[Federal Register Volume 77, Number 56 (Thursday, March 22, 2012)]
[Proposed Rules]
[Pages 16769-16782]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2012-7022]



[[Page 16769]]

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DEPARTMENT OF ENERGY

10 CFR Part 431

[Docket No. EERE-2011-BT-STD-0029]
RIN 1904-AC47


Energy Conservation Program for Certain Industrial Equipment: 
Energy Conservation Standards and Test Procedures for Commercial 
Heating, Air-Conditioning, and Water-Heating Equipment

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

ACTION: Supplemental notice of proposed rulemaking.

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SUMMARY: The U.S. Department of Energy (DOE) proposed to amend its 
energy conservation standards for several classes of commercial 
heating, air-conditioning, and water-heating equipment and to adopt new 
energy conservation standards for computer room air conditioners in a 
January 2012 notice of proposed rulemaking (January 2012 NOPR). The 
levels that DOE proposed to adopt were equivalent to the efficiency 
levels contained in the American National Standards Institute (ANSI)/
American Society of Heating, Refrigerating, and Air-Conditioning 
Engineers (ASHRAE)/Illuminating Engineering Society of North America 
(IESNA) Standard 90.1-2010 (ASHRAE Standard 90.1-2010). In addition, 
DOE proposed in the January 2012 NOPR to update the current Federal 
test procedures, or for certain equipment types adopt new test 
procedures, to incorporate by reference the most current versions of 
several relevant industry test procedures specified in ASHRAE Standard 
90.1-2010. The amendments proposed in today's supplemental notice of 
proposed rulemaking (SNOPR) would modify the definition of ``computer 
room air conditioner'' initially proposed in the January 2012 NOPR and 
incorporate additional provisions to clarify the proposed test 
procedure provisions for commercial package air-conditioning and 
heating equipment and variable refrigerant flow systems. DOE is also 
proposing to include with modification certain provisions from Air-
Conditioning, Heating, and Refrigeration Institute (AHRI) operations 
manuals in its test procedures that would clarify the application of 
the DOE test procedures and harmonize DOE testing with the testing 
performed by industry.

DATES: DOE will accept comments, data, and other information regarding 
this SNOPR no later than April 2, 2012. For details, see section V, 
``Public Participation'' of this SNOPR.

ADDRESSES: Any comments submitted must identify the SNOPR on Energy 
Conservation Standards and Test Procedures for ASHRAE Standard 90.1 
Products, and provide docket number EERE-2011-BT-STD-0029 and/or 
Regulatory Information Number (RIN) 1904-AC47. Comments may be 
submitted using any of the following methods:
    1. Federal eRulemaking Portal: www.regulations.gov. Follow the 
instructions for submitting comments.
    2. Email: <a href="/cdn-cgi/l/email-protection#a5e4f6edf7e4e09c958b94889795949488f6f1e1889595979ce5c0c08bc1cac08bc2cad3"><span class="__cf_email__" data-cfemail="7e3f2d362c3f3b474e504f534c4e4f4f532d2a3a534e4e4c473e1b1b501a111b50191108">[email protected]</span></a>. Include docket 
number EERE-2011-BT-STD-0029 and/or RIN 1904-AC47 in the subject line 
of the message.
    3. Mail: Ms. Brenda Edwards, U.S. Department of Energy, Building 
Technologies Program, Mailstop EE-2J, 1000 Independence Avenue SW., 
Washington, DC 20585-0121. If possible, please submit all items on a 
compact disc (CD), in which case it is not necessary to include printed 
copies.
    4. Hand Delivery/Courier: Ms. Brenda Edwards, U.S. Department of 
Energy, Building Technologies Program, 950 L'Enfant Plaza SW., Suite 
600, Washington, DC 20024. Telephone: (202) 586-2945. If possible, 
please submit all items on a CD, in which case it is not necessary to 
include printed copies.
    No telefacsimiles (faxes) will be accepted. For detailed 
instructions on submitting comments and additional information on the 
rulemaking process, see section V of this document (Public 
Participation).
    Docket: The docket is available for review at www.regulations.gov, 
including Federal Register notices, public meeting attendee lists and 
transcripts, comments, and other supporting documents/materials. All 
documents in the docket are listed in the www.regulations.gov index. 
However, not all documents listed in the index may be publicly 
available, such as information that is exempt from public disclosure.
    A link to the docket Web page can be found at: http://www.regulations.gov/#!docketDetail;dct=FR%252BPR%252BN%252BO%252BSR%252BPS;rpp=25;po=0;D=EER
E-2011-BT-STD-0029. This Web page contains a link to the docket for 
this notice, along with simple instructions on how to access all 
documents, including public comments, in the docket. See section V, 
``Public Participation,'' for further information on how to submit 
comments through www.regulations.gov.
    For further information on how to submit a comment or review other 
public comments and the docket, contact Ms. Brenda Edwards at (202) 
586-2945 or by email: <a href="/cdn-cgi/l/email-protection#7a38081f141e1b543f1e0d1b081e093a1f1f541e151f541d150c"><span class="__cf_email__" data-cfemail="7a38081f141e1b543f1e0d1b081e093a1f1f541e151f541d150c">[email protected]</span></a>.

FOR FURTHER INFORMATION CONTACT: Mr. Mohammed Khan, U.S. Department of 
Energy, Office of Energy Efficiency and Renewable Energy, Building 
Technologies Program, Mailstop EE-2J, 1000 Independence Avenue SW., 
Washington, DC 20585-0121. Telephone: (202) 586-7892. Email: 
<a href="/cdn-cgi/l/email-protection#64290b0c05090901004a2f0c050a2401014a000b014a030b12"><span class="__cf_email__" data-cfemail="5b1634333a36363e3f7510333a351b3e3e753f343e753c342d">[email protected]</span></a>.
    Mr. Eric Stas, U.S. Department of Energy, Office of the General 
Counsel, GC-71, 1000 Independence Avenue SW., Washington, DC 20585-
0121. Telephone: (202) 586-9507. Email: <a href="/cdn-cgi/l/email-protection#91d4e3f8f2bfc2e5f0e2d1f9e0bff5fef4bff6fee7"><span class="__cf_email__" data-cfemail="3f7a4d565c116c4b5e4c7f574e115b505a11585049">[email protected]</span></a>.

SUPPLEMENTARY INFORMATION:

Table of Contents

I. Introduction
    A. Authority
    B. Background
    1. ASHRAE Standard 90.1-2010
    2. Previous Rulemaking Documents
II. Summary of the Supplemental Proposed Rule
III. Discussion
    A. Definition of ``Computer Room Air Conditioner''
    B. Test Procedures
    1. Compressor Break-In Period
    2. Certified Ratings
    3. Defective Samples
    4. Test Set-Up
    5. Enhancement Devices
    6. Refrigerant Charge
    7. Fan Speeds and Air Flow Rates, Rated versus Nominal
    8. Manufacturer Involvement During Variable Refrigerant Flow 
Multi-Split Air-Conditioners and Heat Pumps Assessment and/or 
Enforcement Testing
    9. Correction Factors for VRF Refrigerant Line Lengths
    10. Corrections to the January 2012 Notice of Proposed 
Rulemaking
IV. Procedural Issues and Regulatory Review
V. Public Participation
    A. Submission of Comments
    B. Issues on Which DOE Seeks Comment
VI. Approval of the Office of the Secretary

I. Introduction

    The following section briefly discusses the statutory authority 
underlying today's supplemental notice of proposed rulemaking, as well 
as some of the relevant historical background related to the 
establishment of energy conservation standards and test procedures for 
ASHRAE Standard 90.1 equipment.

[[Page 16770]]

A. Authority

    Title III, Part C \1\ of the Energy Policy and Conservation Act of 
1975 (EPCA or the Act), Public Law 94-163 (42 U.S.C. 6311-6317, as 
codified), added by Public Law 95-619, Title IV, Sec.  441(a), 
established the Energy Conservation Program for Certain Industrial 
Equipment, which includes the commercial heating, air-conditioning, and 
water-heating equipment that is the subject of this rulemaking.\2\ In 
general, this program addresses the energy efficiency of certain types 
of commercial and industrial equipment. Relevant provisions of the Act 
specifically include definitions (42 U.S.C. 6311), energy conservation 
standards (42 U.S.C. 6313), test procedures (42 U.S.C. 6314), labelling 
provisions (42 U.S.C. 6315), and the authority to require information 
and reports from manufacturers (42 U.S.C. 6316).
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    \1\ For editorial reasons, upon codification in the U.S. Code, 
Part C was redesignated Part A-1.
    \2\ All references to EPCA in this document refer to the statute 
as amended through the Energy Independence and Security Act of 2007, 
Public Law 110-140.
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    EPCA contains mandatory energy conservation standards for 
commercial heating, air-conditioning, and water-heating equipment. (42 
U.S.C. 6313(a)) Specifically, the statute sets standards for small, 
large, and very large commercial package air-conditioning and heating 
equipment, packaged terminal air conditioners (PTACs) and packaged 
terminal heat pumps (PTHPs), warm-air furnaces, packaged boilers, 
storage water heaters, instantaneous water heaters, and unfired hot 
water storage tanks. Id. In doing so, EPCA established Federal energy 
conservation standards that generally correspond to the levels in 
ASHRAE Standard 90.1, as in effect on October 24, 1992 (i.e., ASHRAE 
Standard 90.1-1989), for each type of covered equipment listed in 42 
U.S.C. 6313(a).
    In acknowledgement of technological changes that yield energy 
efficiency benefits, Congress further directed DOE through EPCA to 
consider amending the existing Federal energy conservation standard for 
each type of equipment listed, each time ASHRAE Standard 90.1 is 
amended with respect to such equipment. (42 U.S.C. 6313(a)(6)(A)) For 
each type of equipment, EPCA directs that if ASHRAE Standard 90.1 is 
amended, DOE must publish in the Federal Register an analysis of the 
energy savings potential of amended energy efficiency standards within 
180 days of the amendment of ASHRAE Standard 90.1. (42 U.S.C. 
6313(a)(6)(A)(i)) EPCA further directs that DOE must adopt amended 
standards at the new efficiency level in ASHRAE Standard 90.1, unless 
clear and convincing evidence supports a determination that adoption of 
a more-stringent level would produce significant additional energy 
savings and be technologically feasible and economically justified. (42 
U.S.C. 6313(a)(6)(A)(ii)) If DOE decides to adopt as a national 
standard the efficiency levels specified in the amended ASHRAE Standard 
90.1, DOE must establish such standard not later than 18 months after 
publication of the amended industry standard. (42 U.S.C. 
6313(a)(6)(A)(ii)(I)) However, if DOE determines that a more-stringent 
standard is justified under 42 U.S.C. 6313(a)(6)(A)(ii)(II), then it 
must establish such more-stringent standard not later than 30 months 
after publication of the amended ASHRAE Standard 90.1. (42 U.S.C. 
6313(a)(6)(B)) (In addition, DOE notes that pursuant to the EISA 2007 
amendments to EPCA, under 42 U.S.C. 6313(a)(6)(C), the agency must 
periodically review its already-established energy conservation 
standards for ASHRAE products. Under this requirement, the next review 
that DOE would need to conduct must occur no later than six years from 
the issuance of a final rule establishing or amending a standard for a 
covered product.)
    EPCA also requires that if a test procedure referenced in ASHRAE 
Standard 90.1 is updated, DOE must update its test procedure to be 
consistent with the amended test procedure in ASHRAE Standard 90.1, 
unless DOE determines that the amended test procedure is not reasonably 
designed to produce test results which reflect the energy efficiency, 
energy use, or estimated operating costs of the ASHRAE equipment during 
a representative average use cycle. In addition, DOE must determine 
that the amended test procedure is not unduly burdensome to conduct. 
(42 U.S.C. 6314(a)(2) and (4))
    Additionally, the Energy Independence and Security Act of 2007 
(EISA 2007; Pub. L. 110-140) amended EPCA to require that at least once 
every 7 years, DOE must conduct an evaluation of the test procedures 
for all covered equipment and either amend test procedures (if the 
Secretary determines that amended test procedures would more accurately 
or fully comply with the requirements of 42 U.S.C. 6314(a)(2)-(3)) or 
publish notice in the Federal Register of any determination not to 
amend a test procedure. (42 U.S.C. 6314(a)(1)(A)) Under this 
requirement, DOE must review the test procedures for the various types 
of ASHRAE equipment not later than December 19, 2014 (i.e., 7 years 
after the enactment of EISA 2007). Thus, the final rule resulting from 
this rulemaking will satisfy the requirement to review the test 
procedures for the certain types of ASHRAE equipment addressed in this 
rulemaking (i.e., those equipment for which DOE has been triggered) 
within seven years.
    On October 29, 2010, ASHRAE officially released and made public 
ASHRAE Standard 90.1-2010. This action triggered DOE's obligations 
under 42 U.S.C. 6313(a)(6), as outlined above. For a more complete 
discussion of authority, see DOE's January 17, 2012 NOPR. 77 FR 2356, 
2359-61.

