convincing evidence, DOE 
must then establish an amended test procedure that meets EPCA's 
requirements. However, the industry test procedure currently referenced 
in Standard 90.1 is AHRI 390-2003, because Standard 90.1 has not yet 
been updated to reference AHRI 390-2021. The 42 U.S.C. 6314(a)(4) 
review has not been triggered. Therefore, DOE is not undertaking this 
rulemaking under 42 U.S.C. 6314(a)(4) but under its lookback review 
duty in 42 U.S.C. 6314(a)(1)(A)
    Under its 7-year-lookback review DOE must also ensure that test 
procedures established are reasonably designed to produce test results 
which reflect energy efficiency, energy use, and estimated operating 
costs during a representative average use cycle and are not unduly 
burdensome to conduct. (42 U.S.C. 6314(a)(2)) DOE is directed during 
its 7-year-lookback review to evaluate whether an amended test 
procedure would more accurately or fully comply with those 
requirements, and if DOE determines an amended test procedure would do 
so, then DOE is required to prescribe such test procedures for the 
product class. 42 U.S.C. 6314(a)(1)(A). A test procedure may not be 
reasonably representative because more representative test procedures 
are available. And a test procedure that was reasonably representative 
in the past may become unreasonably representative when newly available 
test procedures allow for better, more complete measurements. DOE's 
lookback review ensures that DOE is not bound to an industry test 
procedure that has gone without updating for too long and is no longer 
representative of current equipment. While AHRI acknowledged DOE's 
lookback review authority in the public meeting, their submitted 
comment does not mention DOE's lookback review and therefore only 
engaged with the review process under 42 U.S.C. 6314(a)(4)(A). AHRI 
stated in its written comment that DOE is mandated to adopt an industry 
test procedure only after that test procedure is adopted in Standard 
90.1, but identified no such mandate within the statute itself. And the 
lookback review language at issue here was added to EPCA in EISA 2007, 
well after the relevant Standard 90.1 test procedure language was added 
in 1992. Compare sec. 302 of EISA 2007, Public Law 110-140, 121 Stat. 
1552 (Dec. 19, 2007) with sec. 121 of the Energy Policy Act of 1992, 
Public Law 106-486, 106 Stat. 2808 (Oct. 24, 1992). Therefore, the most 
natural reading of the two together is that Congress intended to add 
the lookback review to those triggers for review of test procedures 
that already existed. The language of the lookback review applies 
generally, to all covered equipment. Rather than tie DOE's hands to an 
outdated test procedure in the manner the industry commenters suggest, 
EPCA compels DOE to use due diligence to review the totality of 
relevant and available information before settling on appropriate 
energy conservation standards and test procedures. DOE finds here that 
AHRI 390-2003 no longer meets EPCA's requirements because AHRI 390-2021 
is more representative without incurring undue burden, as discussed.
    In this instance, the industry test procedure referenced in ASHRAE 
Standard 90.1, AHRI 390-2003, has since been superseded. DOE 
acknowledges that DOE has previously stated that it will only consider 
an update to ASHRAE Standard 90.1 that modifies the referenced industry 
test procedure to be a trigger under that provision of the statute, as 
opposed to an update of just the industry test procedure itself. (See, 
e.g., 86 FR 35668, 35676 (July 7, 2021)) DOE stands by that position 
regarding what constitutes a triggering event in the context of ASHRAE 
equipment and does not consider the provisions in 42 U.S.C. 6314(a)(4) 
to have been triggered. However, that does not preclude DOE from 
considering the updated version of the industry test procedure (i.e., 
AHRI 390-2021) when reviewing DOE's test procedures under EPCA's 
lookback provision. Not only does DOE have discretion to do so, but it 
has a statutory duty to do so, in order to ensure that its test 
procedures produce results that are representative of an average use 
cycle and are not unduly burdensome to conduct.
    DOE agrees also that the approach envisioned by AHRI, where for a 
90.1 test procedure found to not meet EPCA's requirements DOE must go 
amendment-by-amendment and presumably line-by-line to alter to make it 
meet EPCA's requirements, would lead to an overly onerous process. It 
would be far too difficult to compile clear and convincing evidence for 
every minute adjustment in isolation of the test procedure as a whole. 
However, DOE does not agree with AHRI that EPCA requires this 
unreasonable approach and instead interprets EPCA as allowing DOE to 
amend a TP in a more reasonable manner considering the whole of the 
test procedure in order to best meet the requirements of EPCA where 
industry has failed to do so. DOE also notes that AHRI contemplated the 
process through which DOE is reviewing updates to an industry test 
procedure under Standard 90.1, but in this final rule DOE is proceeding 
under its lookback review.
    As supported by many of the comments that DOE received, including 
from AHRI itself, DOE has determined that the test methods specified in 
AHRI 390-2021 would produce test results that better reflect energy 
efficiency of SPVUs during a representative average use cycle than the 
current DOE test procedure and AHRI 390-2003. As discussed in section 
III.C and in the January 2022 NOPR, DOE notes that the IEER metric 
included in AHRI 390-2021 is representative of the cooling efficiency 
for SPVUs on an annual basis and is more representative than the 
current EER metric, which only captures the system performance at a 
single, full-load operating point. DOE also notes that the other test 
procedure changes incorporated in this final rule better ensure 
accurate and repeatable measurements, and ensure that representative 
test conditions are maintained during testing. These changes include:
    Providing direction for determining whether a unit is tested as a 
ducted or non-ducted unit.
    Directing that the outdoor air-side attachments used for testing 
must be specified by the manufacturer in the supplemental testing 
instructions.
    Including refrigerant charging instructions for cases where they 
are not provided by the manufacturer.
    Specifying tolerances for achieving the rated airflow and/or 
minimum external static pressure (``ESP'') during testing and specifies 
how to set indoor airflow if airflow and ESP tolerances cannot be 
simultaneously met.
    Incorporating specifications for measuring outdoor air conditions.
    Clarifying that test results for outdoor air enthalpy method are 
based on results without test apparatus connected.
    Defining the term ``manufacturer's installation instructions'' and 
including hierarchy of precedence if multiple

[[Page 75154]]

manufacturer installation instructions are included.
    Accordingly, for the foregoing reasons, DOE is incorporating by 
reference AHRI 390-2021 into the DOE test procedure for SPVUs.
    DOE recognizes that adopting AHRI 390-2021 as the Federal test 
procedure for SPVUs may create some disharmony between the Federal test 
procedure and the test procedure currently specified in ASHRAE Standard 
90.1 for a period of time. However, such disharmony is likely to be 
brief given the anticipated adoption of AHRI 390-2021 in the near 
future noted by commenters. Such a situation is preferable to the 
alternative where DOE would need to reinitiate another rulemaking once 
Standard 90.1's reference is updated, which would be after this 
statutorily-required lookback proceeding, in order to amend the Federal 
test procedure to adopt AHRI 390-2021--precisely the same test 
procedure available for consideration now. Because DOE is able to 
consider and adopt AHRI 390-2021 under its lookback provision, this 
situation and potential waste of resources is avoided and a more stable 
regulatory environment is created.
    DOE notes that commenters' concern regarding a crosswalk and 
potential market confusion from having Federal standards rely on 
different metrics than the efficiency levels specified in the current 
version of ASHRAE Standard 90.1 relate to the energy conservation 
standards for SPVUs, which DOE is addressing in a separate standards 
rulemaking. Finally, DOE notes that manufacturers are not required to 
use the IEER test method outlined in appendix G1 to make 
representations until 360 days after issuance of this final rule, and 
they are not required to use the test procedure to certify compliance 
with any energy conservation standards for SPVUs based on IEER until 
the compliance date established for such standards. Until the time that 
IEER is required for compliance, appendix G, which retains the EER 
metric, will be required to determine compliance with current standards 
for SPVUs.
    With regards to the CA IOUs recommendation that DOE incorporate by 
reference AHRI 210/240-2023 for SPVUs <65,000 Btu/h cooling capacity, 
DOE notes that AHRI 390-2021 was explicitly developed to represent the 
energy use of SPVU equipment, including efficiency metrics that are 
based on operating conditions specific to SPVU applications (i.e., 
modular classrooms, modular offices, and telecommunication shelters) 
while AHRI 210/240-2023 was not. Because AHRI 390-2021 more accurately 
represents installations of SPVUs and is therefore more representative 
for determining the energy use of SPVUs, DOE is not incorporating by 
reference AHRI 210/240-2023 as the test procedure for SPVUs.
    Accordingly, for the foregoing reasons, DOE is incorporating by 
reference AHRI 390-2021 into the Federal test procedure SPVUs because 
it is reasonably designed to produce results that are representative of 
the energy efficiency of that covered equipment during an average use 
cycle and is not unduly burdensome to conduct.
2. ASHRAE 37
    ANSI/ASHRAE 37-2009, a method of test for many categories of air 
conditioning and heating equipment, is referenced by AHRI 390-2021 for 
testing SPVUs. In particular, Appendix E of AHRI 390-2021 specifies the 
method of test for SPVUs, including the use of specified provisions of 
ANSI/ASHRAE 37-2009. Consistent with AHRI 390-2021, DOE proposed in the 
January 2022 NOPR to incorporate by reference ANSI/ASHRAE 37-2009 in 
its test procedure for SPVUs. Specifically, DOE proposed to utilize the 
applicable sections of ANSI/ASHRAE 37-2009--all sections except 
sections 1, 2, and 4. DOE also proposed that in the event of any 
conflicts between the DOE test procedure, AHRI 390-2021, and ASHRAE 37-
2009, the DOE test procedure takes highest precedence, followed by AHRI 
390-2021, followed by ASHRAE 37-2009. 87 FR 2490, 2496. DOE did not 
receive any comments regarding this proposal. For the reasons 
discussed, DOE is incorporating by reference ANSI/ASHRAE 37-2009 in 
this final rule along with the provisions regarding the order of 
precedence in the event of conflicts between the DOE test procedure, 
AHRI 390-2021, and ASHRAE 37-2009.

C. Energy Efficiency Descriptor

1. Efficiency Metrics
    In the January 2022 NOPR, DOE proposed to incorporate by reference 
AHRI 390-2021, which maintains the existing full-load cooling mode 
metric, EER,\8\ and heating mode metric, COP,\9\ and adds the seasonal 
cooling metric, IEER. Specifically, DOE proposed to add a new appendix 
G that would include the relevant test procedure requirements for SPVUs 
for measuring efficiency using the existing efficiency metrics (i.e., 
EER for cooling mode and COP for heating mode) and to add a new 
appendix G1 that would incorporate the provisions for measuring 
efficiency using IEER and COP. In the January 2022 NOPR, DOE stated 
that it considers the IEER metric, which includes test conditions and 
weighting factors for the four load levels representing 100, 75, 50, 
and 25 percent of full-load capacity, representative of the cooling 
efficiency for SPVUs on an annual basis, and more representative than 
the current EER metric. DOE requested comment on its proposal to adopt 
IEER for SPVUs. 87 FR 2490, 2497-2498.
---------------------------------------------------------------------------

    \8\ EER is the ratio of the produced cooling effect of the SPVU 
to its net work input, expressed in Btu/watt-hour, and measured at 
standard rating conditions.
    \9\ COP is the ratio of the produced heating effect of the SPVU 
to its net work input, when both are expressed in identical units of 
measurement, and measured at standard rating conditions.
---------------------------------------------------------------------------

    Lennox supported using AHRI 390-2021 for calculating IEER. They 
also stated that IEER is more representative of an average use cycle 
and how products operate in field applications, because EER only 
considers full load operation while IEER considers four load levels 
including part load operation. (Lennox, No. 11, p. 2) NEEA supported 
DOE's proposed adoption of IEER as a regulated metric as it provides a 
more accurate representation of total energy consumption than EER 
alone, because it measures part load energy consumption, but noted the 
limitations of the IEER metric--it does not capture energy consumption 
during other modes of operation such as ventilation or economizing. 
(NEEA No. 16, p. 2)
    The Joint Efficiency Advocates supported adopting IEER as the 
efficiency metric in appendix G1. However, they expressed concern that 
the weighting factors in the calculation of IEER may underweight 
performance at higher outdoor temperatures and urged DOE to ensure that 
the calculation adequately represents seasonal efficiency. The Joint 
Efficiency Advocates commented that calculating the weighting factors 
solely based on operating hours does not take into account that an hour 
of operation at a higher outdoor temperature is providing more cooling 
and consuming more energy than an hour of operation at a lower outdoor 
temperature. (Joint Efficiency Advocates, No. 14, pp. 1-2) The Joint 
Efficiency Advocates also stated that SPVU product literature indicates 
installations in hotels, multifamily dwellings, and permanent 
classrooms, and encouraged DOE to investigate whether the weighting 
factors are representative of SPVU installations. (Joint Efficiency 
Advocates, No. 14, p. 2)
    Regarding the test conditions and weighting factors, DOE notes that 
the test conditions for each of the Standard

