6948 Federal Register / Vol. 87, No. 25 / Monday, February 7, 2022 / Proposed Rules 

DEPARTMENT OF ENERGY 

10 CFR Parts 429 and 431 

[EERE–2021–BT–TP–0017] 

RIN 1904–AE45 

Energy Conservation Program: Test 

Procedure for Computer Room Air 

Conditioners 

AGENCY: Office of Energy Efficiency and 

Renewable Energy, Department of 

Energy. 

ACTION: Notice of proposed rulemaking 

and request for comment. 

SUMMARY: The U.S. Department of 

Energy (DOE or the Department) 

proposes to amend its test procedure for 

computer room air conditioners 

(CRACs) to incorporate by reference the 

latest draft version of the relevant 

industry consensus test standard. DOE 

also proposes to adopt the net sensible 

coefficient of performance (NSenCOP) 

metric in its test procedures for CRACs. 

Additionally, DOE proposes to amend 

certain provisions for representations 

and enforcement. DOE welcomes 

written comments from the public on 

any subject within the scope of this 

document (including topics not raised 

in this proposal), as well as the 

submission of data and other relevant 

information. 

DATES: 

Comments: DOE will accept 

comments, data, and information 

regarding this notice of proposed 

rulemaking (NOPR) no later than April 

8, 2022. See section V, ‘‘Public 

Participation,’’ for details. 

Meeting: DOE will hold a webinar on 

Tuesday, March, 15, 2022, from 1:00 

p.m. to 4:00 p.m. See section V, ‘‘Public 

Participation,’’ for webinar registration 

information, participant instructions, 

and information about the capabilities 

available to webinar participants. 

ADDRESSES: Interested persons are 

encouraged to submit comments using 

the Federal eRulemaking Portal at 

www.regulations.gov. Follow the 

instructions for submitting comments. 

Alternatively, interested persons may 

submit comments, identified by docket 

number EERE–2021–BT–TP–0017, by 

any of the following methods: 

(1) Federal eRulemaking Portal: 

www.regulations.gov. Follow the 

instructions for submitting comments. 

(2) Email: 

ComputerRoomAC2021TP0017@

ee.doe.gov. Include docket number 

EERE–2021–BT–TP–0017 in the subject 

line of the message. 

No telefacsimiles (faxes) will be 

accepted. For detailed instructions on 

submitting comments and additional 

information on this process, see section 

V of this document (Public 

Participation). 

Although DOE has routinely accepted 

public comment submissions through a 

variety of mechanisms, including the 

Federal eRulemaking Portal, email, 

postal mail, or hand delivery/courier, 

the Department has found it necessary 

to make temporary modifications to the 

comment submission process in light of 

the ongoing COVID–19 pandemic. DOE 

is currently suspending receipt of public 

comments via postal mail and hand 

delivery/courier. If a commenter finds 

that this change poses an undue 

hardship, please contact Appliance 

Standards Program staff at (202) 586– 

1445 to discuss the need for alternative 

arrangements. Once the COVID–19 

pandemic health emergency is resolved, 

DOE anticipates resuming all of its 

regular options for public comment 

submission, including postal mail and 

hand delivery/courier. 

Docket: The docket, which includes 

Federal Register notices, public 

meeting/webinar attendee lists and 

transcripts, comments, and other 

supporting documents/materials, is 

available for review at 

www.regulations.gov. All documents in 

the docket are listed in the 

www.regulations.gov index. However, 

some documents listed in the index, 

such as those containing information 

that is exempt from public disclosure, 

may not be publicly available. 

The docket web page can be found at: 

www.regulations.gov/docket/EERE2021-BT-TP-0017. The docket web page 

contains instructions on how to access 

all documents, including public 

comments, in the docket. See section V 

(Public Participation) for information on 

how to submit comments through 

www.regulations.gov. 

FOR FURTHER INFORMATION CONTACT: 

Ms. Catherine Rivest, U.S. Department 

of Energy, Office of Energy Efficiency 

and Renewable Energy, Building 

Technologies Office, EE–5B, 1000 

Independence Avenue SW, Washington, 

DC 20585–0121. Telephone: (202) 586– 

7335. Email: 

ApplianceStandardsQuestions@

ee.doe.gov. 