B. Background

1. ASHRAE Standard 90.1-2010
    As noted, ASHRAE released a new version of ASHRAE Standard 90.1 on 
October 29, 2010. The ASHRAE standard addresses efficiency levels and 
test procedures for many types of commercial heating, ventilating, air-
conditioning (HVAC), and water-heating equipment covered by EPCA. 
ASHRAE Standard 90.1-2010 revised its efficiency levels for certain 
commercial equipment, but for the remaining equipment, ASHRAE left in 
place the preexisting levels (i.e., the efficiency levels specified in 
EPCA or the efficiency levels in ASHRAE Standard 90.1-2007). 
Specifically, DOE determined in the January 2012 NOPR that ASHRAE 
updated its efficiency levels for small, large, and very large water-
cooled and evaporatively-cooled commercial package air conditioners; 
variable refrigerant flow (VRF) water-source heat pumps less than 
17,000 Btu/h; and VRF water-source heat pumps at or greater than 
135,000 Btu/h. ASHRAE Standard 90.1-2010 also revised its scope to 
include certain commercial equipment used for industrial and process 
cooling, namely ``air conditioners and condensing units serving 
computer rooms.''
    In addition, ASHRAE Standard 90.1-2010 updated the following 
referenced test procedures to the most recent version of the industry 
standards: AHRI 210/240-2008 (small commercial package air-conditioning 
and heating equipment); AHRI 340/360-2007 (large and very large 
commercial package air-conditioning and heating equipment); 
Underwriters Laboratories (UL) 727-2006 (oil-fired commercial warm-air 
furnaces); ANSI Z21.47-2006 (gas-fired commercial warm-air furnaces); 
and ANSI Z21.10.3-2004 (commercial water heaters). Lastly, ASHRAE 
Standard

[[Page 16771]]

90.1-2010 specified new test procedures for certain equipment, 
including: ASHRAE 127-2007 (computer room air conditioners); and AHRI 
1230-2010 (variable refrigerant flow air conditioners and heat pumps).
2. Previous Rulemaking Documents
    Subsequent to the release of ASHRAE Standard 90.1-2010, DOE 
published a notice of data availability (NODA) in the Federal Register 
on May 5, 2011 (May 2011 NODA) and requested public comment as a 
preliminary step required pursuant to EPCA when DOE considers amended 
energy conservation standards for certain types of commercial equipment 
covered by ASHRAE Standard 90.1. 76 FR 25622. Specifically, in the May 
2011 NODA, DOE presented a discussion of the changes found in ASHRAE 
Standard 90.1-2010, which included a description of DOE's evaluation of 
each ASHRAE equipment type in order for DOE to determine whether the 
amendments in ASHRAE Standard 90.1-2010 have increased efficiency 
levels. Id. at 25630-37. As an initial matter, DOE sought to determine 
which requirements for covered equipment in ASHRAE Standard 90.1, if 
any, were revised solely to reflect the level of the current Federal 
energy conservation standard (where ASHRAE is merely ``catching up'' to 
the current national standard), were revised but lowered, were revised 
to include design requirements without changes to the efficiency level, 
or had any other revisions made that did not increase the standard 
level, in which case, DOE was not triggered to act under 42 U.S.C. 
6313(a)(6) for that particular equipment type. For those types of 
equipment in ASHRAE Standard 90.1 for which ASHRAE actually increased 
efficiency levels above the current Federal standard (i.e., water-
cooled and evaporatively-cooled air conditioners; two classes of VRF 
water-source heat pumps with and without heat recovery; and computer 
room air conditioners (which were not previously covered)), DOE 
subjected that equipment to the potential energy savings analysis for 
amended national energy conservation standards based on: (1) The 
modified efficiency levels contained within ASHRAE Standard 90.1-2010; 
and (2) more-stringent efficiency levels. DOE presented its 
methodology, data, and results for the preliminary energy savings 
analysis developed for the water-cooled and evaporatively-cooled 
equipment classes in the May 2011 NODA for public comment. Id. at 
25637-46. For the remaining equipment classes, DOE requested data and 
information that would allow it to accurately assess the energy savings 
potential of those equipment classes. Additionally, for single package 
vertical air conditioners and heat pumps, although the levels in ASHRAE 
Standard 90.1-2010 were unchanged, DOE performed an analysis of their 
potential energy savings as required by 42 U.S.C. 6313(a)(10)(B). 
Lastly, DOE presented an initial assessment of the test procedure 
changes included in ASHRAE Standard 90.1-2010. Id. at 25644-47.
    Following the NODA, DOE published a notice of proposed rulemaking 
in the Federal Register on January 17, 2012 (the January 2012 NOPR), 
and requested public comment. 77 FR 2356. In the January 2012 NOPR, DOE 
proposed amended energy conservation standards for small, large, and 
very large water-cooled and evaporatively-cooled commercial package air 
conditioners; variable refrigerant flow (VRF) water-source heat pumps 
less than 17,000 Btu/h; VRF water-source heat pumps at or greater than 
135,000 Btu/h; and new energy conservation standards for computer room 
air conditioners. DOE presented its methodology, data, and results for 
its analysis of two classes of variable refrigerant flow water-source 
heat pumps and for its analysis of computer room air conditioners.
    In addition, DOE's NOPR also proposed the adoption of amended test 
procedures for small commercial package air-conditioning and heating 
equipment; large and very large commercial package air-conditioning and 
heating equipment; commercial warm-air furnaces; and commercial water 
heaters. Furthermore, DOE proposed to adopt new test procedures for 
variable refrigerant flow equipment, single package vertical air 
conditioners and heat pumps, and computer room air conditioners. 
Following the publication of the NOPR, DOE held a public meeting on 
February 14, 2012 to receive feedback from interested parties on its 
proposals and analyses.

II. Summary of the Supplemental Proposed Rule

    This supplemental notice of proposed rulemaking builds upon the 
January 17, 2012 NOPR, which DOE hereby affirms, except for those 
provisions that are modified by this supplemental proposal. In 
overview, in today's SNOPR, DOE proposes to modify the definition of 
``computer room air conditioner'' that was initially proposed in the 
January 2012 NOPR. DOE also proposes to include with modification 
certain provisions from AHRI operations manuals (OMs) in its test 
procedures that would clarify the application of the test procedures 
and harmonize DOE testing with the testing performed by industry.
    At the February 14, 2012 public meeting, DOE came to better 
understand the overlap between the markets for comfort conditioning and 
computer room air conditioning, as well as the difficulty in 
identifying physical or technological characteristics that would 
consistently differentiate between equipment used for these two types 
of applications in all cases. Accordingly, DOE is proposing a revised 
definition of ``computer room air conditioner'' that would focus on the 
equipment's use, its testing and certification under a test procedure 
specifically tailored to computer room air conditioners, and 
confirmation that the basic model is not a covered consumer product to 
which energy conservation standards apply. DOE believes that this 
revised approach would ensure that the computer room air conditioner 
equipment class does not improperly expand to other comfort-
conditioning applications where other energy conservation standards 
apply. To assist in making these distinctions, the SNOPR's proposed 
definition of ``computer room air conditioner'' provides physical 
characteristics to help guide manufacturers in determining whether 
their equipment meets the definition of ``computer room air 
conditioner.'' DOE wishes to make clear that its proposal would do 
nothing to prevent properly rated and certified comfort-conditioning 
air conditioners from also being marketed and sold in computer room 
applications. However, DOE's proposed definition is intended to ensure 
that certification to the new computer room air conditioner standards 
remains limited to basic models devoted to such applications. These 
changes are discussed in further detail in section III.A of this SNOPR.
    The proposed changes to the test procedures are described in detail 
in III.B of this SNOPR. Primarily, DOE proposes to further modify the 
DOE test procedures in order to provide clarifications of several test 
parameters that are not explicitly addressed in the previously proposed 
test procedures but are currently found in AHRI operations manuals, 
which guide the AHRI-member manufacturers in applying the DOE test 
procedures to their equipment. In some cases, DOE has made 
modifications to the wording that is used in AHRI's operations manuals. 
Specifically, DOE is proposing to adopt provisions to specify how 
manufacturers should determine the refrigerant charge and fans speeds/
air flow rates for testing. Further, DOE is

[[Page 16772]]

proposing clarifications to the allowance of manufacturer involvement 
in VRF testing. DOE is also proposing to adopt refrigerant line length 
correction factors for variable refrigerant flow systems that are 
contained in the AHRI operations manual for that equipment with some 
limitations on their use. DOE also proposes modification to the 
regulatory text where necessary to reflect DOE's interpretation of the 
test procedure by clarifying several other testing issues described 
below, including certified rating tolerances, defective samples, test 
set-up, and enhancement devices. DOE tentatively determined in the 
January 2012 NOPR and reaffirms in today's SNOPR that none of the 
proposed changes would alter the measured efficiency of covered 
products.