[[Page 75155]]

Rating Conditions in AHRI 390-2021 were developed in a similar manor as 
AHRI Standard 340/360-2022 (``AHRI 340/360-2022''), ``Performance 
Rating of Commercial and Industrial Unitary Air-conditioning and Heat 
Pump Equipment,'' and was based on modeling buildings in which SPVUs 
are installed (modular schools, modular office, and telecommunication 
shelters), utilizing weather data from 15 climate zones. DOE finds 
these building types appropriate and will not consider additional 
building types at this time, as per the Joint Efficiency Advocates 
comments, because applications such as hotels and multi-family homes 
are common for the CAC products that are currently being misclassified 
as SPVUs as discussed in section III.A. of this document.
    Additionally, the weighting factors in AHRI 390-2021 were developed 
to represent the number of hours per year spent at each test condition. 
AHRI 390-2021 requires that a unit is tested at each of the four 
Standard Rating Conditions when determining the IEER metric, and that 
the performance of the unit at each test point (including part-load) is 
incorporated into the IEER metric. While individual equipment 
performance at part-load may vary between different model lines, each 
unit is tested under the same Standard Rating Conditions that produce 
results of SPVU efficiency during operation under representative 
conditions. DOE notes that this aligns with the approach taken for 
other small, large, and very large commercial package air conditioning 
and heating equipment (e.g., the IEER metric specified in AHRI 340/
360).
    AHRI commented that no correlation has been established between the 
EER and IEER metrics. AHRI stated they plan to collect one year of AHRI 
certification data and will submit a proposed addendum to ASHRAE 90.1 
using IEER. AHRI commented their support the adoption of AHRI 390-2021 
and the use of IEER as the federally regulated metric only after ASHRAE 
90.1 adopts the new procedure and new efficiency metrics. Additionally, 
they stated no testing was conducted to analyze the impact of test 
procedure changes on the heating metric, COP. (AHRI, No. 17, pp. 3, 10)
    Per AHRI's comments that they support the adoption of AHRI 390-2021 
and the use of IEER as the federally regulated metric only after ASHRAE 
90.1 adopts the new procedure and new efficiency metrics, DOE notes the 
discussion in section III.B.I of this document. Any future energy 
conservation standards based on IEER would evaluate differences in the 
measured energy efficiency based on the IEER metric relative to EER 
(i.e., by developing an appropriate ``crosswalk,'' as necessary), and 
would consider data and/or analysis that compares the ratings of SPVUs 
under the two metrics. DOE would also welcome any data showing 
differences in testing of the heating metrics, but is not aware that 
any of the changes made in AHRI 390-2021 would cause a change to the 
heating rating of SPVUs.
    For the reasons previously discussed, DOE has determined that at 
this time, the test conditions and weighting factors represent the 
industry consensus standard are appropriate for determining the 
representative performance of SVPU units, and that the resulting IEER 
values are based on up-to-date weather data and operation hours. DOE 
recognizes that comments provided by the Joint Efficiency Advocates are 
informative and may suggest the need for DOE to investigate further the 
approach used to calculate SPVU performance in a future rulemaking. 
However, without further information, DOE continues to conclude that 
the test conditions and weighting factors in AHRI 390-2021 produce 
results reflecting the energy efficiency of SPVUs during a 
representative average use cycle. Therefore, DOE is adopting the test 
conditions and weighting factors in AHRI 390-2021.
    The CA IOUs recommended that DOE reconsider the name IEER to avoid 
confusion for consumers because the IEER weighting factors in AHRI 
Standard 390-2021 are different from other commercial equipment, 
specifically AHRI Standard 340/360-2007, ``Performance Rating of 
Commercial and Industrial Unitary Air-conditioning and Heat Pump 
Equipment'', and AHRI Standard 1230-2010, ``Performance Rating of 
Variable Refrigerant Flow (VRF) Multi-Split Air-Conditioning and Heat 
Pump Equipment''. The CA IOUs recommended DOE consider renaming the 
part-load cooling efficiency metric for SPVUs to ``SPVU annual cooling 
efficiency.'' They stated that this change would allow end-users to 
compare and select equipment based on regulated efficiency metrics and 
remove any added ambiguity on weighting factors. (CA IOUs, No. 13, p. 
3)
    Regarding CA IOU's comment on renaming the IEER metric, the 
differences in IEER metrics between AHRI 390-2021 as compared to AHRI 
340/360-2022 or AHRI 1230-2021 better reflect typical operation and 
performance of SPVUs. In particular, the weighting factors and 
temperature conditions were developed specifically to represent SPVU 
applications. DOE notes that AHRI 390-2021 maintains the IEER name and 
that changing the name from ``IEER'' 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 390-2021. DOE also notes that there is no significant 
overlap in the applications of CUACs or VRFs and SPVUs such that there 
would be confusion to potential customers. Therefore, DOE concludes 
that there is not a need to deviate from the metric name ``IEER'' 
specified in AHRI 390-2021. Consequently, DOE is adopting the IEER 
metric measured per AHRI 390-2021 in the Federal test procedure for 
SPVUs, 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 VRFs and SPVUs.
2. Low Temperature Heating Test
    In the January 2022 NOPR, DOE noted that the heating mode test used 
to calculate COP and determine compliance with standards for SPVHPs is 
conducted at 47 [deg]F outdoor air dry-bulb temperature and 43 [deg]F 
outdoor air wet-bulb temperature, and is designated as the ``Full Load 
Standard Rating Capacity Test, Heating'' in Table 3 of AHRI 390-2021. 
87 FR 2490, 2498. In the January 2022 NOPR, DOE proposed to allow 
manufacturers to make voluntary representations at the optional ``Low 
Temperature Operation'' condition in Table 3 of AHRI 390-2021. That 
test is based on an outdoor air dry-bulb temperature of 17 [deg]F and 
outdoor air wet-bulb temperature of 15 [deg]F. DOE proposed to specify 
in appendices G and G1 that the low temperature operation heating mode 
test conditions specified in Table 3 of AHRI 390-2021 are optional. 
This addition was made to clarify that additional representations for 
SPVHPs at a lower temperature condition are optional, but that if such 
representations are made, they must be based on testing conducted in 
accordance with the DOE test procedure using the specified low 
temperature operation heating mode test conditions in addition to those 
made at the full-load standard heating conditions. DOE requested 
comment from interested parties on this proposal. 87 FR 2490, 2498.
    In response to the January 2022 NOPR, Lennox, the Joint Efficiency 
Advocates, and AHRI supported allowing optional representations of

[[Page 75156]]

the low temperature condition. (Lennox, No. 12, p. 2; Joint Efficiency 
Advocates, No. 14, p. 1; AHRI, Public Meeting Transcript, No. 11, p. 
19) Lennox commented that COP representations at low temperatures are 
important performance characteristic, and stated the representations 
are already being made by manufacturers. (Lennox, No. 12, pp. 2-3)
    The CA IOUs and NEEA recommended that DOE require the testing and 
reporting of heating COP at the Low Temperature Operation test 
condition. (CA IOUs, No. 13, p. 3; NEEA, No. 16, p. 3) NEEA commented 
that both AHRI 210/240-2023 and AHRI 340/360-2022 require heating mode 
testing at multiple conditions for all heat pump units. (NEEA, No. 16, 
pp. 3-4) NEEA noted that requiring this optional test would provide 
additional information on cold weather performance for consumers, and 
that the market share of SPVHPs at 20-30 percent was significant enough 
to investigate low ambient temperature test condition, despite AHRI's 
conclusion to the contrary. Further, the CA IOUs suggested that if the 
unit is not tested at 17 [deg]F to assign a default COP of 1.0 to the 
SVPHP basic model. The CA IOUs commented that DOE should publish the 
value in DOE's compliance certification database (``CCD'') for SPVUs to 
account for auxiliary energy solely supplied by an electric resistance 
element. (CA IOUs, No. 13, p. 3)
    The CA IOUs and the Joint Efficiency Advocates both commented that 
DOE should create an additional optional heating test at 5 [deg]F 
outdoor dry bulb/3 [deg]F outdoor wet bulb. (CA IOUs, No. 13, p. 3; 
Joint Efficiency Advocates, No. 14, p. 3) The CA IOUs commented that 
this would allow manufacturers to certify cold-climate SPVHPs, which 
are already distributed in commerce, to meet existing cold climate 
specifications in the Northeast region. They commented this test would 
be consistent with the H4 heating mode tests outlined in appendix M1 to 
subpart B of 10 CFR part 430 (i.e., the test procedure for CACs) and is 
consistent with the optional heating mode test for single phase SPVUs 
less than 65,000 Btu/h deemed by DOE to be consumer products in the 
NOPR. (CA IOUs, No. 13, p. 3) The Joint Efficiency Advocates commented 
that Northeast Energy Efficiency Partnerships (``NEEP'') has published 
a cold climate SPVHP specification that sets a minimum COP at 5 [deg]F, 
and it is reasonable to expect that an increasing number of 
manufacturers will test and report cold climate performance. Further, 
they stated that adding an optional 5 [deg]F test point to the SPVU 
test procedure will help ensure that any representations that 
manufacturers make about low-temperature performance will be based on a 
standardized test procedure. They encouraged DOE to allow both optional 
COP values at 17 [deg]F and 5 [deg]F to be reported and made available 
in the public DOE CCD for SPVUs. (Joint Efficiency Advocates, No. 14, 
p. 3)
    In response to requests for an optional 5 [deg]F heating test, DOE 
understands this test to be common for other cold-climate equipment. 
DOE notes that no such test is included in the industry test procedure, 
AHRI 390-2021. At this time, DOE is not aware of any cold-climate 
SPVUs. Based on DOE's review, all units that have reported to the NEEP 
specification discussed by commenters meet the definition of consumer 
products and are therefore currently misclassified as SPVUs. Through a 
review of SPVU market literature, DOE was unable to find any cold-
climate units available on the market. For these reasons, DOE is not 
including an optional 5 [deg]F heating test at this time.
    In response to comments requesting that DOE make the 17 [deg]F test 
required, DOE first notes that AHRI 390-2021 only requires testing at 
the full-load heating test condition of 47 [deg]F and that DOE's 
current heating mode standards for SPVUs are based on this full-load 
heating test condition. AHRI 390-2021 includes the low temperature 
heating test as an optional test. DOE notes that this is the same 
approach used in AHRI 340/360-2021. Any required representations for 
other test conditions would necessitate the establishment of standards 
for said representations. DOE is not proposing to regulate the COP 
measured at the 17 [deg]F test at this time and, consistent with AHRI 
390-2021, is adopting this as an optional test in this final rule.
    In response to comments that the low temperature heating 
performance should be made available in the CCD, because DOE is not 
proposing to regulate COP measured at 17F, requiring reporting of 
performance for low temperature heating performance is not necessary. 
DOE will address any amended reporting requirements as necessary based 
on optional representations of low temperature performance for SPVUs 
through a separate rulemaking.
3. Fan Energy Use
    As part of a request for information published on July 20, 2018, 
DOE requested comment on whether changes to the SPVU test procedure are 
needed to properly characterize a representative average use cycle, 
including changes to more accurately represent fan energy use in field 
applications. 83 FR 34499, 34503. DOE also requested information as to 
the extent that accounting for the energy use of fans in commercial 
equipment such as SPVUs would be additive of other existing accountings 
of fan energy use. Id. The Appliance Standards and Rulemaking Federal 
Advisory Committee (``ASRAC'') Commercial and Industrial Fans and 
Blowers Working Group (``Working Group'') had previously provided 
recommendations regarding the energy conservation standards, test 
procedures, and efficiency metrics for commercial and industrial fans 
and blowers in a term sheet. (Docket No. EERE-2013-BT-STD-0006-0179 at 
p. 1) Specifically, recommendation #3 discussed the need for DOE's test 
procedures and related efficiency metrics to account more fully for the 
energy consumption of fan use in regulated commercial air-conditioning 
equipment. (Docket No. EERE-2013-BT-STD-0006-0179 at pp. 3-4) The 
Working Group recommended that DOE consider revising efficiency metrics 
that include energy use of supply and condenser fans to include the 
full energy consumption of those fans during all relevant operating 
modes, including ventilation and part-load operation, in the next round 
of test procedure rulemakings. The Working Group included SPVUs in its 
list of regulated equipment for which fan energy use should be 
considered. (Docket No. EERE-2013-BT-STD-0006-0179 at pp. 3-4, 16)
    In the January 2022 NOPR, DOE preliminarily concluded that it did 
not have sufficient information regarding the operation of fans outside 
of mechanical heating and cooling during an average use cycle (e.g., 
economizing, ventilation) specific to SPVU installations as would allow 
it to consider changing the existing efficiency metric(s) to include 
this aspect of energy use. DOE stated also that it lacked sufficient 
information on the number of units capable of operating in these modes, 
total energy use in these operating modes, and information regarding 
the frequency of operation of these modes during field conditions. 87 
FR 2490, 2499.
    In response to the January 2022 NOPR, NEEA commented that IEER for 
SPVUs does not capture energy consumption during other modes of 
operation, such as ventilation or economizing. They stated that DOE's 
previous market analysis assumed that 65 percent of these units are 
installed in spaces that require regular ventilation (e.g., modular 
offices and classrooms).