Mr. Eric Stas, U.S. Department of 

Energy, Office of the General Counsel, 

GC–33, 1000 Independence Avenue SW, 

Washington, DC 20585–0121. 

Telephone: (202) 586–5827. Email: 

Eric.Stas@hq.doe.gov. 

For further information on how to 

submit a comment, review other public 

comments and the docket, or participate 

in the webinar, contact the Appliance 

and Equipment Standards Program staff 

at (202) 287–1445 or by email: 

ApplianceStandardsQuestions@

ee.doe.gov. 

SUPPLEMENTARY INFORMATION: DOE 

proposes to incorporate by reference the 

following draft industry standard into 

parts 429 and 431: 

Air-Conditioning, Heating and 

Refrigeration Institute (‘‘AHRI’’) 

Standard 1360–202X Draft, 

‘‘Performance Rating of Computer and 

Data Processing Room Air Conditioners 

(‘‘Draft Standard’’).’’ AHRI Standard 

1360–202X Draft is in draft form and its 

text was provided to the Department for 

the purposes of review only during the 

drafting of this NOPR. DOE intends to 

update the reference to the final 

published version of AHRI 1360–202X 

Draft in the Final Rule, unless there are 

substantive changes between the draft 

and published versions, in which case 

DOE may adopt the substance of the 

AHRI 1360–202X Draft or provide 

additional opportunity for comment on 

the changes to the industry consensus 

test procedure. 

A copy of AHRI 1360–202X Draft is 

attached in this docket for review. 

DOE proposes to maintain and update 

the previously approved incorporation 

by reference for the following industry 

standards in part 431: 

ANSI/ASHRAE Standard 37–2009, 

‘‘Methods of Testing for Rating 

Electrically Driven Unitary AirConditioning and Heat Pump 

Equipment,’’ ASHRAE approved June 

24, 2009. 

Copies of ANSI/ASHRAE Standard 

37–2009 can be obtained from the 

American National Standards Institute, 

25 W 43rd Street, 4th Floor, New York, 

NY 10036, (212) 642–4900, or online at: 

webstore.ansi.org/. 

American National Standards 

Institute (‘‘ANSI’’)/American Society of 

Heating, Refrigerating, and AirConditioning Engineers (‘‘ASHRAE’’) 

Standard 127–2007 ‘‘Method of Testing 

for Rating Computer and Data 

Processing Room Unitary Air 

Conditioners,’’ ANSI approved June 28, 

2007. 

Copies of ANSI/ASHRAE Standard 

127–2007 can be obtained from the 

American National Standards Institute, 

25 W 43rd Street, 4th Floor, New York, 

NY 10036, (212) 642–4900, or online at: 

https://webstore.ansi.org/. 

DOE proposes to incorporate by 

reference the following industry 

standard in part 431: 

ANSI/ASHRAE Standard 127–2020, 

‘‘Method of Testing for Rating Computer 

and Data Processing Room Unitary Air 

Conditioners,’’ ANSI approved 

November 30, 2020. 


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Federal Register / Vol. 87, No. 25 / Monday, February 7, 2022 / Proposed Rules 6949 

1 ‘‘Btu/h’’ refers to British thermal units per hour. 

2All references to EPCA in this document refer 

to the statute as amended through the Energy Act 

of 2020, Public Law 116–260 (Dec. 27, 2020). 

3For editorial reasons, upon codification in the 

U.S. Code, Part C was redesignated Part A–1. 

Copies of ANSI/ASHRAE Standard 

127–2020 can be obtained from the 

American National Standards Institute, 

25 W 43rd Street, 4th Floor, New York, 

NY 10036, (212) 642–4900, or online at: 

webstore.ansi.org/. 

See section IV.M of this document for 

further discussion of these standards. 