III. Discussion

A. Definition of ``Computer Room Air Conditioner''

    In the January 2012 NOPR, DOE tentatively concluded that because 
ASHRAE expanded the scope of Standard 90.1 to include air conditioners 
and condensing units serving computer rooms, the scope of DOE's 
obligations pursuant to EPCA with regard to ASHRAE products similarly 
expanded to encompass these products. 77 FR 2356, 2372 (Jan. 17, 2012). 
Thus, DOE analyzed the technological feasibility and economic 
justification of adopting efficiency levels for computer room air 
conditioners that are more stringent than those in ASHRAE Standard 
90.1-2010, as required by EPCA, and proposed to adopt new standards for 
computer room air conditioners at the same levels as those specified in 
ASHRAE Standard 90.1-2010. Id. at 2416-18. The term ``computer room air 
conditioner'' had not been defined under DOE's regulations because such 
units had not previously been covered equipment. As a result, in the 
January 2012 NOPR, DOE proposed to adopt the following definition for 
``computer room air conditioner'':

    Computer Room Air Conditioner means a unit of commercial package 
air conditioning and heating equipment that is advertised, marketed, 
and/or sold specifically for use in computer rooms, data processing 
rooms, or other precision cooling applications, and is rated for 
performance using ASHRAE Standard 127, (incorporated by reference, 
see Sec.  431.95). Such equipment may not be marketed or advertised 
as equipment for any other space conditioning applications, and may 
not be rated for performance using AHRI Standard 210/240 or AHRI 
Standard 340/360 (incorporated by reference, see Sec.  431.95).

77 FR 2356, 2425-26 (Jan. 17, 2012).

    DOE presented the proposed definition at the February 2012 public 
meeting for the ASHRAE equipment NOPR, and received feedback from 
interested parties that indicated concerns about the proposed 
definition of ``computer room air conditioner.'' In particular, 
Panasonic indicated concern that the proposed definition might require 
the same equipment to be certified to multiple test methods--one for 
comfort cooling and one for computer room applications. (Panasonic, 
Public Meeting Transcript, No. 20 at p. 62) Mitsubishi expressed 
concern that the proposed definition would prevent equipment that is 
designed primarily for use in comfort conditioning (and thus not rated 
using ASHRAE Standard 127) but that may also be suitable for computer 
room service from being installed in all potential applications. 
(Mitsubishi, Public Meeting Transcript, No. 20 at pp. 60-61) In an 
attempt to alleviate these concerns, DOE is proposing modifications to 
this definition in today's SNOPR to assist manufacturers in determining 
what equipment is considered a ``computer room air conditioner'' under 
DOE's proposed regulations.
    In developing a definition for ``computer room air conditioner,'' 
DOE first looked to existing industry definitions in ASHRAE Standard 
90.1 and ASHRAE Standard 127. ASHRAE Standard 90.1-2010 does not 
provide a definition of ``computer room air conditioner,'' but rather, 
it defines a ``computer room,'' thereby clarifying the use/location but 
not the technology suitable for that location.\3\ In terms of applying 
its efficiency levels, ASHRAE Standard 90.1-2010 states that ``[a]ir 
conditioners primarily serving computer rooms and covered by ASHRAE 
Standard 127 shall meet the requirements in Table 6.8.1K. All other air 
conditioners shall meet the requirements in Table 6.8.1A.'' Table 
6.8.1K in ASHRAE Standard 90.1-2010 provides the minimum efficiency 
levels for computer room air conditioners that DOE proposed adopting in 
the January 2012 NOPR.
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    \3\ ASHRAE Standard 90.1-2010 defines ``Computer Room'' as ``a 
room whose primary function is to house equipment for the processing 
and storage of electronic data and that has a design electronic data 
equipment power density exceeding 20 watts/ft\2\ of conditioned 
floor area.''
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    ASHRAE Standard 127-2007 (Method of Testing for Rating Computer and 
Data Processing Room Unitary Air-Conditioners) provides a definition 
for ``computer and data processing room (CDPR) unitary air 
conditioner.'' \4\ In addition, the first public review draft of 
proposed revisions to ASHRAE 127-2007 (i.e., ASHRAE 127-2007R, Proposed 
Revision of Standard 127-2007, Method of Testing and Rating Computer 
and Data Processing Room Unitary Air Conditioners) defines ``CRAC'' \5\ 
[computer room air conditioner]. However, no part of the definition of 
either ``CRAC'' or ``CDPR unitary air conditioner'' clearly 
differentiates the design of CRACs from other direct expansion cooling 
equipment.
---------------------------------------------------------------------------

    \4\ ASHRAE Standard 127-2007 defines ``computer and data 
processing room (CDPR) unitary air conditioner'' as ``a computer and 
data processing room unitary air conditioner consisting of one or 
more factory-made assemblies, which include a direct expansion 
evaporator or chilled water cooling coil, an air-moving device, and 
air filtering devices. The air conditioner may include a compressor, 
condenser, humidifier, or reheating function. Where direct expansion 
equipment is provided in more than one assembly and the separate 
assemblies are to be used together, the requirements of rating 
outlined in this standard are based upon the use of matched 
assemblies. The functions of a CDPR air conditioner, either alone or 
in combination with a cooling and heating plant, are to provide air 
filtration, circulation, cooling, reheating, and humidity control.''
    \5\ ASHRAE Standard 127-2007R Proposed Revision of Standard 127-
2007, Method of Testing for Rating Computer and Data Processing Room 
Unitary Air Conditioners defines ``computer room air conditioner 
(CRAC)'' as ``computer room air conditioner; generally refers to 
computer-room cooling units that utilize dedicated compressors and 
refrigerant cooling coils rather than chilled-water coils.''
---------------------------------------------------------------------------

    As discussed in the January 2012 NOPR, DOE was not able to identify 
any physical construction and/or component characteristic(s) of 
computer room air conditioners that distinguish those products from 
conventional comfort-cooling air conditioners. 77 FR 2356, 2382-83 
(Jan. 17, 2012). After hearing the concerns raised at the February 2012 
public meeting, DOE again attempted to develop a definition for 
``computer room air conditioner'' that effectively distinguishes these 
products from other types of commercial air conditioners. DOE 
considered characteristics such as evaporator-to-condenser effective 
surface area ratio and delivered cubic feet per minute (CFM) per ton of 
capacity, as well as the presence of certain features such as an 
integrated humidifier, temperature and/or humidity control of the 
supplied air, and reheating function. Based upon its review, DOE notes 
that many, but not all, computer room air conditioners may have 
features such as an integrated humidifier, temperature and/or humidity 
control of the supplied air, and reheating function. However, DOE could 
not identify any single

[[Page 16773]]

characteristic or combination of characteristics that would 
consistently differentiate between the two types of equipment, the same 
reasoning which led DOE to propose a definition in the January 2012 
NOPR based upon how the equipment is marketed and/or sold for use, 
rather than upon physical characteristics.
    At the February 2012 public meeting, Mitsubishi stated that the 
most distinguishing characteristic of CRAC equipment is that it has the 
ability to apply cooling operation at very low temperatures. 
(Mitsubishi, Public Meeting Transcript, No. 20 at p. 99) Although DOE 
recognizes that many computer room air conditioners are deemed 
``mission critical'' equipment and are expected to operate year round 
regardless of the outdoor conditions, DOE is also aware that other 
types of commercial air conditioners can be designed to operate under 
low ambient temperature conditions (through the use of ``low ambient'' 
control packages). At the public meeting, Mitsubishi stated that 
certain comfort-cooling equipment it manufactures also has the ability 
to operate under low ambient conditions, and, thus, such equipment can 
be used in some computer room applications. (Mitsubishi, Public Meeting 
Transcript, No. 20 at p. 99) DOE notes that many self-contained water-
cooled air conditioners and heat pumps also can operate under low 
ambient conditions. As a result, a commercial air conditioner's ability 
to apply cooling operation at very low temperatures is not a 
differentiating characteristic on which to base the definition, because 
it would not differentiate computer room air conditioners from other 
conventional comfort-conditioning air conditioners.
    The Department considered all of these potential differentiating 
characteristics when developing a definition of ``computer room air 
conditioner'' but ultimately determined that none of these factors 
could be used to definitively distinguish computer room air 
conditioners from conventional comfort-conditioning air conditioners. 
However, upon considering the comments at the NOPR public meeting, DOE 
believes that specifying certain physical characteristics in the 
definition that may be present in computer room air conditioners will 
assist manufacturers in determining which equipment falls under the 
definition of ``computer room air conditioner'' and which equipment 
falls under the definitions for other types of commercial package air 
conditioners. Therefore, DOE has proposed in today's SNOPR to include 
some of the physical characteristics listed above in the revised 
definition of ``computer room air conditioner.''
    Given the above-discussed difficulties in distinguishing computer 
room air conditioners from comfort-conditioning air conditioners based 
solely upon differences in physical construction and/or component 
characteristics, DOE is proposing to instead specify that products 
satisfying the definition of ``computer room air conditioner'' are (by 
definition) certified to DOE's test procedure for CRACs (see Sec.  
431.96), and any other covered comfort-conditioning air conditioners 
must still be rated and certified to their applicable test procedure 
and energy conservation standards (either residential or commercial).
    By definition, ``industrial equipment'' (generally applicable to 
ASHRAE equipment) ``is not a `covered product' as defined in section 
6291(a)(2) * * *.'' (42 U.S.C. 6311(2)(A)(iii)) Under 42 U.S.C. 
6291(2), the term ``covered product'' means a consumer product of a 
type listed in 42 U.S.C. 6292, Coverage; central air conditioners and 
central air conditioning heat pumps are specifically included at 42 
U.S.C. 6292(a)(3). Furthermore, the definition of ``consumer product'' 
at 42 U.S.C. 6291(1) specifically captures a type of product, which, to 
any significant extent, is distributed in commerce for personal use or 
consumption by individuals. Thus, if a basic model of central air 
conditioner is found to any significant extent in consumer 
applications, it would appropriately be a residential central air 
conditioner subject to 10 CFR 430.32(c).
    For air-conditioning equipment that is properly classified as 
commercial and industrial equipment, DOE notes that there is already a 
comprehensive set of standards at 10 CFR 431.97 for a variety of types 
of commercial air-conditioning and heating equipment used in comfort-
conditioning applications. Similar to the principle stated above, if a 
basic model of commercial air-conditioning equipment is found to any 
significant extent in comfort-conditioning applications, the 
manufacturer would be required to test and certify the basic model to 
the applicable comfort-conditioning air conditioner test procedure and 
standard under 10 CFR 431.97. If the manufacturer, at its discretion, 
wishes to make representations as to the basic model's performance as a 
comfort-conditioning air conditioner and a computer room air 
conditioner, then the basic model would need to be tested using the DOE 
test procedures for each equipment type. However, DOE believes that in 
most cases, the manufacturer would decide upon the primary purpose of 
each given basic model in its product offering and choose the equipment 
type associated with that basic model for the purposes of testing and 
certification.
    Once the manufacturer identifies the applicable equipment type of 
the basic model, the applicable DOE test procedure provisions for 
rating, standards for compliance, and certification requirements should 
be easy to identify. DOE is not proposing to modify any certification 
requirements in this rulemaking. Nothing in DOE's proposal would bar a 
manufacturer from making representations of the same basic model 
performing as two equipment types as long as those ratings are based on 
testing using the DOE testing procedures for each equipment type.
    In consideration of the above points, DOE is proposing to define 
``computer room air conditioner'' as follows:

    Computer room air conditioner means a basic model of commercial 
package air-conditioning and heating equipment that is: (1) Used in 
computer rooms, data processing rooms, or other purpose-specific 
cooling applications; (2) rated for sensible coefficient of 
performance (SCOP) and tested in accordance with 10 CFR 431.96; and 
(3) not a covered, consumer product under 42 U.S.C. 6291(1)-(2) and 
6292. A computer room air conditioner may be provided with, or have 
as available options, an integrated humidifier, temperature and/or 
humidity control of the supplied air, and reheating function.