[[Page 75157]]

NEEA noted that some SPVU equipment is promoted for use in buildings 
that require significant ventilation, and that prior DOE analyses have 
found that most SPVUs are installed in spaces requiring regular 
ventilation. NEEA noted that their previous research has shown that 
commercial HVAC units can spend up to 30 percent of operating time in 
ventilation-only modes. They stated that DOE should continue 
researching ways to account for energy consumption during ventilation-
only modes in an occupied space. Otherwise, they asserted, the metrics 
do not capture the full energy saving potential of features such as 
efficient fans and economizers. (NEEA, No. 16, p. 2)
    The Joint Efficiency Advocates similarly urged DOE to more fully 
capture fan energy use in the SPVU test procedure. They expressed 
concern that by not capturing fan energy use outside of cooling for ACs 
or heating and cooling for heat pumps (e.g., for ventilation or 
supplementary heating), the test procedure may significantly 
underestimate fan energy consumption. The Joint Efficiency Advocates 
noted as an example that EPA recommends that outdoor air be supplied 
continuously during occupied hours to maintain good indoor air quality 
in portable classrooms. The Joint Efficiency Advocates also commented 
that failing to capture fan energy use in these additional operational 
modes could result in inaccurate relative rankings of equipment. 
Therefore, they urged DOE to capture fan energy use outside of cooling 
mode for ACs and outside heating and cooling modes for heat pumps to 
ensure the test procedures are representative of an average energy use 
cycle. (Joint Efficiency Advocates, No. 14, pp. 2-3)
    DOE maintains that it does not have sufficient information at this 
time regarding the operation of fans outside of mechanical heating and 
cooling during an average use cycle (e.g., economizing, ventilation) 
specific to SPVU installations as would allow it to consider changing 
the existing efficiency metric(s) to include this aspect of energy use. 
DOE notes that NEEA's research was not specific to SPVUs, so the 
conclusions with regards to how much HVAC equipment operate in fan only 
modes may not be relevant. In particular, NEEA's research revolved 
around furnaces installed in retail stores and warehouses located in 
Winnipeg, Montreal, and Toronto, while SPVUs are installed in smaller 
modular buildings and in more diverse climate profiles. Therefore, 
energy consumption modeling specific to SPVUs and in climate regions 
more representative of SPVU installations would likely be significantly 
different. Per NEEA's comment, DOE's previous analysis acknowledges 
that SPVUs are commonly installed in locations requiring ventilation 
(i.e., modular offices and classrooms), and DOE maintains that is the 
case. DOE recognizes that the current metrics for SPVUs do not include 
fan energy use during all relevant operation modes. Provisions to 
measure fan energy use when there is no heating or cooling being 
provided, and when performing ancillary functions (e.g., economizing, 
ventilation, filtration, and auxiliary heat), are not included in the 
industry test standard, AHRI 390-2021. However, DOE's previous analysis 
did not include sufficient information on the number of units capable 
of operating in these modes, total energy use in these operating modes, 
and information regarding the frequency of operation of these modes 
during field conditions and DOE maintains that it still lacks this 
information, which the Department would need to be able to determine 
whether such testing would be appropriate for SPVUs and to develop a 
metric representing the national average fan operating hours for SPVUs. 
If additional information becomes available as would allow DOE to 
consider incorporation of fan energy use during other relevant SPVU 
operating modes for all relevant building types into the test method 
and metric for SPVUs, DOE may consider such information in a future 
rulemaking.

D. Test Method

    In DOE's existing regulations, table 1 to paragraph (b) of 10 CFR 
431.96 specifies the applicable industry test procedure for each 
category of commercial package air conditioning and heating equipment, 
and it identifies additional testing requirements that also apply. In 
this final rule, DOE is reorganizing subpart F to 10 CFR part 431 so 
that the test procedure requirements for SPVUs are included in separate 
appendices (appendix G and G1). DOE is also amending table 1 to 
paragraph (b) of 10 CFR 431.96 to identify only the applicable appendix 
to use for testing SPVUs (appendix G or G1), and as an additional 
consequence of this change 10 CFR 431.96 would no longer include any 
additional test requirements for SPVUs.
1. External Static Pressures
    In the January 2022 NOPR, DOE noted that AHRI 390-2021 maintained 
the same minimum ESP requirements as specified in ANSI/AHRI 390-2003. 
DOE stated that it does not have data indicating that these minimum ESP 
requirements are unrepresentative of field operation for ducted SPVUs. 
DOE also noted that SPVUs are typically installed in smaller modular 
buildings with different duct configurations than other equipment 
(e.g., CACs, other categories of commercial package air-conditioning 
and heating equipment). Based on this, DOE proposed not to revise the 
ESP requirements in the DOE test procedure for SPVUs but to instead 
remain consistent with AHRI 390-2021. 87 FR 2490, 2503.
    In response to the NOPR, the Joint Efficiency Advocates commented 
that by maintaining the existing ESP requirements (which were unchanged 
in the update from AHRI 390-2003 to AHRI 390-2021) the proposed test 
procedures may significantly underestimate fan energy consumption by 
specifying ESP requirements that are too low and not representative of 
field installations. They stated that virtually all ducted SPVUs are 
tested at a minimum ESP between 0.1 and 0.2 inches of water column 
(``in. w.c.''). Further, they commented that while the duct runs may 
typically be short in SPVU installations, testing any ducted unit at an 
ESP of 0.1 is unrealistic. They noted that DOE found that for CACs 
filter foulant and evaporator coil fouling alone contribute 0.2 in. 
w.c. of ESP. Therefore, they asserted that the proposed test procedure 
would likely underestimate fan power consumption and that DOE should 
investigate more representative ESP values. (Joint Efficiency 
Advocates, No. 14, pp. 1-2)
    NEEA commented that DOE and efficiency advocates had previously 
acknowledged inconsistencies among the various minimum ESP values used 
for testing across different HVAC equipment. NEEA also pointed out that 
DOE's analysis of field CAC installations showed that filter and 
evaporator coil foulant alone contributed 0.2 in. w.c. of ESP, 
regardless of the installed ductwork. NEEA asserted that no in-field 
operation data was provided to support the current ESP values that are 
maintained in AHRI 390-2021. NEEA supported DOE's request for 
additional ESP data and recommended pursuing further research to 
validate whether the ESP values in AHRI 390-2021 and proposed in the 
NOPR are representative of average field installations. NEEA also 
encouraged DOE to continue evaluating other components known to affect 
energy consumption in these units. (NEEA, No. 16, pp. 2-3)
    AHRI commented that they agreed that with DOE's statement that 
SPVUs are typically installed in smaller

[[Page 75158]]

modular buildings with different duct configurations. AHRI also agreed 
that minimum ESP requirements for other equipment may not be relevant 
for SPVUs. They stated the majority of this equipment is not used in 
ducted applications and that Table 2 of AHRI 390-2021 ESPs are 
representative of the short duct runs that are occasionally applied and 
are very conservative for those products applied without supply ducts. 
AHRI commented that these products are installed adjacent to exterior 
walls, so discharge ductwork is very short. AHRI supported DOE's 
tentative proposal to not revise the ESP requirements. (AHRI, No. 17, 
p. 11)
    In response to NEEA and the Joint Efficiency Advocates, DOE 
maintains that it does not have data indicating that these minimum ESP 
requirements are unrepresentative of field operation for ducted SPVUs. 
DOE notes that minimum ESP requirements and studies of field 
installations for other equipment (e.g., CACs) may not be relevant for 
SPVUs. Particularly, this research was used in a February 2017 CAC test 
procedure final rule to help determine the representative minimum 
statics for CACs. 82 FR 1426, 1447. DOE notes that for conventional 
equipment generally installed in single family homes with significant 
ductwork, the representative minimum ESP was determined to be 0.5 in. 
H2O. However, in the same NOPR, DOE also determined that 
certain types of CACs with short ducts (i.e., low static CACs) had 
different representative minimum statics, 0.1 in. H2O, so 
filters and evaporator foulant do not account for 0.2 in. 
H2O in all circumstances, per NEEA's suggestion. Id. DOE 
maintains that SPVUs are typically installed in smaller modular 
buildings with different duct configurations than other types of 
equipment (i.e., conventional CACs), and would therefore necessitate a 
similar field research study to determine if the current minimum 
statics are unrepresentative for SPVUs. Based on this, DOE is not 
revising the ESP requirements in the DOE test procedure for SPVUs and 
is instead maintaining the ESP requirements consistent with AHRI 390-
2021 at this time.
2. Defrost Energy Use
    In the January 2022 NOPR, DOE noted that AHRI 390-2021 does not 
include provisions for measuring defrost energy for SPVHPs. Consistent 
with ANSI/AHRI 390-2003, AHRI 390-2021, and DOE's test procedures for 
other commercial heat pumps, DOE did not propose to include provisions 
for including the defrost energy of SPVHPs. DOE noted that it lacked 
sufficient information on the number of SPVHP installations by building 
type and geographical region, as well as information regarding the 
frequency of operation of defrost cycles or representative low ambient 
conditions during field use and the annual heating and cooling loads in 
those installations. That information would be needed to determine 
whether such testing conditions would be appropriate for SPVUs and to 
develop a metric representing the national average for SPVUs. DOE 
requested comment and data on the number of SPVHP installations by 
building type and geographical region and the annual heating and 
cooling loads for such buildings. DOE also requested data on the 
frequency of operation of defrost cycles and representative low ambient 
conditions for those buildings and installations. 87 FR 2490, 2505.
    AHRI commented that the Guidehouse presentation \10\ includes 
detailed information regarding building types and climate zones 
analyzed to determine the appropriate IEER coefficients for this 
equipment which could be extrapolated to determine installations by 
building types. AHRI noted that certain applications will require 
defrost, but not all, and that defrost is an operation cycle to protect 
the outdoor coil. They continued that the cycle is only triggered 
during heating season, and the frequency and time of the defrost cycle 
is generally programmed at the factory. Further, they noted that 
defrost cycling is a function of both outside coil temperature and 
compressor pressure: (1) if outdoor coil temperature is sensed below a 
set temperature (typically 32 [deg]F) for a set time period (60 minutes 
is typical factory default), the defrost cycle is triggered; or (2) 
when the low pressure setpoint threshold for refrigerant entering the 
compressor is crossed due to frost on the coils, the defrost cycle will 
also be triggered. They stated the cycle for defrost operation starts 
with the compressor operation switching from heating to cooling to heat 
outside coil for defrosting, and that this cycle is typically run for 
approximately 10 minutes. Finally, AHRI commented that the return to 
normal heat pump operation after defrost operation will typically cease 
when the outdoor coil temperature rises above the thaw temperature 
setpoint or when the set time period has expired, whichever comes 
first. (AHRI, No. 17, pp. 11-12)
---------------------------------------------------------------------------

    \10\ The Guidehouse presentation is included in an appendix to 
AHRI's comment and was presented during the AHRI 390 working group 
developing the new industry standard.
---------------------------------------------------------------------------

    NEEA supported DOE's continued research around defrost energy 
consumption.(NEEA, No. 16, pp. 2-3) While DOE appreciates further 
insight into the process of defrost cycles provided by AHRI, DOE did 
not receive any additional information on defrost energy use and 
therefore DOE maintains that it lacks sufficient information at this 
time on the number of SPVHP installations by building type and 
geographical region, as well as information regarding the frequency of 
operation of defrost cycles or representative low ambient conditions 
during field use and the annual heating and cooling loads in those 
installations, which would be needed to determine whether such testing 
conditions would be appropriate for SPVUs and to develop a metric 
representing the national average for SPVUs. Given the lack of data and 
that the industry test procedure, AHRI 390-2021, does not include 
provisions for measuring defrost energy for SPVHPs, DOE is not 
including provisions for measuring the defrost energy of SPVHPs in the 
DOE test procedure at this time.