Table of Contents 

I. Authority and Background 

A. Authority 

B. Background 

II. Synopsis of the Notice of Proposed 

Rulemaking 

III. Discussion 

A. Scope of Applicability 

B. Proposed Organization of the CRAC Test 

Procedure 

C. Updates to Industry Test Standards 

D. Definitions 

1. CRAC Definition 

2. CRAC Configuration Definitions 

a. Mounting Configurations 

b. Flow Direction 

c. Ducted and Non-Ducted Definitions 

d. Fluid Economizer 

E. Metric 

1. NSenCOP 

a. Indoor Entering Air Temperatures 

b. Entering Water Temperatures 

c. Indoor Air ESP Requirements 

d. Energy Consumption of Heat Rejection 

Components 

e. Conclusion 

2. Integrated Efficiency Metric 

3. Part-Load Operation and Air Circulation 

Mode 

F. Test Method 

1. Standard Configurations 

2. Ceiling-Mounted CRACs 

3. Non-Floor Mounted CRACs 

4. ANSI/ASHRAE 37 Test Requirements 

a. Test Tolerances 

b. Enclosure for CRACs With Compressors 

in Indoor Units 

c. Secondary Methods for Capacity 

Measurement 

5. Ducted Condensers 

6. Minimum External Static Pressure 

Requirements 

7. Refrigerant Charging Instructions 

G. Configuration of Unit Under Test 

1. Specific Components 

2. Non-Standard Indoor Fan Motors 

H. General Comments 

I. Represented Values 

1. Multiple Refrigerants 

2. Net Sensible Cooling Capacity 

3. Validation Class for Glycol-Cooled 

CRACs 

J. Test Procedure Costs and Impact 

K. Reserved Appendices for Test 

Procedures for Commercial Air 

Conditioning and Heating Equipment 

L. Compliance Date 

IV. Procedural Issues and Regulatory Review 

A. Review Under Executive Order 12866 

B. Review Under the Regulatory Flexibility 

Act 

1. Description of Reasons Why Action Is 

Being Considered 

2. Objective of, and Legal Basis for, Rule 

3. Description and Estimate of Small 

Entities Regulated 

4. Description and Estimate of Compliance 

Requirements 

5. Duplication, Overlap, and Conflict With 

Other Rules and Regulations 

6. Significant Alternatives to the Rule 

C. Review Under the Paperwork Reduction 

Act of 1995 

D. Review Under the National 

Environmental Policy Act of 1969 

E. Review Under Executive Order 13132 

F. Review Under Executive Order 12988 

G. Review Under the Unfunded Mandates 

Reform Act of 1995 

H. Review Under the Treasury and General 

Government Appropriations Act, 1999 

I. Review Under Executive Order 12630 

J. Review Under Treasury and General 

Government Appropriations Act, 2001 

K. Review Under Executive Order 13211 

L. Review Under Section 32 of the Federal 

Energy Administration Act of 1974 

M. Description of Materials Incorporated 

by Reference 

V. Public Participation 

A. Participation in the Webinar 

B. Procedures for Submitting Prepared 

General Statements for Distribution 

C. Conduct of the Webinar 

D. Submission of Comments 

E. Issues on Which DOE Seeks Comment 

VI. Approval of the Office of the Secretary 

I. Authority and Background 

Small, large, and very large 

commercial package air conditioning 

and heating equipment are included in 

the list of ‘‘covered equipment’’ for 

which DOE is authorized to establish 

and amend energy conservation 

standards and test procedures. (42 

U.S.C. 6311(1)(B)–(D)) Commercial 

package air conditioning and heating 

equipment includes CRACs as an 

equipment category. The current DOE 

test procedures for CRACs are codified 

at Title 10 of the Code of Federal 

Regulations (CFR), part 431, subpart F, 

appendix A, ‘‘Uniform Test Method for 

the Measurement of Energy 

Consumption of Air-Cooled Small 

(≥65,000 Btu/h),1 Large, and Very Large 

Commercial Package Air Conditioning 

and Heating Equipment’’ (appendix A). 

The following sections discuss DOE’s 

authority to establish and amend test 

procedures for CRACs, as well as 

relevant background information 

regarding DOE’s consideration of and 

proposed amendments to the test 

procedures for this equipment. 