    Additionally, DOE clarifies that any basic model that meets the 
definition of ``commercial package air-conditioning and heat 
equipment'' must be classified as one of the equipment types (e.g., 
small, large, or very large commercial package air-conditioning and 
heat equipment, packaged terminal air conditioners or heat pumps, 
variable refrigerant flow systems, computer room air conditioners, and 
single package vertical units) for the purposes of determining the 
applicable test procedure and energy conservation standard. While DOE 
is permitting manufacturers to make this election based on a comparison 
of each basic model with DOE's regulatory definitions for the various 
equipment types, DOE is adding a new section to the beginning of 10 CFR 
431.97 to make it clear that each manufacturer of a basic model that 
meets this definition does have a regulatory obligation in terms of 
standards compliance. Accordingly, DOE is proposing the following 
revision to 10 CFR 431.97:

    (a) All basic models of commercial package air-conditioning and 
heating equipment must be tested for performance using the 
applicable DOE test procedure in Sec.  431.96, be

[[Page 16774]]

compliant with the applicable standards set forth in paragraphs (b) 
through (f) of this section, and be certified to the Department 
under 10 CFR part 429.

    DOE believes that the amended definition of ``computer room air 
conditioner'' would not restrict any types of commercial air-
conditioning equipment from being installed in computer rooms, but 
rather, that it clarifies which air conditioners must be tested and 
certified as computer room air conditioners under DOE's regulatory 
program. DOE seeks comment on its proposed definition of ``computer 
room air conditioner'' and the clarifications proposed to 10 CFR 
431.97(a) regarding commercial package air-conditioning and heating 
equipment. These are identified as issues 1 and 2 in section V.B, 
``Issues on Which DOE Seeks Comment.''
    DOE would also like to take this opportunity to address another 
potential approach raised at the February 2012 public meeting. More 
specifically, several interested parties suggested use of the term 
``precision'' air conditioner to identify this equipment class. 
Panasonic stated that it is opposed to this equipment being termed 
``computer room air conditioning'' equipment, because there are other 
systems that could be used for computer rooms. (Panasonic, Public 
Meeting Transcript, No. 20 at p. 92) Danfoss stated that there could be 
a standard for precision computer room air conditioning equipment and 
one for conventional commercial air conditioning equipment. (Danfoss, 
Public Meeting Transcript, No. 20 at p. 103) Panasonic stated that the 
term ``precision air conditioning'' would be more appropriate for use, 
rather than computer room air conditioning, because precision air 
conditioning would not restrict the market. (Panasonic, Public Meeting 
Transcript, No. 20 at p. 105) Danfoss stated that specialized equipment 
might be used in a laboratory with very strict climate control needs, 
which might have the same type of requirements but not be a computer 
room. (Danfoss, Public Meeting Transcript, No. 20 at p. 105) Mitsubishi 
supported these comments and the use of the term ``precision air 
conditioner.'' (Mitsubishi, Public Meeting Transcript, No. 20 at p. 
105)
    As noted in the January 2012 NOPR, DOE believes ASHRAE Standard 
90.1 does not cover commercial package air-conditioning and heating 
equipment used for industrial, manufacturing, or commercial processes, 
with the exception of the specific industrial equipment listed in the 
standard (i.e., ``air conditioners and condensing units serving 
computer rooms''). 77 FR 2356, 2373 (Jan. 17, 2012). DOE intends its 
standards for commercial package air-conditioning and heating equipment 
to have the same scope as ASHRAE Standard 90.1 and to apply only to 
equipment used for comfort space conditioning, with the exception of 
those equipment types listed in ASHRAE Standard 90.1 that are used for 
commercial or industrial processes. See further discussion in the 
January 2012 NOPR regarding the ``Coverage of Commercial Package Air 
Conditioning and Heating Equipment That Are Exclusively Used as Part of 
Industrial or Manufacturing Processes.'' 77 FR 2356, 2372-2373 (Jan. 
17, 2012).
    ASHRAE Standard 90.1-2010 does not refer to or use the term 
``precision air conditioner.'' The process cooling application that has 
been listed in ASHRAE Standard 90.1 specifically refers to cooling of 
computer rooms (i.e., ``air conditioners and condensing units serving 
computer rooms''). Given these factors, DOE has tentatively concluded 
that DOE's proposed use of the term ``computer room air conditioner'' 
would be in line with the equipment covered by ASHRAE Standard 90.1-
2010 and that use of the term ``precision air conditioner'' would not 
be appropriate.

B. Test Procedures

    EPCA requires DOE to amend any test procedures for ASHRAE equipment 
to the latest version generally accepted by the industry or the rating 
procedures developed or recognized by industry, as referenced in 
ASHRAE/IES Standard 90.1, unless the Secretary determines that clear 
and convincing evidence exists that the latest version of the industry 
test procedure does not meet the requirements for test procedures 
described under 42 U.S.C. 6314(a)(2)-(3).\6\ (42 U.S.C. 6314(a)(4)(A)-
(B)) In the January 2012 NOPR, DOE proposed to adopt the updated 
industry test procedures for the following equipment: small commercial 
package air conditioners and heating equipment (AHRI 210/240-2008, 
Performance Rating of Unitary Air-Conditioning & Air-Source Heat Pump 
Equipment), large and very large commercial package air conditioners 
and heating equipment (AHRI 340/360-2007, Performance Rating of 
Commercial and Industrial Unitary Air-Conditioning and Heat Pump 
Equipment), commercial warm-air furnaces (UL 727-2006, Standard for 
Safety for Oil-Fired Central Furnaces, and ANSI Z21.47-2006, Standard 
for Gas-Fired Central Furnaces), and commercial water heaters (ANSI 
Z21.10.3-2004, Gas Water Heaters, Volume III, Storage Water Heaters 
with Input Ratings Above 75,000 Btu Per Hour, Circulating and 
Instantaneous). In the May 2011 NODA and the January 2012 NOPR, DOE 
reviewed each of these test procedures and described the changes in 
comparison to the previous version of the test procedure. 76 FR 25622, 
25634-37 (May 5, 2011) and 76 FR 2356, 2373-76 (Jan. 17, 2012).
---------------------------------------------------------------------------

    \6\ The relevant statutory provisions at 42 U.S.C. 6314(a)(2)-
(3) state that test procedure shall be reasonably designed to 
produce test results which reflect energy efficiency, energy use, 
and estimated operating costs of a type of industrial equipment and 
shall not be unduly burdensome to conduct. If the test procedure is 
a procedure for determining estimated annual operating costs, such 
costs shall be calculated from measurements of energy use in a 
representative average-use cycle.
---------------------------------------------------------------------------

    Additionally, in the January 2012 NOPR, DOE proposed to adopt new 
test procedures for measuring the efficiency of variable refrigerant 
flow equipment (AHRI 1230-2010, Performance Rating of Variable 
Refrigerant Flow (VRF) Multi-Split Air-Conditioning and Heat Pump 
Equipment), computer room air conditioners (ASHRAE 127-2007, Method of 
Testing for Rating Computer and Data Processing Room Unitary Air 
Conditioners), and single package vertical air conditioners and single 
package vertical heat pumps (AHRI 390-2003, Performance Rating of 
Single Package Vertical Air-Conditioners and Heat Pumps) An initial 
assessment of these test procedures is also presented in the January 
2012 NOPR. 76 FR 2356, 2376-79 (Jan. 17, 2012).
    DOE presented its proposed changes to the test procedures for 
ASHRAE equipment at the February 2012 public meeting. At the meeting, 
interested parties indicated that DOE should review the AHRI operations 
manuals \7\ and, if necessary, adopt parts of the manuals that contain 
provisions relevant to testing that would impact or help clarify DOE's 
proposed test procedures. Specifically, AHRI commented that the 
organization has been running certification and verification programs 
for years, and in each program, there is an operations manual that 
describes the verification program and clarifies how to run the test 
procedure. AHRI encouraged DOE to look at these operations manuals and 
reference them in any way DOE can. (AHRI, Public Meeting Transcript, 
No. 20 at p. 48) Mitsubishi also commented that it would be essential 
for DOE to incorporate the operations manual in the case of VRF 
systems, because the operations manual has additional guidance on how 
to set up the systems and what the manufacturer requires in

[[Page 16775]]

order to do the testing. (Mitsubishi, Public Meeting Transcript, No. 20 
at p. 48)
---------------------------------------------------------------------------

    \7\ For more information and to access those operations manuals, 
visit AHRI's Web site at: http://www.ahrinet.org/ahri+certification+programs.aspx.
---------------------------------------------------------------------------

    In response, DOE reviewed the industry operations manuals developed 
by AHRI to determine whether the manuals provide information that would 
help clarify the application of the DOE test procedures and those 
updates that were proposed in the January 2012 NOPR. In its review, DOE 
found that several AHRI operations manuals provide guidance that DOE 
believes could be useful in clarifying the DOE test procedures. This 
guidance, which is in part proposed for inclusion in DOE's test 
procedures, is presented in Table III.1 and discussed in detail in the 
subsections immediately below.