E. Configuration of Unit Under Test

1. Background and Summary
    SPVUs are sold with a wide variety of components, including many 
that can optionally be installed on or within the unit both in the 
factory and in the field. In all cases, these components are 
distributed in commerce with the SPVU, but can be packaged or shipped 
in different ways from the point of manufacturer for ease of 
transportation. Some optional components may affect a model's measured 
efficiency when tested to the DOE test procedure adopted in this final 
rule, and others may not. DOE is handling SPVU components in two 
distinct ways in this final rule to help manufacturers better 
understand their options for developing representations for their 
differing product offerings.
    First, the treatment of some components is specified by the test 
procedure to limit their impact on measured efficiency. For example, a 
fresh air damper must be set in the closed position and sealed during 
testing, resulting in a measured efficiency that would be similar or 
identical to the measured efficiency for a unit without a fresh air 
damper.
    Second, for certain components not directly addressed in the DOE 
test procedure, this final rule provides more specific instructions on 
how each component should be handled for the

[[Page 75159]]

purposes of making representations in part 429. Specifically, these 
instructions provide manufacturers clarity on how components should be 
treated and how to group individual models with and without optional 
components for the purposes of representations, in order to reduce 
burden. DOE is adopting these provisions in part 429 to allow for 
testing of certain individual models that can be used as a proxy to 
represent the performance of equipment with multiple combinations of 
components. DOE is adopting provisions expressly allowing certain 
models to be grouped together for the purposes of making 
representations and allowing the performance of a model without certain 
optional components to be used as a proxy for models with any 
combinations of the specified components, even if such components would 
impact the measured efficiency of a model. Steam/hydronic heat coils 
are an example of such a component. The efficiency representation for a 
model with a steam/hydronic heat coil is based on the measured 
performance of the SPVU as tested without the component installed 
because the steam/hydronic heat coil is not easily removed from the 
SPVU for testing.\11\
---------------------------------------------------------------------------

    \11\ Note that in certain cases, as explained further in section 
III.E.2.d, the representation may have to be based on an individual 
model with a steam/hydronic coil.
---------------------------------------------------------------------------

2. Approach for Exclusion of Certain Components
a. Proposals
    Appendix F of AHRI 390-2021 provides discussion of components which 
would not be considered in representations, and provides instructions, 
either to neutralize their impact during testing, or for determining 
representations for individual models with such components based on 
other individual models that do not include them.
    Instead of referencing Appendix F of AHRI 390-2021, DOE tentatively 
determined in the January 2022 NOPR that it would be necessary to 
include related provisions in the proposed appendix G1 test procedure 
and in the proposed representation requirements at 10 CFR 429.43. 87 FR 
2490, 2508. DOE noted that this revised approach would provide more 
detailed direction and clarity between test procedure provisions (i.e., 
how to test a specific unit) and certification and enforcement 
provisions (e.g., which model to test). Specifically, DOE proposed to 
include provisions for certain specific components to limit their 
impact on measured efficiency during testing. 87 FR 2490, 2507-2508. 
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 listing 
the components for which these provisions would apply (Desiccant 
Dehumidification Components, Air Economizers, Ventilation Energy 
Recovery System (``VERS''), Steam/Hydronic Heat Coils, Hot Gas Reheat, 
Fire/Smoke/Isolation Dampers, Powered Exhaust/Powered Return Air Fans, 
Hot Gas Bypass). 87 FR 2490, 2507-2508, 2517. Finally, DOE proposed 
specific product enforcement provisions in 10 CFR 429.134 indicating 
that DOE would conduct enforcement testing on individual models that 
don't include the components listed in the aforementioned table, except 
in certain circumstances. 87 FR 2490, 2507-2508.
b. General Comments
    In response to the January 2022 NOPR, Lennox supported DOE's 
proposal, noting that the approach would allow testing a unit without 
one of the listed optional features if a manufacturer distributes in 
commerce an otherwise identical unit without the optional feature. 
(Lennox, No. 12, p. 3)
    AHRI commented their support of the proposed set up and test 
provisions for specific components. (AHRI, No. 17, p. 12) AHRI also 
recommended that the DOE Enforcement Policy be modified to exclude 
SPVUs to prevent confusion (AHRI, Public Meeting Transcript, No. 11, 
pg. 25 -26) AHRI noted that the STI may need to include instructions 
for the component. They asserted that it would be important to indicate 
that efficiency ratings were developed without specific components, if 
also offered for sale by the manufacturer, even if it is included as a 
factory-installed option. (AHRI, No. 17, pp. 12-13) No comments 
received specifically addressed the general restructuring of the 
provisions in the regulations.
    In this final rule, DOE is adopting its proposals in the January 
2022 NOPR for exclusion of certain components, with some additional 
simplifications to further improve clarity. The different aspects of 
the provisions are described in the following sections.
c. Test Provisions of 10 CFR Part 431, Appendix G1
    DOE is adopting test provisions at 10 CFR part 431, appendix G1, 
section 4, to prescribe how certain components must be configured for 
testing, as proposed in the January 2022 NOPR. Specifically, DOE is 
requiring in appendix G1 that steps be taken during unit setup and 
testing to limit the impacts on the measurement of these components:

 Desiccant Dehumidification Components
 Air Economizers
 Fresh Air Dampers
 Hail Guards
 Power Correction Capacitors
 Ventilation Energy Recovery System (VERS)
 Barometric Relief Dampers
 UV Lights
 Steam/Hydronic Heat Coils
 Hot Gas Reheat
 Sound Traps/Sound Attenuators
 Fire/Smoke/Isolation Dampers

    The components are listed and described in table 4.1 in section 4 
of the new appendix G1, and test provisions for them are provided in 
the table.
d. Representation Provisions of 10 CFR 429.43
    As discussed, in the January 2022 NOPR, 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 \12\ listing the components for which these 
provisions would apply (Desiccant Dehumidification Components, Air 
Economizers, Ventilation Energy Recovery System (VERS), Steam Hydronic 
Heat Coils, Hot Gas Reheat, Fire/Smoke/Isolation Dampers, Powered 
Exhaust/Powered Return Air Fans, Sound Traps/Sound Attenuators, Hot Gas 
Bypass). 87 FR 2490, 2507-2508, 2517. In this final rule, DOE is making 
two clarifications to the representation requirements as proposed in 
the January 2022 NOPR.
---------------------------------------------------------------------------

    \12\ In the January 2022 NOPR, this table was referred to as 
``Table 1'', but due to the publication of other test procedure 
actions, from this point forward, it will be referred to as ``table 
4 to paragraph (a)(3)(iii)(A) of 10 CFR 429.43''.
---------------------------------------------------------------------------

    First, DOE is specifying that the basic model representation must 
be based on the least-efficient individual model that is a part of the 
basic model, and clarifying how this long-standing basic model 
provision interacts with the component treatment in Sec.  429.43 that 
this final rule adopts. Adoption of this clarification in the 
regulatory text is consistent with the January 2022 NOPR, in which DOE 
noted that in some cases, individual models may include more than one 
of the specified components or there may be individual models within a 
basic model that include various

[[Page 75160]]

dehumidification components that result in more or less energy use. 87 
FR 2490, 2507-2508. In such cases, DOE stated that the represented 
values of performance must be representative of the individual model 
with the lowest efficiency found within the basic model. Id. DOE 
believes regulated entities may benefit from clarity in the regulatory 
text as to how the least efficient individual model within a basic 
model provision works with the component treatment for SPVUs. The 
amendments in this final rule explicitly state that the exclusion of 
the specified components from consideration in determining basic model 
efficiency in certain scenarios is an exception to basing 
representations on the least efficient individual model within a basic 
model. In other words, the components listed in Sec.  429.43 are not 
being considered as part of the representation under DOE's regulatory 
framework if certain conditions are met as discussed in the following 
paragraphs and thus, their impact on efficiency is not reflected in the 
representation. In this case, the basic model's representation is 
generally determined by applying the testing and sampling provisions to 
the least efficient individual model in the basic model that does not 
have a component listed in Sec.  429.43.
    Second, DOE is also clarifying instructions for instances where 
individual models within a basic model may have more than one of the 
specified components and there may be no individual model without any 
of the specified components. DOE is adopting the concept of an 
``otherwise comparable model group'' (``OCMG'') instead of using the 
proposed ``otherwise identical'' provisions. DOE relies on the term 
``comparable'' as opposed to ``identical'' to indicate that components 
that impact energy consumption as measured by the applicable test 
procedure are the relevant components to consider for the purpose of 
representations. Differences such as unit color and presence of utility 
outlets would therefore not warrant separate OCMGs. DOE developed a 
document of examples to illustrate the approach proposed in this NOPR 
for determining represented values for SPVUs with specific components, 
and in particular the OCMG concept. See EERE-2017-BT-TP-0020.
    An OCMG is a group of individual models within the basic model that 
do not differ in components that affect energy consumption as measured 
according to the applicable test procedure other than the specific 
components listed in table 4 to paragraph (a)(3)(iii)(A) of Sec.  
429.43. An OCMG may include individual models with any combination of 
such specified components, including no specified components, and an 
OCMG can be one individual model. Because every model within each OCMG 
is within the definition of the basic model, a basic model can be 
composed of multiple OCMGs. Each OCMG represents a unique combination 
of components that affect energy consumption, as measured according to 
the applicable test procedure, other than the specified components 
listed in table 4 to paragraph (a)(3)(iii)(A) of Sec.  429.43--this 
means that a new combination of such components requires the creation 
of a new OCMG. For example, a manufacturer might include two tiers of 
control system within the same basic model, in which one of the control 
systems has sophisticated diagnostics capabilities that require a more 
powerful control board with a higher wattage input. SPVU individual 
models with the ``standard'' control system would be part of OCMG A, 
while individual models with the ``premium'' control system would be 
part of a different OCMG B, since the control system is a component 
that affects energy consumption and is not one of the specified exempt 
components listed in table 4 to paragraph (a)(3)(iii)(A) of Sec.  
429.43. However, OCMG A and OCMG B both may include individual models 
with different combinations of steam/hydronic coils, sound traps, and 
VERS preheat. Both OCMGs may include any combination of characteristics 
that do not affect the efficiency measurement, such as paint color.
    The OCMG is used to identify which individual models are used to 
determine a represented value for the basic model. Specifically, only 
the individual model(s) with the least number (which could be zero) of 
the specific components listed in table 4 to paragraph (a)(3)(iii)(A) 
of Sec.  429.43 is considered when identifying the individual model. 
This clarifies which individual models are exempted from consideration 
for determination of represented values in the case of an OCMG with 
multiple specified components and no individual models with zero 
specific components listed in table 4 to paragraph (a)(3)(iii)(A) of 
Sec.  429.43. Models with a number of specific components listed in 
table 4 to paragraph (a)(3)(iii)(A) of Sec.  429.43 greater than the 
model(s) with the least number in the OCMG are exempted from 
consideration. In the case that the OCMG includes an individual model 
with no specific components listed in table 4 to paragraph 
(a)(3)(iii)(A) of Sec.  429.43, then all individual models in the OCMG 
with any specified components would be exempted from consideration. 
Among the remaining non-exempted models, the least efficient individual 
model across the OCMGs would be used to determine the representation of 
the basic model. In the case where there are multiple individual models 
within a single OCMG with the same non-zero least number of specified 
components, the least efficient of these would be considered.
    The use of the OCMG concept results in representations being based 
on the same individual models as the approach proposed in the January 
2022 NOPR, i.e., the represented values of performance are 
representative of the individual model(s) with the lowest efficiency 
found within the basic model, excluding certain individual models with 
the specific components listed in table 4 to paragraph (a)(3)(iii)(A) 
of Sec.  429.43. However, the approach as adopted in this final rule is 
structured to more explicitly address individual models with more than 
one of the specific components listed in table 4 to paragraph 
(a)(3)(iii)(A) of Sec.  429.43, as well as instances in which there is 
no comparable model without any of the specified components.
    AHRI commented in response to the NOPR that one item already 
included in the DOE Enforcement Policy for Small, Large, and Very 
Large, Air[hyphen]Cooled, Water[hyphen]Cooled, and 
Evaporatively[hyphen]Cooled Commercial Package Air Conditioners and 
Heat Pumps that should be considered for inclusion is coated coils. 
They stated that the description of this component in the DOE 
Enforcement Policy is adequate, but that coated coils should not be 
specified for test units, as units are always available without 
coating. (AHRI, No. 17, p. 12)
    In response to AHRI's comment that coated coils should be included, 
DOE is excluding coated coils from the specific components list 
specified in 10 CFR 429.43 because DOE has tentatively concluded that 
the presence of coated coils does not result in a significant impact to 
performance of SPVUs, and, therefore, models with coated coils should 
be rated based on performance of models with coated coils present 
(rather than based on performance of an individual model within an OCMG 
without coated coils).
e. Enforcement Provisions of 10 CFR 429.134
    In the January 2022 NOPR DOE sought to address SPVUs that include 
specified excluded components both in

[[Page 75161]]

the requirements for representation (i.e., 10 CFR 429.43) and in the 
equipment specific enforcement provisions for assessing compliance 
(i.e., 10 CFR 429.134). 87 FR 2490, 2507-2508.
    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 SPVU that include the specified components in 10 CFR 
429.43, and is not including parallel direction in the enforcement 
provisions of 10 CFR 429.134 established in this final rule. However, 
DOE is finalizing the provision that allows enforcement testing of 
alternative individual models with specific components, if DOE cannot 
obtain for test the individual models without the components that are 
the basis of representation.