A. Authority 

The Energy Policy and Conservation 

Act, as amended (EPCA),2 among other 

things, authorizes DOE to regulate the 

energy efficiency of a number of 

consumer products and certain 

industrial equipment. (42 U.S.C. 6291– 

6317) Title III, Part C3 of EPCA, Public 

Law 94–163 (42 U.S.C. 6311–6317, as 

codified), added by Public Law 95–619, 

Title IV, section 441(a), established the 

Energy Conservation Program for 

Certain Industrial Equipment, which 

sets forth a variety of provisions 

designed to improve energy efficiency. 

This covered equipment includes small, 

large, and very large commercial 

package air conditioning and heating 

equipment. (42 U.S.C. 6311(1)(B)–(D)) 

Commercial package air conditioning 

and heating equipment includes CRACs, 

which are the subject of this NOPR. 

The energy conservation program 

under EPCA consists essentially of four 

parts: (1) Testing, (2) labeling, (3) 

Federal energy conservation standards, 

and (4) certification and enforcement 

procedures. Relevant provisions of 

EPCA include definitions (42 U.S.C. 

6311), energy conservation standards 

(42 U.S.C. 6313), test procedures (42 

U.S.C. 6314), labeling provisions (42 

U.S.C. 6315), and the authority to 

require information and reports from 

manufacturers (42 U.S.C. 6316). 

The Federal testing requirements 

consist of test procedures that 

manufacturers of covered equipment 

must use as the basis for: (1) Certifying 

to DOE that their equipment complies 

with the applicable energy conservation 

standards adopted pursuant to EPCA (42 

U.S.C. 6316(b); 42 U.S.C. 6296), and (2) 

making representations about the 

efficiency of that equipment (42 U.S.C. 

6314(d)). Similarly, DOE uses these test 

procedures to determine whether the 

equipment complies with relevant 

standards promulgated under EPCA. 

Federal energy efficiency 

requirements for covered equipment 

established under EPCA generally 

supersede State laws and regulations 

concerning energy conservation testing, 

labeling, and standards. (42 U.S.C. 

6316(a) and (b); 42 U.S.C. 6297) DOE 

may, however, grant waivers of Federal 

preemption in limited circumstances for 

particular State laws or regulations, in 

accordance with the procedures and 

other provisions of EPCA. (42 U.S.C. 

6316(b)(2)(D)) 

Under 42 U.S.C. 6314, the statute also 

sets forth the criteria and procedures 

DOE is required to follow when 

prescribing or amending test procedures 

for covered equipment. Specifically, 

EPCA requires that any test procedure 

prescribed or amended shall be 

reasonably designed to produce test 

results which measure energy 

efficiency, energy use, or estimated 

annual operating cost of covered 


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6950 Federal Register / Vol. 87, No. 25 / Monday, February 7, 2022 / Proposed Rules 

4More specifically, ASHRAE Standard 90.1–2016 

references AHRI 1360–2016, ‘‘Standard for 

Performance Rating of Computer and Data 

Processing Room Air Conditioners’’ for CRACs. 

5The parenthetical reference provides a reference 

for information located in a docket related to DOE’s 

rulemaking to develop test procedures for CRACs. 

As noted, the July 2017 ASHRAE TP RFI addressed 

4 different equipment categories and is available 

under docket number EERE–2017–BT–TP–0018. As 

this NOPR addresses only CRACs, it has been 

assigned a separate docket number (i.e., EERE– 

2021–BT–TP–0017). The references are arranged as 

follows: (Commenter name, comment docket ID 

number, page of that document). 

equipment during a representative 

average use cycle and requires that test 

procedures not be unduly burdensome 

to conduct. (42 U.S.C. 6314(a)(2)). 