               Table III.1--Summary of Issues Identified Through Review of AHRI Operations Manuals
----------------------------------------------------------------------------------------------------------------
                                                     Relevant OM
             Issue                  AHRI OM*           section         Summary of issue     Summary of response
----------------------------------------------------------------------------------------------------------------
Compressor Break-In Period....  Small Unitary OM  3.8 (Break-in     Certain AHRI OMs       DOE is proposing to
                                ................   Operation of      allow manufacturers    add a ``break-in''
                                ................   Test Units).      the option of          provision to its
                                Large Unitary     3.7 (Break-in      ``breaking in''        test procedures for
                                 OM..              Operation and     equipment by running   commercial air
                                ................   Start-up of       the unit before        conditioning and
                                ................   Test Units).      testing. Depending     heating equipment.
                                VRF OM..........  3.7 (Break-in      on the equipment,      However, DOE is only
                                ................   Operation and     AHRI allows up to 16   proposing to allow
                                ................   Start-up of       hours, up to 24        up to 16 hours to
                                ................   Test System).     hours, or a            break in equipment,
                                SPVU OM.........  3.7 (Optional      manufacturer-          regardless of the
                                                   ``Break-In''      specified number of    equipment class.
                                                   Period).          hours.
----------------------------------------------------------------------------------------------------------------
Tolerances....................  Multiple OMs....  N/A.............  Certain AHRI OMs and   Compliance with DOE
                                                                     certain industry       standards is based
                                                                     test methods provide   on a statistically
                                                                     tolerances to          valid set of
                                                                     evaluate               samples, as
                                                                     manufacturer           specified at 10 CFR
                                                                     efficiency ratings.    part 429, and DOE is
                                                                                            not proposing to
                                                                                            adopt tolerances
                                                                                            from AHRI OMs in the
                                                                                            final rule.
----------------------------------------------------------------------------------------------------------------
Defective Samples.............  Multiple OMs....  N/A.............  Certain AHRI OMs       DOE determines
                                                                     provide criteria by    whether a unit is
                                                                     which a unit would     defective on a case-
                                                                     be considered          by-case basis as
                                                                     defective.             part of its
                                                                                            regulatory program
                                                                                            using the guidelines
                                                                                            in 10 CFR part 429
                                                                                            and is not proposing
                                                                                            to adopt AHRI's
                                                                                            provisions for what
                                                                                            constitutes a
                                                                                            defective sample.
----------------------------------------------------------------------------------------------------------------
Test Set-Up...................  Commercial        3.3.5.4 (Sample   Certain AHRI OMs       DOE is not proposing
                                 Furnaces OM.      Start-Up and      allow the              to adopt AHRI OM
                                Commercial Water   Operation).       opportunity for a      ``test procedure
                                 Heaters OM.      3.12               manufacturer or test   guidelines'' or to
                                ................   (Clarification    lab to use a ``test    allow for the use of
                                ................   in Running of     procedure              ``punch lists.'' DOE
                                ................   the Test          guideline'' or a       proposes to use only
                                ................   Procedure).       ``punch list'' to      information found in
                                ................  3.3.5.4 (Sample    help facilitate        the DOE test
                                ................   Start-Up and      implementation of      procedures in 10 CFR
                                ................   Operation).       the DOE test           part 431 and in
                                ................  3.10               procedure.             Installation and
                                ................   (Clarification                           Operation (I&O)
                                SPVU OM.........   of Test                                  manuals when
                                                   Procedures).                             conducting testing.
                                                  3.6 (Test Set-up
                                                   and Start-up
                                                   Punch List).
----------------------------------------------------------------------------------------------------------------
Enhancement Devices...........  Small Unitary OM  3.6 (System       Certain AHRI OMs       DOE will only
                                                   Manufacturer's    state that             consider those
                                                   Required          manufacturers shall    devices which are
                                                   Equipment         provide a complete     part of the rated
                                                   Provisions).      system including       basic model, are
                                                  3.7 (ICM's         ``other listed         shipped with the
                                                   Required          system enhancement     unit, and are
                                                   Equipment         devices.''             clearly described as
                                                   Provisions).                             enhancement devices
                                                  5.8 (Listing                              in the I&O manuals.
                                                   Equipment with
                                                   Enhancement
                                                   Components).
                                Large Unitary OM  3.6 (Required
                                                   Equipment
                                                   Provisions).
----------------------------------------------------------------------------------------------------------------

[[Page 16776]]

 
Refrigerant Charge............  General OM......  9.11.1.1 (Test    Certain AHRI OMs give  DOE proposes to add
                                ................   Sample            the manufacturer       clarification to its
                                ................   Refrigerant       additional guidance    test procedures that
                                Small Unitary OM   Charge).          on how to charge the   if a range of
                                ................  3.19 (Test         system for testing.    refrigerant charges
                                ................   Sample                                   is specified in the
                                VRF OM..........   Refrigerant                              I&O manuals, then
                                                   Charge).                                 any charge in that
                                                  3.15 (Test                                range is acceptable
                                                   Sample                                   for use in testing,
                                                   Refrigerant                              unless a rating
                                                   Charge) and                              value is clearly
                                                   3.15.1                                   specified in the I&O
                                                   (Refrigerant                             manual.
                                                   Charge
                                                   Adjustment).
----------------------------------------------------------------------------------------------------------------
Fan Speeds and Air Flow Rates,  General OM......  9.11.1.2 (Fan     Certain AHRI OMs and   DOE proposes to add
 Rated vs. Nominal.             ................   Speed).           the test procedures    clarification to its
                                Large Unitary OM  3.11 (Indoor       allow manufacturers    test procedures that
                                                   Coil Airflow      to adjust the indoor   the air flow rate to
                                                   Rate).            air flow rate as       be used for testing
                                                                     long as it is under    should be clearly
                                                                     a specified limit      specified in the I&O
                                                                     and meets minimum      manuals. If rated
                                                                     external static        air flow values for
                                                                     pressure               DOE testing are not
                                                                     requirements.          clearly identified
                                                                                            then a default value
                                                                                            of 400 standard
                                                                                            cubic feet per
                                                                                            minute (scfm) per
                                                                                            ton will be used.
----------------------------------------------------------------------------------------------------------------
Manufacturer Involvement        VRF OM..........  3.8 (Duties of    The AHRI OM for VRF    DOE proposes to allow
 During VRF Testing.                               Testing           equipment allows       limited manufacturer
                                                   Laboratory        manufacturers to       involvement in
                                                   Personnel).       lock in the            ensuring the system
                                                  3.10 (System       compressor and fan     has been set up
                                                   Stabilization     motor speeds in        correctly, including
                                                   for Testing).     order to achieve       setting the
                                                                     steady-state           compressor speed
                                                                     operation and allows   during DOE
                                                                     manufacturers to       regulatory testing,
                                                                     assist in the set up   provided that the
                                                                     and start up of this   manufacturers
                                                                     equipment during       document their set-
                                                                     AHRI verification      up and record their
                                                                     testing.               fixed compressor
                                                                                            speeds.
----------------------------------------------------------------------------------------------------------------
Correction Factors for VRF      VRF OM..........  3.9 (Refrigerant  The AHRI OM for VRF    DOE proposes to adopt
 Refrigerant Line Lengths.                         Line Length       equipment provides a   the correction
                                                   Considerations).  table of cooling       factors but only in
                                                                     capacity correction    the instance where
                                                                     factors in the event   the physical
                                                                     that a testing         limitations of the
                                                                     laboratory exceeds     laboratory prevent
                                                                     the minimum            it from setting up
                                                                     refrigerant line       the test without
                                                                     length specified in    exceeding the
                                                                     AHRI 1230.             minimum refrigerant
                                                                                            line lengths.
----------------------------------------------------------------------------------------------------------------
* Small Unitary OM means Unitary Small Air-Conditioners and Air-Source Heat Pumps (Includes Mixed-Match Coils)
  (Rated Below 65,000 Btu/h) Certification Program Operations Manual; Large Unitary OM means Unitary Large
  Equipment Certification Program Operations Manual; VRF OM means Variable Refrigerant Flow Multi-Split Air-
  Conditioners and Heat Pumps Certification Program (rated up to 760,000 Btu/h) Operations Manual; SPVU OM means
  Single Packaged Vertical Air-Conditioners and Heat Pumps Certification Program Operations Manual; Commercial
  Furnaces OM means Commercial Furnaces Certification Program Operations Manual; Commercial Water Heater OM
  means Commercial Water Heaters Certification Program Operations Manual.

1. Compressor Break-In Period
    The DOE test procedure for commercial air-conditioning equipment 
does not provide for a compressor ``break-in'' period prior to 
initiating testing. According to several AHRI operations manuals for 
commercial air-conditioning equipment, manufacturers may direct AHRI to 
run the tested unit's compressor for a certain amount of time before 
running DOE's test procedure. In the January 2012 NOPR, DOE proposed to 
allow an optional compressor ``break-in'' period of no longer than 16 
hours as part of the proposed adoption of AHRI 210/240-2008, AHRI 340/
360-2007, AHRI 390-2003, and AHRI 1230-2010, and requested comment on 
allowing the break-in period for tests conducted using ASHRAE 127-2007. 
77 FR 2356, 2374, 2376-78 (Jan. 17, 2012).
    The 16-hour break-in limit aligns with the limit indicated in the 
AHRI operations manual for unitary large air conditioners and heat 
pumps.\8\ Other AHRI operations manuals that provide for a compressor 
break-in period either specify a different time limit or allow the 
manufacturer to specify the break-in period. For example, the VRF 
Multi-Split Air-Conditioners and Heat Pumps Operations Manual allows 
for a compressor break-in period of up to 24 hours, and the operations 
manuals for unitary small air conditioners and heat pumps and for SPVUs 
do not specify a time limit for the ``break-in'' period, instead 
deferring to manufacturer specifications.
---------------------------------------------------------------------------

    \8\ For more information, see section 3.7 of the AHRI Operations 
Manual for Unitary Large Equipment, available at: http://www.ahrinet.org/App_Content/ahri/files/Certification/OM%20pdfs/2012/ULE%20OM-2012.pdf.
---------------------------------------------------------------------------

    DOE reiterates the proposal set forth in the January 2012 NOPR, 
providing the manufacturer the option of breaking in the compressor for 
up to 16 hours for all equipment types. Due to the general similarities 
between the compressors used in large unitary equipment and other types 
of commercial air conditioning equipment, DOE believes that a 
compressor break-in time of up to 16 hours is adequate and appropriate 
to ensure test results that are representative of the energy efficiency 
of the basic model during average use.
    For assessment and enforcement testing purposes, DOE would use the 
compressor break-in period used by the manufacturer, if any, when it 
performed certification testing, up to 16 hours. A manufacturer who 
elects to use an

[[Page 16777]]

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. DOE seeks comment as to whether a longer break-in 
period is necessary for VRF systems, small air conditioners and heat 
pumps, and SPVUs, and why these types of equipment need a longer break-
in period. This is identified as issue 3 in section V.B, ``Issues on 
Which DOE Seeks Comment.''
2. Certified Ratings
    Many AHRI operations manuals and certain test procedures proposed 
in the January 2012 NOPR to be incorporated by reference into DOE 
regulations contain guidance on the tolerance that AHRI applies in its 
verification program to determine whether a given basic model is 
properly rated. For example, the AHRI operations manual for commercial 
furnaces \9\ states in section 3.9 (Tolerances) that if a piece of 
equipment tests below 95 percent of its rated efficiency, then it fails 
its AHRI verification test. DOE has received numerous inquiries 
regarding the use of the AHRI tolerances in DOE's regulatory program as 
it may relate to certification, assessment, and/or enforcement testing. 
Consistent with the language in the January 2012 NOPR and DOE's current 
practice, current DOE regulations do not provide for a 5-percent 
tolerance across its regulatory program. Instead, DOE's regulations 
call for a statistical evaluation of a test sample, as explained below. 
As such, DOE is not proposing to adopt such provisions for a general 5-
percent tolerance in the final rule and is proposing to explicitly 
exclude them from industry standards incorporated by reference.
---------------------------------------------------------------------------