F. Represented Values

1. Multiple Refrigerants
    In the January 2022 NOPR, DOE noted that some commercial package 
air conditioning and heating equipment may be sold with more than one 
refrigerant option, and that DOE has identified at least one commercial 
package air conditioning and heating equipment manufacturer that 
provides two refrigerant options under the same model number. 87 FR 
2490, 2508-2509. DOE noted that the use of a refrigerant that requires 
different hardware (such as R-407C as compared to R-410A) would 
represent a different basic model, and according to the current CFR, 
separate representations of energy efficiency are required for each 
basic model. DOE also noted that some refrigerants (such as R-422D and 
R-427A) would not require different hardware, and a manufacturer may 
consider them to be the same basic model. In the January 2022 NOPR, DOE 
requested comment on a proposal to specify that a manufacturer must 
determine the represented values for that basic model based on the 
refrigerant(s)--among all refrigerants listed on the unit's nameplate--
that result in the lowest cooling efficiency. Id.
    In response to the NOPR, Lennox and AHRI supported DOE's proposal. 
(Lennox, No. 12, p. 3; AHRI, No. 17, p. 13) The CA IOUs commented that 
they support the multiple refrigerants proposal. They asserted that 
this would provide the marketplace with the most conservative 
assessment of equipment performance, while limiting test and reporting 
burden for manufacturers. However, they urged DOE to allow optional 
representations for more efficient refrigerants. The CA IOUs commented 
that DOE should allow manufacturers the option to publish additional 
ratings for equipment with different refrigerants and highlight 
equipment with similar components that can reliably operate with 
better-performing refrigerants. They commented that the ratings for 
commercial refrigeration equipment include more than one refrigerant. 
Finally, they suggested listing each refrigerant's global warming 
potential alongside the performance information. (CA IOUs, No. 13, p. 
4)
    In response to the CA IOUs comment concerning optional 
representations for an SPVU basic model that would reflect individual 
models using more-efficient refrigerants, the basic model definition 
for an SPVU requires the same or comparably performing compressor(s) in 
order for two units to be considered the same basic model. 10 CFR 
431.92(3). Therefore, if a manufacturer offers individual models that 
have different refrigerants necessitating different compressors, then 
the manufacturer must certify each model that uses a different 
refrigerant as a distinct basic model number and must determine 
separate represented values for each basic model. As discussed in the 
January 2022 NOPR, DOE identified at least one commercial package air 
conditioning and heating equipment manufacturer that provides two 
refrigerant options under the same model number. 87 FR 2490, 2508. 
However, DOE understands that SPVUs are typically designed for use with 
only a single type of refrigerant and are incompatible with other 
refrigerants. DOE is not aware of any cases of SPVUs that are designed 
to operate with interchangeable refrigerants, and the CA IOUs did not 
identify the existence of any such systems in their comment.
    As discussed in section III.E.2 of this final rule, DOE is 
generally clarifying in 10 CFR 429.43(a)(3)(iii)(A) that 
representations for a SPVU basic model must be based on the least 
efficient individual model(s) distributed in commerce within the basic 
model (with the exception specified in 10 CFR 429.43(a)(3)(iii)(A) for 
certain individual models with the components listed in table 4 to 
Sec.  429.43(a)(3)(iii)(A); this list does not include different 
refrigerants). Therefore, upon further consideration, DOE has 
determined that the content of the proposal in the January 2022 NOPR 
regarding multiple refrigerants is included and clarified in the 
provision adopted at 10 CFR 429.43(a)(3)(iii)(A), and that the 
refrigerant-specific provisions proposed in the January 2022 NOPR at 10 
CFR 429.43(a)(3) would be redundant. As such, in this final rule, DOE 
is not adopting the refrigerant specific language proposed in the 
January 2022 NOPR.
    In regard to the CA IOUs' suggestion that the global warming 
potential (``GWP'') of each refrigerant be listed along with the 
performance information, it is unclear whether this suggestion was 
intended to propose changes to DOE's representation or certification 
requirements for SPVUs, or whether this suggestion was directed at 
manufacturers for inclusion in their marketing materials. The GWP 
values for refrigerants are determined by the United Nations 
Environment Programme (UNEP) Intergovernmental Panel on Climate Change 
(IPCC) and are publicly available.\13\ Further, the CA IOUs did not 
provide any rationale for DOE to include refrigerant GWP in its 
regulations for SPVUs. Therefore, DOE is not making any changes to the 
representation or certification requirements for SPVUs related to 
refrigerant GWP values.
---------------------------------------------------------------------------

    \13\ The IPCC periodically conducts assessment reports that can 
impact the numerical values of GWP for each refrigerant. Also, the 
IPCC provides GWP values over different time horizons (i.e., 50, 
100, and 500 years) to reflect the relative warming potential of 
refrigerants compared to CO2 for the same time spans. The 
GWP values provided by the fourth assessment report and for the 100-
year time horizon ``AR4-100yr'' GWP values are most commonly used in 
international and inter-agency processes, such as the Kigali 
Amendment to the Montreal Protocol and the American Innovation and 
Manufacturing ``AIM'' Act. GWP values from the fourth assessment 
report can be found at https://archive.ipcc.ch/publications_and_data/ar4/wg1/en/ch2s2-10-2.html.
---------------------------------------------------------------------------

2. Cooling Capacity
    For SPVUs, cooling capacity determines equipment class, which in 
turn determines the applicable energy conservation standard. 10 CFR 
431.97. In the January 2022 NOPR, DOE noted that while cooling capacity 
is a required represented value for SPVUs, DOE does not currently 
specify provisions for SPVUs regarding how close the represented value 
of cooling capacity must be to the tested or alternative energy-
efficiency determination method (``AEDM'') simulated cooling capacity, 
or whether DOE will use measured or certified cooling capacity to 
determine equipment class for enforcement testing. DOE proposed to add 
to its regulations the following provisions regarding

[[Page 75162]]

cooling capacity for SPVUs: (1) a requirement that the represented 
cooling capacity be between 95 percent and 100 percent of the tested or 
AEDM-simulated cooling capacity; and (2) an enforcement provision 
stating that DOE would use the mean of measured cooling capacity values 
from testing, rather than the certified cooling capacity, to determine 
the applicable standards. 87 FR 2490, 2509.
    AHRI supported DOE's proposal that the represented cooling capacity 
be between 95 percent and 100 percent of the tested or AEDM-simulated 
cooling capacity. However, AHRI commented that DOE's proposed 
enforcement provision of using the mean of measured cooling capacity 
values from testing to determine the applicable standards, rather than 
the certified cooling capacity, is different from other commercial 
equipment. (Public Meeting Transcript, No. 11, p. 31)
    AHRI recommended DOE apply enforcement provisions similar to those 
for the enforcement provisions for packaged terminal air conditioners 
(``PTACs''), which specifies in paragraph (e) of 10 CFR 429.134 that if 
the certified cooling capacity is found to be ``valid'' based on the 5 
percent allowance to the tested mean, the reported certified value of 
cooling capacity is used in the next steps of decision making rather 
than just the mean itself. AHRI noted that this five percent allowance 
is also present today for portable air conditioners, water heaters, and 
dehumidifiers. AHRI stated that using just the mean of the 
measurement(s) to determine the applicable standard with which the 
model must comply is too restrictive and does not follow precedence set 
by similar products. (AHRI, No. 17, p. 13)
    DOE acknowledges the enforcement provisions for PTACs specified in 
paragraph (e) of 10 CFR 429.134 are different than the enforcement 
provisions for commercial package air-conditioning and heating 
equipment. DOE notes that the efficiency standards for PTACs are 
linearly variable with capacity (i.e., a change in PTAC capacity 
changes the minimum efficiency required). This is significantly 
different than for SPVUs, which has standards based on equipment 
classes that are differentiated based on fixed capacity thresholds. DOE 
notes that the provisions proposed in the January 2022 NOPR are 
consistent with the current enforcement provisions for commercial 
package air-conditioning and heating equipment (see paragraph (g) of 10 
CFR 429.134), which have similar capacity thresholds for equipment 
classes and also have fixed efficiency standards within each class. To 
maintain consistency with the approach used for other commercial air 
conditioning and heating equipment with equipment classes based on 
fixed capacity thresholds, DOE is adopting the enforcement provisions 
specifying that DOE would use the mean of measured cooling capacity 
values from testing to determine the applicable standards.

G. 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, compliance 
with the amended test procedure does not require use of such modified 
test procedure provisions until the compliance date of updated 
standards.

H. Test Procedure Costs

    In the January 2022 NOPR, DOE tentatively determined that the 
proposed amended test procedures for SPVUs would be representative of 
an average use cycle and would not be unduly burdensome for 
manufacturers to conduct. DOE noted that the proposed test procedure in 
appendix G for measuring EER and COP would not increase testing costs 
per unit compared to the current DOE test procedure. 87 FR 2490, 2509.
    DOE also noted in the January 2022 NOPR that the proposed test 
procedure provisions regarding IEER in appendix G1 would not be 
mandatory unless and until DOE adopts energy conservation standards 
that specify IEER as the regulatory metric and compliance with such 
standards is required. Given that most SPVU manufacturers are AHRI 
members and that DOE is referencing the prevailing industry test 
procedure, DOE stated that it expects manufacturers will already be 
testing using the IEER test method. Based on this, DOE determined that 
the proposed test procedure amendments would not be expected to 
increase the testing burden on most SPVU manufacturers. Additionally, 
DOE determined that the test procedure amendments, if finalized, would 
not require manufacturers to redesign any of the covered equipment, 
would not require changes to how the equipment is manufactured, and 
would not impact the utility of the equipment. 87 FR 2490, 2509-2510.
    In the January 2022 NOPR, DOE requested comment on its 
understanding of the impact the test procedure proposals in the NOPR, 
specifically on DOE's conclusion that manufacturers would not increase 
testing burden on SPVU manufacturers. 87 FR 2490, 2510. Lennox noted 
that industry was preparing to transition to AHRI 390-2021, and agreed 
that the proposed test procedure would not unduly increase test burden 
as compared to AHRI 390-2021 when fully implemented. (Lennox, No. 12 at 
p. 3)
    Consistent with what DOE determined in the January 2022 NOPR, DOE 
has determined that by incorporating by reference the revised industry 
test standard, AHRI 390-2021, the test procedure DOE is establishing 
(appendices G and G1) is consistent with the industry standard and will 
not add undue industry test burden or incur any additional tests costs.

IV. Procedural Issues and Regulatory Review

A. Review Under Executive Orders 12866 and 13563

    Executive Order (``E.O.'') 12866, ``Regulatory Planning and 
Review,'' as supplemented and reaffirmed by E.O. 13563, ``Improving 
Regulation and Regulatory Review, 76 FR 3821 (Jan. 21, 2011), requires 
agencies, to the extent permitted by law, to (1) propose or adopt a 
regulation only upon a reasoned determination that its benefits justify 
its costs (recognizing that some benefits and costs are difficult to 
quantify); (2) tailor regulations to impose the least burden on 
society, consistent with obtaining regulatory objectives, taking into 
account, among other things, and to the extent practicable, the costs 
of cumulative regulations; (3) select, in choosing among alternative 
regulatory approaches, those approaches that maximize net benefits 
(including potential economic, environmental, public health and safety, 
and other advantages; distributive impacts; and equity); (4) to the 
extent feasible, specify performance objectives, rather than specifying 
the behavior or manner of compliance that regulated entities must 
adopt; and (5) identify and assess available alternatives to direct 
regulation, including providing economic incentives to encourage the 
desired behavior, such as user fees or marketable permits, or providing 
information upon which choices can be made by the public. DOE 
emphasizes as well that E.O. 13563 requires agencies to

[[Page 75163]]

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 policies and procedures published on February 
19, 2003.
    For manufacturers of SPVU equipment, the SBA considers a business 
entity to be small business if, together with its affiliates, it 
employs less than a threshold number of workers specified in 13 CFR 
part 121. SPVU manufacturers, who produce the equipment covered by this 
rule, are classified under NAICS code 333415, ``Air-Conditioning and 
Warm Air Heating Equipment and Commercial and Industrial Refrigeration 
Equipment Manufacturing.'' In 13 CFR 121.201, the SBA sets a threshold 
of 1,250 employees or fewer for an entity to be considered as a small 
business for this category. This employee threshold includes all 
employees in a business's parent company and any other subsidiaries.
    DOE identified manufacturers using DOE's CCD for SPVUs,\14\ the 
California Energy Commission's Modernized Appliance Efficiency Database 
System (``MAEDbS''),\15\ and prior rulemakings. Additionally, DOE used 
publicly-available information and subscription-based market research 
tools (e.g., reports from Dun & Bradstreet \16\) to determine 
headcount, revenue, and geographic presence of the small businesses. 
DOE screened out companies that do not meet the definition of ``small 
business'' or are foreign-owned and operated.
---------------------------------------------------------------------------