As discussed, CRACs are a category of 

commercial package air conditioning 

and heating equipment. EPCA requires 

that the test procedures for commercial 

package air conditioning and heating 

equipment be those generally accepted 

industry testing procedures or rating 

procedures developed or recognized by 

AHRI or by ASHRAE, as referenced in 

ASHRAE Standard 90.1, ‘‘Energy 

Standard for Buildings Except Low-Rise 

Residential Buildings’’ (ASHRAE 

Standard 90.1). (42 U.S.C. 6314(a)(4)(A)) 

Further, if such an industry test 

procedure is amended, DOE must 

update its test procedure to be 

consistent with the amended industry 

test procedure, unless DOE determines, 

by rule published in the Federal 

Register and supported by clear and 

convincing evidence, that such 

amended test procedure would not meet 

the requirements in 42 U.S.C. 6314(a)(2) 

and (3) related to representative use and 

test burden. (42 U.S.C. 6314(a)(4)(B)) 

EPCA also requires that, at least once 

every seven years, DOE evaluate test 

procedures for each type of covered 

equipment, including commercial 

package air conditioning and heating 

equipment (of which CRACs are a 

category), to determine whether 

amended test procedures would more 

accurately or fully comply with the 

requirements for the test procedures not 

to be unduly burdensome to conduct 

and be reasonably designed to produce 

test results that reflect energy efficiency, 

energy use, and estimated operating 

costs during a representative average 

use cycle. (42 U.S.C. 6314(a)(1)–(3)). 

If DOE determines that a test 

procedure amendment is warranted, it 

must publish proposed test procedures 

in the Federal Register and afford 

interested persons an opportunity (of 

not less than 45 days duration) to 

present oral and written data, views, 

and arguments on the proposed test 

procedures. (42 U.S.C. 6314(b)) If DOE 

determines that test procedure revisions 

are not appropriate, DOE must publish 

in the Federal Register its 

determination not to amend the test 

procedures. (42 U.S.C. 6314(a)(1)(A)(ii)) 

DOE is publishing this NOPR 

proposing amendments to the test 

procedures for CRACs in satisfaction of 

its aforementioned obligations under 

EPCA. 

B. Background 

On May 16, 2012, DOE published a 

final rule in the Federal Register, 

which, in relevant part, adopted test 

procedures for CRACs that incorporate 

by reference ANSI/ASHRAE Standard 

127–2007, ‘‘Method of Testing for Rating 

Computer and Data Processing Room 

Unitary Air Conditioners’’ (ANSI/ 

ASHRAE 127–2007), which is the 

industry test procedure referenced in 

ASHRAE Standard 90.1–2010 for 

CRACs, as the basis for the Federal test 

procedure for such equipment. 77 FR 

28928, 28989 (May 16, 2012). On 

October 26, 2016, ASHRAE published 

ASHRAE Standard 90.1–2016, which 

included updates to the test procedure 

references for CRACs as compared to 

ASHRAE Standard 90.1–2010 and 

ASHRAE Standard 90.1–2013.4 This 

action by ASHRAE triggered DOE’s 

obligations under 42 U.S.C. 

6314(a)(4)(B), as outlined previously. 

On July 25, 2017, DOE published a 

request for information (RFI) (the July 

2017 ASHRAE TP RFI) in the Federal 

Register to collect information and data 

to consider amendments to DOE’s test 

procedures for commercial package air 

conditioning and heating equipment, 

given the test procedure updates 

included in ASHRAE Standard 90.1– 

2016. 82 FR 34427. As part of the July 

2017 ASHRAE TP RFI, DOE identified 

several aspects of the currently 

applicable Federal test procedure that 

might warrant modifications, in 

particular: Incorporation by reference of 

the most recent version of the relevant 

industry standard(s); efficiency metrics 

and calculations; clarification of test 

methods; and any additional topics that 

may inform DOE’s decisions in a future 

test procedure rulemaking, including 

methods to reduce regulatory burden 

while ensuring the test procedures’ 

accuracy. 

DOE received a number of comments 

regarding CRACs from interested parties 

in response to the July 2017 ASHRAE 

TP RFI, which covered multiple 

categories of equipment. Table I–1 lists 

the commenters relevant to CRACs, 

along with each commenter’s 

abbreviated name used throughout this 

NOPR. Discussion of the relevant 

comments, and DOE’s responses, are 

provided in the appropriate sections of 

this document. A parenthetical 

reference at the end of a comment 

quotation or paraphrase provides the 

location of the item in the public 

record.5

TABLE I–1—INTERESTED PARTIES PROVIDING CRAC-RELATED WRITTEN COMMENTS IN RESPONSE TO THE JULY 2017 

ASHRAE TP RFI 

Name Abbreviation Type 

Air-Conditioning, Heating, and Refrigeration Institute ............................................................................... AHRI ................................. IR. 