    \9\ The AHRI Commercial Furnaces Operations Manual is available 
at: http://www.ahrinet.org/App_Content/ahri/files/Certification/OM%20pdfs/2012/CFRN%20OM-2012.pdf.
---------------------------------------------------------------------------

    Under current DOE regulations, a manufacturer must determine its 
certified ratings for its products and equipment from values derived 
pursuant to the applicable testing and sampling requirements set forth 
in 10 CFR parts 429, 430, and 431. For the products covered by this 
rulemaking, the sampling requirements incorporate a 95-percent 
confidence limit based on testing a sample of sufficient size (no less 
than 2 units per basic model). DOE's sampling plan for certification 
testing allows for some variation in the manufacturing and testing 
processes. More information on DOE's sampling plans can be found in 10 
CFR part 429, more specifically at 10 CFR 429.43 for commercial HVAC 
equipment and at 10 CFR 429.44 for commercial water-heating equipment.
    In the March 2011 final rule addressing certification, compliance, 
and enforcement, DOE reiterated its authority under the statute that 
DOE may, at any time, test a basic model to assess whether the basic 
model is in compliance with the applicable energy conservation 
standard(s). See 10 CFR 429.104; 76 FR 12422, 12495 (March 7, 2011). 
For an ``assessment test,'' DOE obtains one or more units for testing, 
generally from retailors or distributors, and frequently performs the 
testing without the knowledge of the manufacturer. For an ``enforcement 
test,'' DOE issues a test notice requiring the manufacturer to provide 
units for testing. DOE uses the results of assessment testing as one 
tool when determining whether to pursue enforcement testing. DOE does 
not apply a tolerance to the results of an assessment test to determine 
whether to pursue enforcement testing. DOE may pursue enforcement 
testing if it has reason to believe that a basic model is not in 
compliance with applicable standards (10 CFR 429.110(a))--a 
determination that is informed but not necessarily driven by the 
assessment test results.
    DOE has set forth different sampling plans for DOE enforcement 
testing of covered equipment and certain low-volume covered products, 
which include many of the products that are the subject of this 
rulemaking proceeding, including built-to-order products. These 
sampling plans utilize a test sample of no more than 4 units for low-
volume, built-to-order basic models, which include many of the products 
that are the subject of this rulemaking proceeding. These sampling 
plans are set forth in Appendix B to subpart C to part 429.
3. Defective Samples
    AHRI operations manuals contain guidance on determining whether a 
sample is defective. This determination typically is based on how 
closely the AHRI verification test results correlate to the product's 
rated performance. The AHRI general OM manual provides, ``A Defective 
Sample is one that fails a test due to the sample's inability to 
operate in accordance with the Participant's installation and operating 
instructions because it suffers an anomaly making it inconsistent with 
other samples of the same model. Unit design, unit assembly, quality 
control issues, and/or the Participant's inability to rate the product 
correctly will not be accepted by AHRI as causes for defect.''
    DOE determines whether a unit is defective on a case-by-case basis 
as part of its certification and enforcement program. DOE's guidelines 
for determining whether a unit is defective are contained at 10 CFR 
429.110(d)(3), which provides, ``A test unit shall be considered 
defective if such unit is inoperative or is found to be in 
noncompliance due to failure of the unit to operate according to the 
manufacturer's design and operating instructions.'' DOE is retaining 
its current approach and will evaluate the circumstances regarding the 
enforcement test results on a per-unit basis for a given basic model on 
a case-by-case basis. In DOE's view, additional clarification may be 
overly restrictive and may result in a unit of a sample being 
determined defective due simply to high variability in the performance 
of a given basic model.
4. Test Set-Up
    In many of AHRI's product-specific operations manuals, AHRI states 
that the start-up and operation of a unit shall be in accordance with 
the installation and operation instructions shipped with the sample. As 
DOE has previously stated in this rulemaking, DOE agrees and proposed 
to use the installation and operation instructions shipped with the 
sample. However, in some cases (e.g., commercial water heaters and 
commercial warm-air furnaces), the AHRI OM provides for the use of a 
``test procedure guideline'' intended to facilitate ``proper'' 
performance of the DOE test procedure. The operations manuals add that 
``such guidelines shall not revise or modify the basic DOE test 
procedure * * * but shall seek to provide uniformity in interpretation 
of terms, measurements, and application of procedures.'' \10\ Likewise, 
the operations manual for single package vertical air conditioners and 
heat pumps requires that manufacturers provide a ``punch list'' 
specific to performance testing that contains specific information 
needed to facilitate the testing of a given basic model (if any).
---------------------------------------------------------------------------

    \10\ For more information, see section 3.10 of the AHRI 
Commercial Water Heater Operations Manual, available at: http://www.ahrinet.org/App_Content/ahri/files/Certification/OM%20pdfs/2012/CWH%20OM-2012.pdf, or section 3.12 of the AHRI Commercial 
Furnaces Operations Manual, available at: http://www.ahrinet.org/App_Content/ahri/files/Certification/OM%20pdfs/2012/CFRN%20OM-2012.pdf.
---------------------------------------------------------------------------

    DOE has not proposed to incorporate by reference any industry test 
procedure guidelines or provisions for ``punch lists'' into its test 
procedures. DOE

[[Page 16778]]

reiterates that any provisions of the operations manuals, industry test 
procedure guidelines, or any other guidelines or provisions that are 
not in DOE's test procedure or issued as the Department's official 
interpretation of the regulations in the DOE guidance database \11\ are 
not part of the DOE regulatory structure. Accordingly, DOE will not use 
any of these types of documents during DOE's assessment and enforcement 
testing. DOE will use the individual basic model's installation and 
operation manual. DOE accepts questions regarding the application of 
its test procedures when areas requiring clarification are identified 
or ambiguities arise. The DOE guidance database provides interested 
parties a way of submitting test procedure questions and industry-
developed guidance for DOE review and response. DOE utilizes this 
guidance process as interim clarification until DOE's test procedure 
regulations can be periodically updated through rulemaking.
---------------------------------------------------------------------------

    \11\ Available at: http://www1.eere.energy.gov/guidance/default.aspx?pid=2&spid=1.
---------------------------------------------------------------------------

5. Enhancement Devices
    The AHRI Operations Manuals for Unitary Small Air-Conditioners and 
Heat Pumps and Unitary Large Equipment provide that system 
manufacturers shall provide a complete system including ``other listed 
system enhancement devices'' for verification testing purposes.\12\ 
While DOE is unclear exactly what is meant by ``other listed system 
enhancement devices,'' DOE will only consider a device to be part of a 
basic model for certification, assessment, and/or enforcement testing 
purposes if the device is a shipped with the unit from the point of 
manufacture and is clearly described as required equipment in the 
equipment's I&O manual. If an enhancement device is necessary for a 
basic model to meet minimum energy conservation standards, all units of 
the basic model must be shipped with any required enhancement device, 
and the installation and operational manual should include a 
description of the unit's operation with such a device.
---------------------------------------------------------------------------

    \12\ For more information, see sections 3.6, 3.7, and 5.8 of the 
AHRI Operations Manual for Unitary Small Air-Conditioners and Air-
source Heat Pumps, available at: http://www.ahrinet.org/App_Content/ahri/files/Certification/OM%20pdfs/2012/USE%20OM-2012.pdf, 
and section 3.6 of the AHRI Operations Manual for Unitary Large 
Equipment, available at: http://www.ahrinet.org/App_Content/ahri/files/Certification/OM%20pdfs/2012/ULE%20OM-2012.pdf.
---------------------------------------------------------------------------

6. Refrigerant Charge
    AHRI's General Operations Manual states that the laboratory must 
``determine the refrigerant charge at the Standard Rating Condition in 
accordance with instructions from the [manufacturer's] installation and 
operational manuals.'' \13\ The operations manual also states that, 
``for a given specified range of superheat, sub-cooling, or refrigerant 
pressure, the average of the range shall be used to determine the 
refrigerant charge. If multiple instructions are given, the 
[manufacturer] shall be asked to sign off on the preferred method.'' 
Similarly, the AHRI VRF Operations Manual states that in the event of a 
verification test failure, the manufacturer has the ``option to charge 
the unit between the minimum and maximum of the range. The Laboratory 
may consult with the [manufacturer] about the refrigerant charging 
procedures and make any needed corrections as long as they do not 
contradict the published installation instructions.'' \14\
---------------------------------------------------------------------------

    \13\ For more information, see section 9.11.1.1 of the AHRI 
General Operations Manual, available at: http://www.ahrinet.org/App_Content/ahri/files/Certification/2012%20General%20OM.PDF.
    \14\ For more information, see section 3.15 of the AHRI 
Operations Manual for Variable Refrigerant Flow Multi-Split Air-
Conditioners and Heat Pumps, available at: http://www.ahrinet.org/App_Content/ahri/files/Certification/OM%20pdfs/2012/VRF%20OM-2012.pdf.
---------------------------------------------------------------------------