    \14\ DOE's Compliance Certification Database is available at: 
www.regulations.doe.gov/ccms (last accessed April 29, 2022).
    \15\ California Energy Commission's MAEDbS is available at 
cacertappliances.energy.ca.gov/Pages/ApplianceSearch.aspx (last 
accessed April 29, 2022).
    \16\ Dun & Bradstreet reports are available at: 
app.dnbhoovers.com (last access April 29, 2022).
---------------------------------------------------------------------------

    As noted in the January 2022 NOPR, DOE initially identified a total 
of eight companies that manufacture or private label SPVUs in the 
United States. Of these eight companies, DOE identified two as domestic 
small businesses. 87 FR 2490, 2511. Based on further analysis, DOE 
revised its count to five manufacturers of SPVUs, of which one was 
identified as a domestic small business.
    DOE received a comment from AHRI that the following companies could 
be small business SPVU manufacturers: Bard Manufacturing Company, 
Marvair, Systemair, Temspec, and United CoolAir. (AHRI, No. 17, pg. 14) 
DOE identified Bard Manufacturing Company as a domestic small business 
in its Regulatory Flexibility Analysis. The remaining companies listed 
by AHRI were not considered in the Regulatory Flexibility Analysis due 
to the headcount of their business's parent company and any other 
subsidiaries, due to foreign ownership, or due to the fact that they do 
not offer equipment that meet the definition of a SPVU.
    In this final rule, DOE (1) incorporates by reference AHRI 390-
2021, (2) establishes the definitions for single-phase single package 
vertical air conditioner with cooling capacity less than 65,000 Btu/h'' 
and ``single-phase single package vertical heat pump with cooling 
capacity less than 65,000 Btu/h,'' and (3) includes provisions for 
testing when certain components are present.
    Based on review of AHRI 390-2021, DOE determined that the proposed 
test procedure in appendix G for measuring EER and COP would not 
increase testing costs per unit compared to the current DOE test 
procedure. Additionally, DOE determined that the proposed test 
procedure in appendix G1 for measuring IEER and COP would be unlikely 
to significantly increase burden, given that most SPVU manufacturers 
are AHRI members, and that DOE is referencing the prevailing industry 
test procedure that was established for use in AHRI's certification 
program. Furthermore, the sole identified small business that 
manufacturers SPVUs is an AHRI member. Lastly, DOE determined that the 
amended test procedure would not require manufacturers to redesign any 
of the covered equipment, would not require changes to how the 
equipment is manufactured, and would not impact the utility of the 
equipment.
    While DOE assumed that all SPVU manufacturers will be using the 
industry test procedure, AHRI 390-2021, DOE determined the potential 
re-rating cost for the small business. This small business would only 
incur re-rating costs if not using the AHRI 390-2021 test procedure to 
test their SPVU models. DOE estimated the cost for this small business 
to re-rate all models to be $30,200 while making use of an AEDM. DOE 
estimates this to be less than 1 percent of revenue for the small 
manufacturer.
    As noted, DOE has determined that manufacturers would only incur 
additional testing burden should they not already be testing to current 
industry practice indicated by AHRI 390-2021. Should the sole small 
business not be testing to AHRI 390-2021, DOE determined the potential 
cost impacts on the small business to represent less than 1 percent of 
annual revenue. Therefore, on the basis of the de minimis compliance 
burden, DOE certifies that this final rule does not have a 
``significant economic impact on a substantial number of small 
entities,'' and that the preparation of a FRFA is not warranted. DOE 
will transmit 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 SPVUs 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

[[Page 75164]]

procedures. DOE has established regulations for the certification and 
recordkeeping requirements for all covered consumer products and 
commercial equipment, including SPVUs. (See generally 10 CFR part 429.) 
The collection-of-information requirement for the certification and 
recordkeeping is subject to review and approval by OMB under the 
Paperwork Reduction Act (PRA). This requirement has been approved by 
OMB under OMB control number 1910-1400. Public reporting burden for the 
certification is estimated to average 35 hours per response, including 
the time for reviewing instructions, searching existing data sources, 
gathering and maintaining the data needed, and completing and reviewing 
the collection of information.
    Notwithstanding any other provision of the law, no person is 
required to respond to, nor shall any person be subject to a penalty 
for failure to comply with, a collection of information subject to the 
requirements of the PRA, unless that collection of information displays 
a currently valid OMB Control Number.

D. Review Under the National Environmental Policy Act of 1969

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

F. Review Under Executive Order 12988

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

G. Review Under the Unfunded Mandates Reform Act of 1995

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

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

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

I. Review Under Executive Order 12630

    DOE has determined, under Executive Order 12630, ``Governmental 
Actions and Interference with Constitutionally Protected Property 
Rights,'' 53 FR 8859 (March 18, 1988), that this regulation

[[Page 75165]]

will not result in any takings that might require compensation under 
the Fifth Amendment to the U.S. Constitution.

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

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

K. Review Under Executive Order 13211

    Executive Order 13211, ``Actions Concerning Regulations That 
Significantly Affect Energy Supply, Distribution, or Use,'' 66 FR 28355 
(May 22, 2001), requires Federal agencies to prepare and submit to OMB, 
a Statement of Energy Effects for any significant energy action. A 
``significant energy action'' is defined as any action by an agency 
that promulgated or is expected to lead to promulgation of a final 
rule, and that (1) is a significant regulatory action under Executive 
Order 12866, or any successor order; and (2) is likely to have a 
significant adverse effect on the supply, distribution, or use of 
energy; or (3) is designated by the Administrator of OIRA as a 
significant energy action. For any significant energy action, the 
agency must give a detailed statement of any adverse effects on energy 
supply, distribution, or use if the regulation is implemented, and of 
reasonable alternatives to the action and their expected benefits on 
energy supply, distribution, and use.
    This regulatory action is not a significant regulatory action under 
Executive Order 12866. Moreover, it would not have a significant 
adverse effect on the supply, distribution, or use of energy, nor has 
it been designated as a significant energy action by the Administrator 
of OIRA. Therefore, it is not a significant energy action, and, 
accordingly, DOE has not prepared a Statement of Energy Effects.

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

    Under section 301 of the Department of Energy Organization Act 
(Pub. L. 95-91; 42 U.S.C. 7101), DOE must comply with section 32 of the 
Federal Energy Administration Act of 1974, as amended by the Federal 
Energy Administration Authorization Act of 1977. (15 U.S.C. 788; 
``FEAA'') Section 32 essentially provides in relevant part that, where 
a proposed rule authorizes or requires use of commercial standards, the 
notice of proposed rulemaking must inform the public of the use and 
background of such standards. In addition, section 32(c) requires DOE 
to consult with the Attorney General and the Chairman of the Federal 
Trade Commission (``FTC'') concerning the impact of the commercial or 
industry standards on competition.
    The modifications to the test procedure for SPVUs adopted in this 
final rule incorporates testing methods contained in certain sections 
of the following commercial standards: AHRI 390-2021, ANSI/ASHRAE 37-
2009, and ANSI/ASHRAE 41.2-1987 (RA 92). DOE has evaluated these 
standards and is unable to conclude whether it fully complies with the 
requirements of section 32(b) of the FEAA (i.e., whether it was 
developed in a manner that fully provides for public participation, 
comment, and review). DOE has consulted with both the Attorney General 
and the Chairman of the FTC about the impact on competition of using 
the methods contained in these standards and has received no comments 
objecting to their use.

M. Congressional Notification

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

N. Description of Materials Incorporated by Reference

    DOE incorporates by reference the following standards:

AHRI 390-2021. Specifically, the test procedure codified by this 
final rule references sections 3 (except 3.1, 3.2, 3.5, 3.12, and 
3.15), 5 (except section 5.8.5), 6 (except 6.1.1, 6.2, 6.3, 6.4, and 
6.5), appendices A, D, and E of the industry test method. AHRI 390-
2021 is an industry-accepted test procedure for measuring the 
performance of SPVUs. AHRI 390-2021 is available online at 
www.ahrinet.org/search-standards.aspx.
ANSI/ASHRAE 37-2009. This is an industry-accepted test procedure for 
measuring the performance of electrically driven unitary air-
conditioning and heat pump equipment. ANSI/ASHRAE 37-2009 is 
available on ANSI's website at https://webstore.ansi.org/RecordDetail.aspx?sku=ANSI%2FASHRAE+Standard+37-2009.
ANSI/ASHRAE 41.2-1987 (RA 92). This is an industry-accepted test 
procedure for consistent measurement procedures for use in the 
preparation of other ASHRAE standards. Procedures described are used 
in testing air-moving, air-handling, and air-distribution equipment 
and components. ANSI/ASHRAE 41.2-1987 (RA 92) is available on ANSI's 
website at https://webstore.ansi.org/Standards/ASHRAE/ANSIASHRAE411987RA92.

    The following standards were previously approved for incorporation 
by reference in the locations where they appear in the regulatory text: 
AHRI 210/240-2008, AHRI 340/360-2007, AHRI 1230-2010, AHRAE 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 test procedures, Incorporation by 
reference, and Reporting and recordkeeping requirements.

Signing Authority

    This document of the Department of Energy was signed on November 
21, 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

[[Page 75166]]

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

    Signed in Washington, DC, on November 21, 2022.
Treena V. Garrett,
Federal Register Liaison Officer, U.S. Department of Energy.

    For the reasons stated in the preamble, DOE amends 10 CFR parts 429 
and 431 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. Redesignating paragraphs (c)(2) and (3) as paragraphs (c)(3) and 
(4);
0
b. Adding new paragraph (c)(2);
0
c. Redesignating paragraphs (d) through (f) as paragraphs (e) through
    (g); and
0
d. Adding new paragraph (d).
    The additions read as follows:


Sec.  429.4   Materials incorporated by reference.

* * * * *
    (c) * * *
    (2) AHRI Standard 390 (I-P)-2021, (``AHRI 390-2021''), 2021 
Standard for Performance Rating of Single Package Vertical Air-
conditioners And Heat Pumps, IBR approved for Sec.  429.134.
* * * * *
    (d) ASHRAE. The American Society of Heating, Refrigerating and Air-
Conditioning Engineers. 180 Technology Parkway NW, Peachtree Corners, 
GA 30092; (404) 636-8400, www.ashrae.org.
    (1) ANSI/ASHRAE Standard 37-2009 (``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.  429.134.
    (2) ANSI/ASHRAE 41.2-1987 (RA 92) (``ASHRAE 41.2-1987''), Standard 
Methods For Laboratory Airflow Measurement, ANSI reaffirmed April 22, 
1992; IBR approved for Sec.  429.134.
* * * * *

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


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

    (a) * * *
    (3) * * *
    (iii) Single package vertical units. When certifying to standards 
in terms of IEER, the following provisions apply.
    (A) For individual model selection:
    (1) Representations for a basic model must be based on the least 
efficient individual model(s) distributed in commerce among all 
otherwise comparable model groups comprising the basic model, except as 
provided in paragraph (a)(3)(iii)(A)(2) of this section for individual 
models that include components listed in table 4 to this paragraph 
(a)(3)(iii)(A). For the purpose of this paragraph (a)(3)(iii)(A)(1), 
``otherwise comparable model group'' means a group of individual models 
distributed in commerce within the basic model that do not differ in 
components that affect energy consumption as measured according to the 
applicable test procedure specified at 10 CFR 431.96 other than those 
listed in table 4 to this paragraph (a)(3)(iii)(A). An otherwise 
comparable model group may include individual models distributed in 
commerce with any combination of the components listed in table 4 (or 
none of the components listed in table 4). An otherwise comparable 
model group may consist of only one individual model.
    (2) For a basic model that includes individual models distributed 
in commerce with components listed in table 4 to this paragraph 
(a)(3)(iii)(A), the requirements for determining representations apply 
only to the individual model(s) of a specific otherwise comparable 
model group distributed in commerce with the least number (which could 
be zero) of components listed in table 4 included in individual models 
of the group. Testing under this paragraph (a)(3)(iii)(A)(2) shall be 
consistent with any component-specific test provisions specified in 
section 4 of appendix G1 to subpart F of 10 CFR part 431.