Appliance Standards Awareness Project, Alliance to Save Energy, American Council for an EnergyEfficient Economy, Northwest Energy Efficiency Alliance, and Northwest Power and Conservation 

Council *.

Joint Advocates ................ EA. 

Lennox International Inc ............................................................................................................................ Lennox .............................. M. 

National Comfort Institute .......................................................................................................................... NCI ................................... IR. 

Pacific Gas and Electric Company, Southern California Gas Company, San Diego Gas and Electric, 

and Southern California Edison.

California Investor-Owned 

Utilities (CA IOUs).

U. 

EA: Efficiency/Environmental Advocate; IR: Industry Representative; M: Manufacturer; U: Utility. 

* The Northwest Power and Conservation Council is an interstate compact agency, whose mission in part is to promote energy efficiency. 

Following the July 2017 ASHRAE TP 

RFI, AHRI published additional updates 

to its test procedure standard for CRACs 

on December 21, 2017 (AHRI Standard 

1360–2017, ‘‘2017 Standard for 

Performance Rating of Computer and 

Data Processing Room Air 

Conditioners’’ (AHRI 1360–2017)). 

ASHRAE published ASHRAE Standard 


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Federal Register / Vol. 87, No. 25 / Monday, February 7, 2022 / Proposed Rules 6951 

90.1–2019 on October 24, 2019, which 

updated the test procedure referenced 

for CRACs from AHRI 1360–2016 to 

AHRI 1360–2017 and added equipment 

classes for ceiling-mounted CRACs. 

Following the publication of ASHRAE 

Standard 90.1–2019, AHRI is currently 

working on an update to AHRI Standard 

1360 (i.e., AHRI Standard 1360–202X 

Draft, ‘‘Performance Rating of Computer 

and Data Processing Room Air 

Conditioners (‘‘Draft Standard’’)’’ (AHRI 

1360–202X Draft)). These industry test 

standards are discussed further in 

section III.C of this NOPR. 

II. Synopsis of the Notice of Proposed 

Rulemaking 

In this NOPR, DOE proposes to 

update the Federal test procedure for 

CRACs consistent with the most recent 

draft version of the relevant industry 

consensus test procedure, AHRI 1360– 

202X Draft. If AHRI publishes a final 

version of AHRI 1360–202X Draft prior 

to DOE publishing a final rule, DOE 

intends to update the referenced 

industry test standard in the DOE test 

procedure to reference the latest version 

of AHRI 1360. If a finalized version of 

AHRI 1360–202X Draft is not published 

before the final rule or if there are 

substantive changes between the draft 

and published versions of AHRI 1360, 

DOE may adopt the substance of the 

AHRI 1360–202X Draft or provide 

additional opportunity for comment on 

the final version of that industry 

consensus standard. Specifically, DOE 

proposes to update its regulations at 10 

CFR 431.96, ‘‘Uniform test method for 

the measurement of energy efficiency of 

commercial air conditioners and heat 

pumps,’’ as follows: (1) Incorporate by 

reference the updated version of AHRI 

1360 and relevant industry standards 

referenced in that version of AHRI 1360; 

(2) establish provisions for determining 

NSenCOP for CRACs; (3) clarify the 

definition of ‘‘computer room air 

conditioner’’ to include consideration of 

how equipment is marketed; and (4) 

amend certain provisions for 

representations and enforcement in 10 

CFR part 429, consistent with the 

changes proposed to the test procedure. 

In terms of implementation, DOE 

proposes to add new appendices E and 

E1 to subpart F of part 431, ‘‘Uniform 

test method for measuring the energy 

consumption of computer room air 

conditioners,’’ (appendix E and 

appendix E1, respectively). The current 

DOE test procedure for CRACs would be 

relocated to appendix E without change, 

and the new test procedure adopting the 

substance of AHRI 1360–202X Draft 

would be established in appendix E1 for 

determining NSenCOP. Compliance 

with appendix E1 would not be required 

until such time as compliance is 

required with amended energy 

conservation standards for CRACs that 

rely on NSenCOP, should DOE adopt 

such standards. After compliance with 

appendix E1 would be required, 

appendix E would no longer be used as 

part of the Federal test procedure. 