    DOE's current test procedures for commercial air conditioners and 
heat pumps greater than 65,000 Btu/h and for VRF systems do not provide 
a method for determining the refrigerant charge for testing if the 
manufacturer only specifies a range of refrigerant charges or in the 
event of an assessment and/or enforcement test failure. Thus, to 
provide clarity in its test procedures, DOE proposes that if a 
manufacturer specifies a range of superheat, sub-cooling, and/or 
refrigerant pressure in its I&O manuals, any value(s) within that range 
may be used to determine refrigerant charge or mass of refrigerant for 
purposes of assessment and/or enforcement testing, unless the 
manufacturer clearly specifies a rating value in its I&O manuals. Note 
that in all cases, the laboratory conducting the assessment and/or 
enforcement test shall not ask the manufacturer to provide, and shall 
not consider, any instructions outside of those specified in the I&O 
manuals shipped with the unit.
7. Fan Speeds and Air Flow Rates, Rated Versus Nominal
    AHRI's General Operations Manual states that ``unless specified in 
writing, Laboratory personnel shall not make adjustments to fan 
speed.'' Also, the Unitary Large Equipment Operations Manual states 
``if the rated cfm is not obtained at the required external static 
pressure * * * the [manufacturer] shall change the cfm rating by 
adjusting the speed of the fan motor or supply alternate drives.''
    The DOE test procedures specify only an upper limit to the indoor 
air flow rate based on nominal capacity. Manufacturers can adjust the 
indoor air flow rate to any point below that limit when conducting 
certification testing, provided that the system, as tested, maintains 
DOE's minimum external static pressure requirements throughout the 
duration of the test.
    DOE has found that in most instances, manufacturers rate their 
equipment using an indoor airflow rate that differs from the nominal 
airflow rate (typically 400 cfm/ton) for a given basic model. While DOE 
understands that manufacturers may submit their rated air flow rate as 
part of AHRI's Certification, DOE will only use those test parameters 
and conditions, including air flow rate, that are set forth in the 
installation and operation manuals being shipped to the commercial 
customer with the basic model, are clearly identified in the 
installation and operation manuals as being used in the testing to 
generate the DOE performance ratings, and are allowed by the applicable 
DOE test procedure.
    DOE reiterates its position from the January 2012 NOPR that if 
manufacturers have specific conditions or instructions used in 
generating their energy efficiency ratings, they must be clearly 
provided in the I&O manual shipped with the unit. 77 FR 2356, 2378 
(Jan. 17, 2012). If DOE finds that the rated information, such as 
airflow rates, is not specified in the I&O manual shipped with the 
unit, DOE will test using a default value of 400 standard cubic feet 
per minute (scfm) per ton of cooling capacity. DOE realizes that 
testing under nominal, as opposed to rated, conditions may negatively 
impact the equipment's energy efficiency performance; however, in DOE's 
view, the commercial customer has a right to know the operating 
conditions that are used to generate the certified efficiency values, 
including rated airflow and rated capacity.
8. Manufacturer Involvement During Variable Refrigerant Flow Multi-
Split Air-Conditioners and Heat Pumps Assessment and/or Enforcement 
Testing
    The DOE test procedure incorporated by reference for Variable 
Refrigerant

[[Page 16779]]

Flow Multi-Split Air-Conditioner and Heat Pumps (VRF), AHRI 1230-2010, 
states that ``if the equipment cannot be maintained at steady state 
conditions by its normal controls, then the manufacturer shall modify 
or over-ride such controls so that steady state conditions are 
achieved.'' The VRF Operations Manual provides that manufacturers are 
allowed to assist in the set up and start up of this equipment during 
AHRI verification testing, because skilled personnel with knowledge of 
the control software specific to the equipment being tested are 
required to ensure proper test set-up and valid test results. This 
provision in the VRF OM limits manufacturer involvement during start-up 
and testing to only regulating the compressor motor speed control. 
Similarly, the VRF OM states that if the equipment does not stabilize 
within two hours of fixing the compressor speed, the manufacturer may 
adjust the control operation of the system to meet the requirements of 
the standard.
    DOE understands the complexity of the VRF systems and will allow a 
manufacturer representative to witness assessment and/or enforcement 
testing. DOE is proposing that the manufacturer representative will 
also be allowed to adjust the compressor speed during testing. 
Manufacturers should document their certification test set-up, 
including fixed compressor speeds, and maintain this documentation as 
part of their test data underlying certification so that DOE can 
request the documentation from the manufacturers on an as-needed basis. 
The documentation must be detailed enough about the set-up, such that 
it can be recreated by a laboratory technician without further 
manufacturer assistance. However, DOE acknowledges that a VRF 
manufacturer's representative will be allowed on-site for DOE-initiated 
testing to verify set-up per the documentation. DOE will only use set-
up instructions from the testing underlying the manufacturer's 
certified ratings for DOE verification and enforcement testing. Also, 
the manufacturer must designate the maximum, minimum, and any 
intermediate speeds used during certification testing (as required 
under AHRI 1230-2010); these speeds should be documented in the test 
data underlying certification.
    DOE does not typically allow manufacturers to witness or be 
involved in DOE-initiated assessment and/or enforcement testing of 
commercial air conditioning and heating equipment, and consequently, 
this allowance for VRF systems represents a departure of DOE's current 
practices. DOE has received comment that DOE is adopting an inequity 
between VRF systems and unitary systems. In response, DOE has 
tentatively concluded that there are unique circumstances governing the 
installation and operation of VRF systems that require intimate 
knowledge of the product control software in order to ensure that the 
system can operate properly during assessment and/or enforcement 
testing. Further, DOE believes that unlike the unitary market, a 
representative from the VRF manufacturer's company typically provides 
on-site expertise when product VRF system is being installed in a given 
commercial building in order to help ensure proper operation. DOE seeks 
additional comment from interested parties regarding its proposal to 
allow limited manufacturer involvement in the testing of VRF systems. 
This is identified as issue 4 in section V.B, ``Issues on Which DOE 
Seeks Comment.''
9. Correction Factors for VRF Refrigerant Line Lengths
    The VRF OM provides correction factors for the cooling capacity of 
the VRF system in the event that the refrigerant line length used in 
the test set-up exceeds the length specified in AHRI 1230-2010. The VRF 
OM provides that if the test facility does not set up the test using 
the minimum required lengths, the test facility will apply a correction 
factor to the cooling capacity when establishing the certified ratings 
to correct for the lost capacity due to a longer-than-required 
refrigerant line. The correction factor makes test results more 
comparable across different laboratories and testing set-ups.
    DOE is proposing to adopt correction factors as part of the DOE 
test procedures for commercial VRF systems to a limited extent. DOE 
proposes to limit the use of the correction to instances in which the 
physical constraints of the laboratory prevent it from setting up a 
given basic model for test in accordance with the piping lengths 
specified in Table 3 of AHRI 1230-2007, thereby making it a matter of 
necessity. In all other circumstances, DOE expects laboratories to use 
proper refrigerant line lengths as a matter of course.
    Table III.2 shows the refrigerant line length correction factors 
DOE proposes to adopt, which are equivalent to those found in AHRI's 
VRF OM. DOE believes that the correction factors would allow 
manufacturers to produce test results that are a better representation 
of the average energy efficiency for this equipment and are more 
comparable to results of testing across test facilities.

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

    DOE is seeking comment on its proposal to incorporate into its test 
procedures the refrigerant line length correction factors. This is 
identified as issue 5 in section V.B, ``Issues on Which DOE Seeks 
Comment.''
10. Corrections to the January 2012 Notice of Proposed Rulemaking
    In the January 2012 NOPR, DOE inadvertently referenced incorrect 
titles for certain industry test procedure standards by improperly 
identifying the year of the standard. Specifically, DOE referenced 
``ANSI Z21.10.3-2006'' at certain places in the January 2012 NOPR, but 
intended to reference ``ANSI Z21.10.3-2004,'' which is the latest 
version of the standard referenced in ASHRAE Standard 90.1-2010. 
Additionally, DOE referenced ``AHRI 340/360-2004'' in some places in 
the January 2012 NOPR, but intended to reference ``AHRI 340/360-2007,'' 
which

[[Page 16780]]

is the latest version of the standard referenced in ASHRAE Standard 
90.1-2010. DOE is clarifying in this SNOPR that it proposes to adopt 
ANSI Z21.10.3-2004 for commercial water heaters and AHRI 340/360-2007 
for large and very large commercial package air conditioners and heat 
pumps.

IV. Procedural Issues and Regulatory Review

    DOE has concluded that the determinations made pursuant to the 
various procedural requirements applicable to the January 17, 2012 NOPR 
remain unchanged for this SNOPR. 77 FR 2356, 2419-22. The additional 
changes proposed in this SNOPR (a refined definition of ``computer room 
air conditioner'' and updates to the DOE test procedures based on 
information found in industry operations manuals) would not be expected 
to increase testing burden beyond what is specified in the January 17, 
2012 NOPR.

V. Public Participation

A. Submission of Comments

    DOE will accept comments, data, and information regarding this 
SNOPR no later than the date provided in the DATES section at the 
beginning of this notice. Interested parties may submit comments, data, 
and other information using any of the methods described in the 
ADDRESSES section at the beginning of this notice.
    Submitting comments via www.regulations.gov. The 
www.regulations.gov Web page will require you to provide your name and 
contact information. Your contact information will be viewable to DOE 
Building Technologies staff only. Your contact information will not be 
publicly viewable except for your first and last names, organization 
name (if any), and submitter representative name (if any). If your 
comment is not processed properly because of technical difficulties, 
DOE will use this information to contact you. If DOE cannot read your 
comment due to technical difficulties and cannot contact you for 
clarification, DOE may not be able to consider your comment.
    However, your contact information will be publicly viewable if you 
include it in the comment itself or in any documents attached to your 
comment. Any information that you do not want to be publicly viewable 
should not be included in your comment, nor in any document attached to 
your comment. Otherwise, persons viewing comments will see only first 
and last names, organization names, correspondence containing comments, 
and any documents submitted with the comments.
    Do not submit to www.regulations.gov information for which 
disclosure is restricted by statute, such as trade secrets and 
commercial or financial information (hereinafter referred to as 
Confidential Business Information (CBI)). Comments submitted through 
www.regulations.gov cannot be claimed as CBI. Comments received through 
the Web site will waive any CBI claims for the information submitted. 
For information on submitting CBI, see the Confidential Business 
Information section below.
    DOE processes submissions made through www.regulations.gov before 
posting. Normally, comments will be posted within a few days of being 
submitted. However, if large volumes of comments are being processed 
simultaneously, your comment may not be viewable for up to several 
weeks. Please keep the comment tracking number that www.regulations.gov 
provides after you have successfully uploaded your comment.
    Submitting comments via email, hand delivery/courier, or mail. 
Comments and documents submitted via email, hand delivery, or mail also 
will be posted to www.regulations.gov. If you do not want your personal 
contact information to be publicly viewable, do not include it in your 
comment or any accompanying documents. Instead, provide your contact 
information in a cover letter. Include your first and last names, email 
address, telephone number, and optional mailing address. The cover 
letter will not be publicly viewable as long as it does not include any 
comments.
    Include contact information each time you submit comments, data, 
documents, and other information to DOE. If you submit via mail or hand 
delivery/courier, please provide all items on a compact disc (CD), if 
feasible, in which case it is not necessary to submit printed copies. 
No telefacsimiles (faxes) will be accepted.
    Comments, data, and other information submitted to DOE 
electronically should be provided in PDF (preferred), Microsoft Word or 
Excel, WordPerfect, or text (ASCII) file format. Provide documents that 
are not secured, that are written in English, and that are free of any 
defects or viruses. Documents should not contain special characters or 
any form of encryption and, if possible, they should carry the 
electronic signature of the author.
    Campaign form letters. Please submit campaign form letters by the 
originating organization in batches of between 50 to 500 form letters 
per PDF or as one form letter with a list of supporters' names compiled 
into one or more PDFs. This reduces comment processing and posting 
time.
    Confidential Business Information. Pursuant to 10 CFR 1004.11, any 
person submitting information that he or she believes to be 
confidential and exempt by law from public disclosure should submit via 
email, postal mail, or hand delivery/courier two well-marked copies: 
one copy of the document marked confidential including all the 
information believed to be confidential, and one copy of the document 
marked non-confidential with the information believed to be 
confidential deleted. Submit these documents via email or on a CD, if 
feasible. DOE will make its own determination about the confidential 
status of the information and treat it according to its determination.
    Factors of interest to DOE when evaluating requests to treat 
submitted information as confidential include: (1) A description of the 
items; (2) whether and why such items are customarily treated as 
confidential within the industry; (3) whether the information is 
generally known by or available from other sources; (4) whether the 
information has previously been made available to others without 
obligation concerning its confidentiality; (5) an explanation of the 
competitive injury to the submitting person which would result from 
public disclosure; (6) when such information might lose its 
confidential character due to the passage of time; and (7) why 
disclosure of the information would be contrary to the public interest.
    It is DOE's policy that all comments may be included in the public 
docket, without change and as received, including any personal 
information provided in the comments (except information deemed to be 
exempt from public disclosure).