   Table 4 to Paragraph (a)(3)(iii)(A)--Specific Components for Single
                         Package Vertical Units
------------------------------------------------------------------------
             Component                           Description
------------------------------------------------------------------------
Desiccant Dehumidification          An assembly that reduces the
 Components.                         moisture content of the supply air
                                     through moisture transfer with
                                     solid or liquid desiccants.
Air Economizers...................  An automatic system that enables a
                                     cooling system to supply outdoor
                                     air to reduce or eliminate the need
                                     for mechanical cooling during mid
                                     or cold weather.
Ventilation Energy Recovery System  An assembly that preconditions
 (VERS).                             outdoor air entering the equipment
                                     through direct or indirect thermal
                                     and/or moisture exchange with the
                                     exhaust air, which is defined as
                                     the building air being exhausted to
                                     the outside from the equipment.
Steam/Hydronic Heat Coils.........  Coils used to provide supplemental
                                     heating.
Hot Gas Reheat....................  A heat exchanger located downstream
                                     of the indoor coil that heats the
                                     Supply Air during cooling operation
                                     using high pressure refrigerant in
                                     order to increase the ratio of
                                     moisture removal to Cooling
                                     Capacity provided by the equipment.
Fire/Smoke/Isolation Dampers......  A damper assembly including means to
                                     open and close the damper mounted
                                     at the supply or return duct
                                     opening of the equipment.
Powered Exhaust/Powered Return Air  A powered exhaust fan is a fan that
 Fans.                               transfers directly to the outside a
                                     portion of the building air that is
                                     returning to the unit, rather than
                                     allowing it to recirculate to the
                                     indoor coil and back to the
                                     building. A powered return fan is a
                                     fan that draws building air into
                                     the equipment.
Sound Traps/Sound Attenuators.....  An assembly of structures through
                                     which the supply air passes before
                                     leaving the equipment or through
                                     which the return air from the
                                     building passes immediately after
                                     entering the equipment for which
                                     the sound insertion loss is at
                                     least 6 dB for the 125 Hz octave
                                     band frequency range.
Hot Gas Bypass....................  A method to adjust the cooling
                                     delivered by the equipment in which
                                     some portion of the hot high-
                                     pressure refrigerant from the
                                     discharge of the compressor(s) is
                                     diverted from its normal flow to
                                     the outdoor coil and is instead
                                     allowed to enter the indoor coil to
                                     modulate the capacity of a
                                     refrigeration circuit or to prevent
                                     evaporator coil freezing.
------------------------------------------------------------------------


[[Page 75167]]

    (B) The represented value of cooling capacity must be between 95 
percent and 100 percent of the mean of the capacities measured for the 
units in the sample selected as described in paragraph (a)(1)(ii) of 
this section, or between 95 percent and 100 percent of the net sensible 
cooling capacity output simulated by the alternative energy-efficiency 
determination method (AEDM) as described in paragraph (a)(2) of this 
section.
    (C) Represented values must be based on performance (either through 
testing or by applying an AEDM) of individual models with components 
and features that are selected in accordance with section 4 of appendix 
G1 to subpart F of 10 CFR part 431.
* * * * *

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


Sec.  429.134  Product-specific enforcement provisions.

* * * * *
    (x) Single package vertical air conditioners and heat pumps. The 
following provisions apply for assessment and enforcement testing of 
models subject to standards in terms of IEER.
    (1) Verification of cooling capacity. The cooling capacity of each 
tested unit of the basic model will be measured pursuant to the test 
requirements of appendix G1 to subpart F of 10 CFR part 431. The mean 
of the measurement(s) will be used to determine the applicable 
standards for purposes of compliance.
    (2) Specific components. If a basic model includes individual 
models with components listed at table 4 to Sec.  429.43(a)(3)(iii)(A) 
and DOE is not able to obtain an individual model with the least number 
(which could be zero) of those components within an otherwise 
comparable model group (as defined in Sec.  429.43(a)(3)(iii)(A)(1)), 
DOE may test any individual model within the otherwise comparable model 
group.
    (3) Validation of outdoor ventilation airflow rate. The outdoor 
ventilation airflow rate in cubic feet per minute (``CFM'') of the 
basic model will be measured in accordance with ASHRAE 41.2-1987 and 
Section 6.4 of ASHRAE 37-2009 (both incorporated by reference, see 
Sec.  429.4). All references to the inlet shall be determined to mean 
the outdoor air inlet.
    (i) The outdoor ventilation airflow rate validation shall be 
conducted at the conditions specified in Table 3 of AHRI 390-2021 
(incorporated by reference, see Sec.  429.4), Full Load Standard Rating 
Capacity Test, Cooling, except for the following:
    The outdoor ventilation airflow rate shall be determined at 0 in. 
H2O external static pressure with a tolerance of -0.00/+0.05 
in. H2O.
    (ii) When validating the outdoor ventilation airflow rate, the 
outdoor air inlet pressure shall be 0.00 in. H2O, with a 
tolerance of -0.00/+0.05 in. H2O when measured against the 
room ambient pressure.

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

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

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


0
6. Amend Sec.  431.92 by:
0
a. Revising the definitions for ``Integrated energy efficiency ratio, 
or IEER'', ``Single package vertical air conditioner'', and ``Single 
package vertical heat pump''; and
0
b. Adding definitions for ``Single-phase single package vertical air 
conditioner with cooling capacity less than 65,000 Btu/h'' and 
``Single-phase single package vertical heat pump with cooling capacity 
less than 65,000 Btu/h'' in alphabetical order.
    The revisions and additions 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, 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), and measured per appendix G1 to this subpart for single 
package vertical air conditioners and single package vertical heat 
pumps.
* * * * *
    Single package vertical air conditioner means:
    (1) Air-cooled commercial package air conditioning and heating 
equipment that--
    (i) Is factory-assembled as a single package that--
    (A) Has major components that are arranged vertically;
    (B) Is an encased combination of cooling and optional heating 
components; and
    (C) Is intended for exterior mounting on, adjacent interior to, or 
through an outside wall;
    (ii) Is powered by a single-or 3-phase current;
    (iii) May contain 1 or more separate indoor grilles, outdoor 
louvers, various ventilation options, indoor free air discharges, 
ductwork, well plenum, or sleeves; and
    (iv) Has heating components that may include electrical resistance, 
steam, hot water, or gas, but may not include reverse-cycle 
refrigeration as a heating means; and
    (2) Includes single-phase single package vertical air conditioner 
with cooling capacity less than 65,000 Btu/h, as defined in this 
section.
    Single package vertical heat pump means:
    (1) A single package vertical air conditioner that--
    (i) Uses reverse-cycle refrigeration as its primary heat source; 
and
    (ii) May include secondary supplemental heating by means of 
electrical resistance, steam, hot water, or gas; and
    (2) Includes single-phase single package vertical heat pump with 
cooling capacity less than 65,000 Btu/h, as defined in this section.
    Single-phase single package vertical air conditioner with cooling 
capacity less than 65,000 Btu/h means air-cooled commercial package air 
conditioning and heating equipment that meets the criteria in 
paragraphs (1)(i) through (iv) of the definition for a single package 
vertical air conditioner in this section; that is single-phase; has a 
cooling capacity less than 65,000 Btu/h, and that:
    (1) Is weatherized, determined by a model being denoted for 
``Outdoor Use'' or marked as ``Suitable for Outdoor Use'' on the 
equipment nameplate; or
    (2) Is non-weatherized and is a model that has optional ventilation 
air provisions available. When such ventilation air provisions are 
present on the unit, the unit must be capable of drawing in and 
conditioning outdoor air for delivery to the conditioned space at a 
rate of at least 400 cubic feet per minute, as determined in accordance 
with Sec.  429.134(x)(3) of this chapter, while the equipment is 
operating with the same drive kit and motor settings used to determine 
the certified efficiency rating of the equipment (as required for 
submittal to DOE by Sec.  429.43(b)(4)(xi) of this chapter).
    Single-phase single package vertical heat pump with cooling 
capacity less

[[Page 75168]]

than 65,000 Btu/h means air-cooled commercial package air conditioning 
and heating equipment that meets the criteria in paragraphs (1)(i) and 
(ii) of the definition for a single package vertical heat pump in this 
section; that is single-phase; has a cooling capacity less than 65,000 
Btu/h, and that:
    (1) Is weatherized, determined by a model being denoted for 
``Outdoor Use'' or marked as ``Suitable for Outdoor Use'' on the 
equipment nameplate; or
    (2) Is non-weatherized and is a model that has optional ventilation 
air provisions available. When such ventilation air provisions are 
present on the unit, the unit must be capable of drawing in and 
conditioning outdoor air for delivery to the conditioned space at a 
rate of at least 400 cubic feet per minute, as determined in accordance 
with Sec.  429.134(x)(3) of this chapter, while the equipment is 
operating with the same drive kit and motor settings used to determine 
the certified efficiency rating of the equipment (as required for 
submittal to DOE by Sec.  429.43(b)(4)(xii) of this chapter).
* * * * *

0
7. Amend Sec.  431.95 by revising paragraphs (b)(4) and (c)(2) to read 
as follows:


Sec.  431.95  Materials incorporated by reference.

* * * * *
    (b) * * *
    (4) AHRI Standard 390(I-P)-2021 (``AHRI 390-2021''), 2021 Standard 
for Performance Rating of Single Package Vertical Air-Conditioners and 
Heat Pumps, copyright 2021; (AHRI 390-2021), IBR approved for 
appendices G and G1 to this subpart.
* * * * *
    (c) * * *
    (2) ANSI/ASHRAE Standard 37-2009 (``ANSI/ASHRAE 37-2009''), Methods 
of Testing for Rating Electrically Driven Unitary Air-Conditioning and 
Heat Pump Equipment, ASHRAE approved June 24, 2009, IBR approved for 
Sec.  431.96 and appendices A, B, D1, G, and G1 to this subpart.
* * * * *

0
8. Amend Sec.  431.96 by:
0
a. Revising paragraph (b)(1);
0
b. Revising table 1 to paragraph (b); and
0
c. Revising paragraph (c).
    The revisions 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 and capacity of each category 
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 G1 to this subpart, that apply to the energy 
efficiency descriptor for that equipment, category, and cooling 
capacity. The omitted sections of the test procedures listed in table 1 
must not be used. For equipment with multiple appendices listed in 
table 1, consult the notes at the beginning of those appendices to 
determine the applicable appendix to use for testing.
* * * * *

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

[[Page 75169]]

 
                                                             >=65,000 Btu/h and      SCOP.................  ASHRAE 127-2007 (omit  Paragraphs (c) and
                                                              <760,000 Btu/h.                                section 5.11).         (e).
Variable Refrigerant Flow Multi-     AC....................  <65,000 Btu/h (3-       SEER.................  HRI 1230-2010 (omit    Paragraphs (c), (d),
 split Systems.                                               phase).                                        sections 5.1.2 and     (e), and (f).
                                                                                                             6.6).
Variable Refrigerant Flow Multi-     HP....................  <65,000 Btu/h (3-       SEER and HSPF........  AHRI 1230-2010 (omit   Paragraphs (c), (d),
 split Systems, Air-cooled.                                   phase).                                        sections 5.1.2 and     (e), and (f)
                                                                                                             6.6).
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 this    None.
                                                              <760,000 Btu/h.                                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 this    None.
                                                                                                             subpart \2\.
Single Package Vertical Air          AC and HP.............  <760,000 Btu/h........  EER and COP..........  Appendix G to this     None.
 Conditioners and Single Package                                                                             subpart \3\.
 Vertical Heat Pumps.
                                                                                     EER, IEER, and COP...  Appendix G1 to this    None.
                                                                                                             subpart \3\.
Direct Expansion-Dedicated Outdoor   All...................  <324 lbs. of moisture   ISMRE2 and ISCOP2....  Appendix B to this     None.
 Air Systems.                                                 removal/hr.                                    subpart.
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\Incorporated by reference; see Sec.   431.95.
\2\ Moisture removal capacity applies only to direct expansion-dedicated outdoor air systems.
\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.

    (c) Optional break-in period for tests conducted using AHRI 210/
240-2008, AHRI 1230-2010, and ASHRAE 127-2007. 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 by AHRI 210/240-2008 or ASHRAE 127-2007 (incorporated by 
reference; see Sec.  431.95). A manufacturer who elects to use an 
optional compressor break-in period in its certification testing should 
record this information (including the duration) in the test data 
underlying the certified ratings that is required to be maintained 
under 10 CFR 429.71.
* * * * *

Appendix E to Subpart F of Part 431 [Added and Reserved]

0
9. Add reserved appendix E to subpart F of part 431.

Appendix F to Subpart F of Part 431 [Added and Reserved]

0
10. Add reserved appendix F to subpart F of part 431.

0
11. Add appendix G to subpart F of part 431 to read as follows:

Appendix G to Subpart F of Part 431--Uniform Test Method for Measuring 
the Energy Consumption of Single Package Vertical Air Conditioners and 
Single Package Vertical Heat Pumps

    Note: Prior to December 4, 2023, manufacturers must use the 
results of testing under either this appendix or Sec.  431.96 as it 
appeared in the 10 CFR parts 200-499 edition revised as of January 
1, 2021, to determine compliance with the relevant standard from 
Sec.  431.97 as that standard appeared in the January 1, 2021, 
edition of 10 CFR parts 200-499. On or after December 4, 2023, 
manufacturers must use the results of testing generated under this 
appendix to demonstrate compliance with the relevant standard from 
Sec.  431.97 as that standard appeared in the January 1, 2021, 
edition of 10 CFR parts 200-499.
    Beginning December 4, 2023, if manufacturers make voluntary 
representations with respect to the integrated energy efficiency 
ratio (IEER) of single packaged vertical air conditioners and single 
package vertical heat pumps, such representations must be based on 
testing conducted in accordance with appendix G1 to this subpart.
    For any amended standards for single packaged vertical air 
conditioners and single package vertical heat pumps based on IEER 
published after January 1, 2021, manufacturers must use the results 
of testing under appendix G1 to this subpart to determine 
compliance. Representations related to energy consumption must be 
made in accordance with the appropriate appendix that applies (i.e., 
this appendix or appendix G1) when determining compliance with the 
relevant standard. Manufacturers may also use appendix G1 to certify 
compliance with any amended standards prior to the applicable 
compliance date for those standards.

1. Incorporation by Reference.

    DOE incorporated by reference in Sec.  431.95 the entire 
standard for AHRI 390-2021 and ASHRAE 37-2009. However, only certain 
enumerated provisions of AHRI 390-2021 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 this appendix, the appendix provisions 
control, followed by AHRI 390-2021, followed by ANSI/ASHRAE 37-2009.
    1.1. Only the following provisions of AHRI 390-2021 apply:

(a) Section 3--Definitions (omitting sections 3.1, 3.2, 3.5, 3.12, 
and 3.15)

[[Page 75170]]

(b) Section 5--Test Requirements (omitting section 5.8.5)
(c) Section 6--Rating Requirements (omitting sections 6.1.1 and 6.2 
through 6.5)
(d) Appendix A. ``References--Normative''
(e) Appendix D. ``Indoor and Outdoor Air Condition Measurement--
Normative''
(f) Appendix E. ``Method of Testing Single Package Vertical Units--
Normative''

    1.2. All provisions of ANSI/ASHRAE 37-2009 apply except for the 
following provisions:

(a) Section 1--Purpose
(b) Section 2--Scope
(c) Section 4--Classifications

    2. General. Determine cooling capacity (Btu/h) and energy 
efficiency ratio (EER) for all single package vertical air 
conditioners and heat pumps and coefficient of performance (COP) for 
all single package vertical heat pumps, in accordance with the 
specified sections of AHRI 390-2021 and the specified sections of 
ANSI/ASHRAE 37-2009. Only identified provisions of AHRI 390-2021 are 
applicable and certain sections of ANSI/ASHRAE 37-2009 are 
inapplicable, as set forth in section 1 of this appendix. In 
addition, the instructions in section 3 of this appendix apply to 
determining EER and COP. Any subsequent amendment to a referenced 
document by a standard-setting organization will not affect the test 
procedure in this appendix, unless and until the test procedure is 
amended by DOE.
    3. Test Conditions. The ``Standard Rating Full Load Capacity 
Test, Cooling'' conditions for cooling mode tests and ``Standard 
Rating Full Load Capacity Test, Heating'' conditions for heat pump 
heating mode tests specified in Table 3 of section 5.8.3 of AHRI 
390-2021 shall be used.
    3.1. Optional Representations. Representations of COP for single 
package vertical heat pumps made using the ``Low Temperature 
Operation, Heating'' condition specified in Table 3 of section 5.8.3 
of AHRI 390-2021 are optional and are determined according to the 
applicable provisions in section 1 of this appendix.
    3.2. [Reserved]

0
12. Add appendix G1 to subpart F of part 431 to read as follows:

Appendix G1 to Subpart F of Part 431--Uniform Test Method for Measuring 
the Energy Consumption of Single Package Vertical Air Conditioners and 
Single Package Vertical Heat Pumps

    Note: Beginning December 4, 2023, if manufacturers make 
voluntary representations with respect to the integrated energy 
efficiency ratio (IEER) of single packaged vertical air conditioners 
and single package vertical heat pumps, such representations must be 
based on testing conducted in accordance with this appendix.
    Manufacturers must use the results of testing under this 
appendix to determine compliance with any amended standards for 
single packaged vertical air conditioners and single package 
vertical heat pumps based on IEER provided in Sec.  431.97 that are 
published after January 1, 2021. Representations related to energy 
consumption must be made in accordance with the appropriate appendix 
that applies (i.e., appendix G to this subpart or this appendix) 
when determining compliance with the relevant standard. 
Manufacturers may also use this appendix to certify compliance with 
any amended standards prior to the applicable compliance date for 
those standards.

1. Incorporation by Reference

    DOE incorporated by reference in Sec.  431.95 the entire 
standard for AHRI 390-2021 and ASHRAE 37-2009. However, only certain 
enumerated provisions of AHRI 390-2021 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 this appendix, the appendix provisions 
control, followed by AHRI 390-2021, followed by ANSI/ASHRAE 37-2009.
    1.1. Only the following provisions of AHRI 390-2021 apply:

(a) Section 3--Definitions (omitting sections 3.1, 3.2, 3.5, 3.12, 
and 3.15)
(b) Section 5--Test Requirements (omitting section 5.8.5)
c) Section 6--Rating Requirements (omitting sections 6.1.1 and 6.3 
through 6.5)
(d) Appendix A. ``References--Normative''
(e) Appendix D. ``Indoor and Outdoor Air Condition Measurement--
Normative''
(f) Appendix E. ``Method of Testing Single Package Vertical Units--
Normative''

    1.2. All provisions of ANSI/ASHRAE 37-2009 apply except for the 
following provisions:
(a) Section 1--Purpose
(b) Section 2--Scope
(c) Section 4--Classifications

    2. General. Determine cooling capacity (Btu/h) and integrated 
energy efficiency ratio (IEER) for all single package vertical air 
conditioners and heat pumps and coefficient of performance (COP) for 
all single package vertical heat pumps, in accordance with the 
specified sections of AHRI 390-2021and the specified sections of 
ANSI/ASHRAE 37-2009. Only identified provisions of AHRI 390-2021 and 
ANSI/ASHRAE 37-2009 are applicable, as set forth in section 1 of 
this appendix. In addition, the instructions in section 4 of this 
appendix apply to determining IEER and COP. Any subsequent amendment 
to a referenced document by a standard-setting organization will not 
affect the test procedure in this appendix, unless and until the 
test procedure is amended by DOE.
    3. Test Conditions. The ``Part-Load Standard Rating Conditions'' 
conditions for cooling mode tests and ``Standard Rating Full Load 
Capacity Test, Heating'' conditions for heat pump heating mode tests 
specified in Table 3 of section 5.8.3 of AHRI 390-2021 shall be 
used.
    3.1. Optional Representations. Representations of COP for single 
package vertical heat pumps made using the ``Low Temperature 
Operation, Heating'' condition specified in Table 3 of section 5.8.3 
of AHRI 390-2021 are optional and are determined according to the 
applicable provisions in section 1.1 of this appendix.
    4. Set-Up and Test Provisions for Specific Components. When 
testing a single package vertical unit (SPVU) that includes any of 
the features listed in table 4.1 to this appendix, test in 
accordance with the set-up and test provisions specified in table 
4.1 to this appendix.

           Table 4.1--Test Provisions for Specific Components
------------------------------------------------------------------------
            Component                 Description       Test provisions
------------------------------------------------------------------------
Desiccant Dehumidification        An assembly that    Disable desiccant
 Components.                       reduces the         dehumidification
                                   moisture content    components for
                                   of the supply air   testing.
                                   through moisture
                                   transfer with
                                   solid or liquid
                                   desiccants.
Air Economizers.................  An automatic        For any air
                                   system that         economizer that
                                   enables a cooling   is factory-
                                   system to supply    installed, place
                                   outdoor air to      the economizer in
                                   reduce or           the 100% return
                                   eliminate the       position and
                                   need for            close and seal
                                   mechanical          the outside air
                                   cooling during      dampers for
                                   mid or cold         testing. For any
                                   weather.            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-
                                   position in a       installed, close
                                   closed and one      and seal the
                                   open position to    dampers for
                                   allow air to be     testing. For any
                                   drawn into the      modular fresh air
                                   equipment when      dampers shipped
                                   the indoor fan is   with the unit but
                                   operating.          not factory-
                                                       installed, do not
                                                       install the
                                                       dampers for
                                                       testing.
Hail Guards.....................  A grille or         Remove hail guards
                                   similar structure   for testing.
                                   mounted to the
                                   outside of the
                                   unit covering the
                                   outdoor coil to
                                   protect the coil
                                   from hail, flying
                                   debris and damage
                                   from large
                                   objects.

[[Page 75171]]

 
Power Correction Capacitors.....  A capacitor that    Remove power
                                   increases the       correction
                                   power factor        capacitors for
                                   measured at the     testing.
                                   line connection
                                   to the equipment.
Ventilation Energy Recovery       An assembly that    For any VERS that
 System (VERS).                    preconditions       is factory-
                                   outdoor air         installed, place
                                   entering the        the VERS in the
                                   equipment through   100% return
                                   direct or           position and
                                   indirect thermal    close and seal
                                   and/or moisture     the outside air
                                   exchange with the   dampers and
                                   exhaust air,        exhaust air
                                   which is defined    dampers for
                                   as the building     testing, and do
                                   air being           not energize any
                                   exhausted to the    VERS
                                   outside from the    subcomponents
                                   equipment.          (e.g., energy
                                                       recovery wheel
                                                       motors). For any
                                                       VERS module
                                                       shipped with the
                                                       unit but not
                                                       factory-
                                                       installed, do not
                                                       install the VERS
                                                       for testing.
Barometric Relief Dampers.......  An assembly with    For any barometric
                                   dampers and means   relief dampers
                                   to automatically    that are factory-
                                   set the damper      installed, close
                                   position in a       and seal the
                                   closed position     dampers for
                                   and one or more     testing. For any
                                   open positions to   modular
                                   allow venting       barometric relief
                                   directly to the     dampers shipped
                                   outside a portion   with the unit but
                                   of the building     not factory-
                                   air that is         installed, do not
                                   returning to the    install the
                                   unit, rather than   dampers for
                                   allowing it to      testing.
                                   recirculate to
                                   the indoor coil
                                   and back to the
                                   building.
UV Lights.......................  A lighting fixture  Turn off UV lights
                                   and lamp mounted    for testing.
                                   so that it shines
                                   light on the
                                   indoor coil, that
                                   emits ultraviolet
                                   light to inhibit
                                   growth of
                                   organisms on the
                                   indoor coil
                                   surfaces, the
                                   condensate drip
                                   pan, and/other
                                   locations within
                                   the equipment.
Steam/Hydronic Heat Coils.......  Coils used to       Test with steam/
                                   provide             hydronic heat
                                   supplemental        coils in place
                                   heating.            but providing no
                                                       heat.
Hot Gas Reheat..................  A heat exchanger    De-activate
                                   located             refrigerant
                                   downstream of the   reheat coils for
                                   indoor coil that    testing so as to
                                   heats the Supply    provide the
                                   Air during          minimum (none if
                                   cooling operation   possible) reheat
                                   using high          achievable by the
                                   pressure            system controls.
                                   refrigerant in
                                   order to increase
                                   the ratio of
                                   moisture removal
                                   to Cooling
                                   Capacity provided
                                   by the equipment.
Sound Traps/Sound Attenuators...  An assembly of      Removable sound
                                   structures          traps/sound
                                   through which the   attenuators shall
                                   Supply Air passes   be removed for
                                   before leaving      testing.
                                   the equipment or    Otherwise, test
                                   through which the   with sound traps/
                                   return air from     attenuators in
                                   the building        place.
                                   passes
                                   immediately after
                                   entering the
                                   equipment for
                                   which the sound
                                   insertion loss is
                                   at least 6 dB for
                                   the 125 Hz octave
                                   band frequency
                                   range.
Fire/Smoke/Isolation Dampers....  A damper assembly   For any fire/smoke/
                                   including means     isolation dampers
                                   to open and close   that are factory-
                                   the damper          installed, set
                                   mounted at the      the dampers in
                                   supply or return    the fully open
                                   duct opening of     position for
                                   the equipment.      testing. For any
                                                       modular fire/
                                                       smoke/isolation
                                                       dampers shipped
                                                       with the unit but
                                                       not factory-
                                                       installed, do not
                                                       install the
                                                       dampers for
                                                       testing.
------------------------------------------------------------------------

[FR Doc. 2022-25747 Filed 12-6-22; 8:45 am]
BILLING CODE 6450-01-P