B. Issues on Which DOE Seeks Comment

    Although DOE welcomes comment on any aspect of this proposal, DOE 
is particularly interested in receiving comments and views of 
interested parties concerning the following issues:
    1. The proposed definition of ``computer room air conditioner.''
    2. The clarifications proposed to 10 CFR 431.97(a) regarding 
commercial package air-conditioning and heating equipment.
    3. Whether a longer break-in period is necessary for VRF systems, 
small air conditioners and heat pumps, and SPVUs, and, if so, why these 
equipment require a longer break-in period.

[[Page 16781]]

    4. The proposal to allow limited manufacturer involvement in the 
testing of VRF systems.
    5. The proposal to incorporate applicable industry refrigerant line 
length correction factors into the DOE test procedure.

VI. Approval of the Office of the Secretary

    The Secretary of Energy has approved publication of today's 
supplemental notice of proposed rulemaking.

List of Subjects in 10 CFR Part 431

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

    Issued in Washington, DC, on March 19, 2012.
Kathleen B. Hogan,
Deputy Assistant Secretary for Energy Efficiency, Energy Efficiency and 
Renewable Energy.

    For the reasons set forth in the preamble, DOE proposes to amend 
part 431 of Chapter II, Subchapter D, of Title 10 of the Code of 
Federal Regulations as set forth below:

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

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

    Authority: 42 U.S.C. 6291-6317.

    2. Section 431.92 is amended by adding the definition ``Computer 
room air conditioner'' in alphabetical order to read as follows:


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

* * * * *
    Computer room air conditioner. (1) Means a basic model of 
commercial package air-conditioning and heating equipment that is:
    (i) Used in computer rooms, data processing rooms, or other 
purpose-specific cooling applications;
    (ii) Rated for sensible coefficient of performance (SCOP) and 
tested in accordance with 10 CFR 431.96; and
    (iii) Not a covered, consumer product under 42 U.S.C. 6291(1)-(2) 
and 6292.
    (2) A computer room air conditioner may be provided with, or have 
as available options, an integrated humidifier, temperature and/or 
humidity control of the supplied air, and reheating function.
* * * * *
    3. Revise Sec.  431.96 to read as follows:


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

    (a) Scope. This section contains test procedures for measuring, 
pursuant to EPCA, the energy efficiency of any small, large, or very 
large commercial package air-conditioning and heating equipment, 
packaged terminal air conditioners and packaged terminal heat pumps, 
computer room air conditioners, variable refrigerant flow systems, and 
single package vertical air conditioners and single package vertical 
heat pumps.
    (b) Testing and calculations. Determine the energy efficiency of 
each type of covered equipment by conducting the test procedure(s) 
listed in the rightmost column of Table 1 of this section along with 
any additional testing provisions set forth in paragraphs (c), (d), and 
(e) of this section, that apply to the energy efficiency descriptor for 
that equipment, category, and cooling capacity. Note, the omitted 
sections of the test procedures listed in the rightmost column of Table 
1 of this section shall not be used.

            Table 1 to Sec.   431.96--Test Procedures for Commercial Air Conditioners and Heat Pumps
----------------------------------------------------------------------------------------------------------------
                                                                                                  Use tests,
         Equipment type                Category        Cooling capacity    Energy efficiency    conditions and
                                                                              descriptor       procedures\1\ in
----------------------------------------------------------------------------------------------------------------
Small Commercial Packaged Air-    Air-Cooled, 3-      <65,000 Btu/h.....  SEER and HSPF.....  AHRI Standard 210/
 Conditioning and Heating          Phase, AC and HP.                                           240-2008 (omit
 Equipment.                                                                                    section 6.5).
                                  Air-Cooled AC and   >=65,000 Btu/h and  EER and COP.......  AHRI Standard 340/
                                   HP.                 <135,000 Btu/h.                         360-2007 (omit
                                                                                               section 6.3).
                                  Water-Cooled and    <65,000 Btu/h.....  EER...............  AHRI Standard 210/
                                   Evaporatively-                                              240-2008 (omit
                                   Cooled AC.                                                  section 6.5).
                                                      >=65,000 Btu/h and  EER...............  AHRI Standard 340/
                                                       <135,000 Btu/h.                         360-2007 (omit
                                                                                               section 6.3).
                                  Water-Source HP...  <135,000 Btu/h....  EER and COP.......  ISO Standard 13256-
                                                                                               1 (1998).
----------------------------------------------------------------------------------------------------------------
Large Commercial Packaged Air-    Air-Cooled AC and   >=135,000 Btu/h     EER and COP.......  AHRI Standard 340/
 Conditioning and Heating          HP.                 and <240,000 Btu/                       360-2007 (omit
 Equipment.                                            h.                                      section 6.3).
                                  Water-Cooled and    >=135,000 Btu/h     EER...............  AHRI Standard 340/
                                   Evaporatively-      and <240,000 Btu/                       360-2007 (omit
                                   Cooled AC.          h.                                      section 6.3).
----------------------------------------------------------------------------------------------------------------
Very Large Commercial Packaged    Air-Cooled AC and   >=240,000 Btu/h     EER and COP.......  AHRI Standard 340/
 Air-Conditioning and Heating      HP.                 and <760,000 Btu/                       360-2007 (omit
 Equipment.                                            h.                                      section 6.3).
                                  Water-Cooled and    >=240,000 Btu/h     EER...............  AHRI Standard 340/
                                   Evaporatively-      and <760,000 Btu/                       360-2007 (omit
                                   Cooled AC.          h.                                      section 6.3).
----------------------------------------------------------------------------------------------------------------
Packaged Terminal Air             AC and HP.........  <760,000 Btu/h....  EER and COP.......  AHRI Standard 310/
 Conditioners and Heat Pumps.                                                                  380-2004 (omit
                                                                                               section 5.6).
----------------------------------------------------------------------------------------------------------------

[[Page 16782]]

 
Computer Room Air Conditioners..  AC................  <760,000 Btu/h....  SCOP..............  ASHRAE Standard
                                                                                               127-2007 (omit
                                                                                               section 5.11).
----------------------------------------------------------------------------------------------------------------
Variable Refrigerant Flow Multi-  AC and HP.........  <760,000 Btu/h....  EER and COP.......  AHRI Standard 1230-
 split Systems.                                                                                2010 (omit
                                                                                               sections 5.1.2
                                                                                               and 6.6).
----------------------------------------------------------------------------------------------------------------
Single Package Vertical Air       AC and HP.........  <760,000 Btu/h....  EER and COP.......  AHRI Standard 390-
 Conditioners and Single Package                                                               2003 (omit
 Vertical Heat Pumps.                                                                          section 6.4).
----------------------------------------------------------------------------------------------------------------
\1\ Incorporated by reference, see Sec.   431.95.

    (c) Optional break-in period for tests conducted using AHRI 210/
240-2008, AHRI 340/360-2007, AHRI 1230-2010, and AHRI 390-2003. 
Manufacturers may optionally specify a ``break-in'' period, not to 
exceed 16 hours, to operate the equipment under test prior to 
conducting the test method specified by AHRI 210/240-2008, AHRI 340/
360-2007, AHRI 1230-2010, or AHRI 390-2003. 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.
    (d) Refrigerant line length corrections for tests conducted using 
AHRI 1230-2010. For test setups where it is physically impossible for 
the laboratory to use the required line length listed in Table 3 of the 
AHRI 1230-2010 Standard, then the actual refrigerant line length used 
by the laboratory may exceed the required length and the following 
correction factors are applied:

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

     (e) Additional provisions for equipment set-up. The only 
additional specifications that may be used in setting up the basic 
model for test are those set forth in the installation and operation 
manual shipped with the unit. Each unit should be set up for test in 
accordance with the manufacturer installation and operation manuals. 
Paragraphs (e)(1) through (e)(3) of this section provide specifications 
for addressing key information typically found in the installation and 
operation manuals.
    (1) If a manufacturer specifies a range of superheat, sub-cooling, 
and/or refrigerant pressure in its installation and operation manual 
for a given basic model, any value(s) within that range may be used to 
determine refrigerant charge or mass of refrigerant, unless the 
manufacturer clearly specifies a rating value in its installation and 
operation manual in which case the specified rating value shall be 
used.
    (2) The air flow rate used for testing must be that set forth in 
the installation and operation manuals being shipped to the commercial 
customer with the basic model and clearly identified as that used to 
generate the DOE performance ratings. If a rated air flow value for 
testing is not clearly identified, a value of 400 standard cubic feet 
per minute (scfm) per ton shall be used.
    (3) For VRF systems, the test set-up and the fixed compressor 
speeds (i.e., the maximum, minimum, and any intermediate speeds used 
for testing) should be recorded and maintained as part of the test data 
underlying the certified ratings that is required to be maintained 
under 10 CFR 429.71.
    (f) Manufacturer involvement in assessment or enforcement testing 
for variable refrigerant flow systems. A manufacturer's representative 
will be allowed to witness assessment and/or enforcement testing for 
VRF systems. The manufacturer's representative will be allowed to 
inspect and discuss set-up only with a DOE representative and adjust 
the compressor speed during testing in the presence of a DOE 
representative. Only previously documented specifications for set-up as 
specified under paragraphs (d) and (e) of this section will be used.
    4. In Sec.  431.97, redesignate paragraphs (a), (b), (c), (d), and 
(e) as proposed January 17, 2012, at 77 FR 2427, as paragraphs (b), 
(c), (d), (e), and (f) respectively and add a new paragraph (a) to read 
as follows:


Sec.  431.97  Energy efficiency standards and their effective dates.

    (a) All basic models of commercial package air-conditioning and 
heating equipment must be tested for performance using the applicable 
DOE test procedure in Sec.  431.96, be compliant with the applicable 
standards set forth in paragraphs (b) through (f) of this section, and 
be certified to the Department under 10 CFR part 429.
* * * * *
[FR Doc. 2012-7022 Filed 3-20-12; 4:15 pm]
BILLING CODE 6450-01-P


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