DOE’s proposed actions are 

summarized in Table II.1 and addressed 

in detail in section III of this document. 

TABLE II.1—SUMMARY OF CHANGES IN PROPOSED TEST PROCEDURE RELATIVE TO CURRENT TEST PROCEDURE

Current DOE test procedure Proposed test procedure Attribution 

Incorporates by reference ANSI/ASHRAE 127– 

2007.

Incorporates by reference in a new appendix 

E1- AHRI 1360–202X Draft, ANSI/ASHRAE 

127–2020, and ANSI/ASHRAE 37–2009.

Updates to the applicable industry test procedures. 

Includes provisions for determining SCOP ........ Includes provisions for determining NSenCOP Updates to the applicable industry test procedures. 

CRAC definition criteria include: (1) Used in 

computer rooms (or similar applications); (2) 

whether rated for SCOP and tested in accordance with 10 CFR 431.96; and (3) not a 

consumer product.

CRAC definition criteria include: (1) Marketed 

for use in computer rooms (or similar applications); and (2) not a consumer product.

To more clearly define CRACs and distinguish 

from other equipment categories. 

Does not specify provisions specific to testing 

roof, wall, and ceiling-mounted CRAC units.

Defines roof, wall, and ceiling-mounted CRAC 

configurations and provides test provisions 

specific to such units.

Updates to the applicable industry test procedures. 

Does not include CRAC-specific provisions for 

determination of represented values in 10 

CFR 429.43.

Includes provisions in 10 CFR 429.43 specific 

to CRACs to determine represented values 

for units approved for use with multiple refrigerants, prescribe represented cooling capacity multiples, prevent cooling capacity 

over-rating, and specify configuration of unit 

under test.

Establish CRAC-specific provisions for determination of represented values. 

Does not include CRAC-specific enforcement 

provisions in 10 CFR 429.134.

Adopts product-specific enforcement provisions for CRACs regarding verification of 

cooling capacity and configuration of unit 

under test.

Establish provisions for DOE testing of 

CRACs. 

DOE has tentatively determined that 

the proposed amendments described in 

section III of this NOPR regarding the 

establishment of appendix E would not 

alter the measured efficiency of CRACs 

or require retesting solely as a result of 

DOE’s adoption of the proposed 

amendments to the test procedure, if 

made final. DOE has tentatively 

determined, however, that the proposed 

test procedure amendments in appendix 

E1 would, if adopted, alter the measured 

efficiency of CRACs and that such 

amendments are consistent with the 

updated industry test procedure. 

Further, compliance with the proposed 

appendix E1 and the proposed 

amendments to the representation 

requirements in 10 CFR 429.43 would 

not be required until the compliance 

date of amended standards denominated 

in terms of NSenCOP. Additionally, 

DOE has tentatively determined that the 

proposed amendments, if made final, 

would not increase the cost of testing. 

Discussion of DOE’s proposed actions 

are addressed in further detail in section 

III of this NOPR. 

III. Discussion 

A. Scope of Applicability 

This rulemaking applies to CRACs. 

DOE defines ‘‘computer room air 

conditioner’’ as a basic model of 

commercial package air-conditioning 

and heating equipment (packaged or 


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6While ANSI/ASHRAE Standard 127–2007 is 

incorporated by reference in its entirety, Table 1 to 

10 CFR 431.96 (which defines the applicable test 

methods for each category of equipment) excludes 

section 5.11 of ANSI/ASHRAE Standard 127–2007 

for testing CRACs. The test procedure also includes 

additional provisions related to break-in period and 

test set-up. See 10 CFR 431.96(c) and (e). 

7ASHRAE published ANSI/ASHRAE Standard 

127–2020 on November 30, 2020. 

8 DOE notes that the most recent version of 

ASHRAE Standard 90.1–2019 references AHRI 

1360–2017 as the industry consensus test method 

for CRACs. 

split) that is: Used in computer rooms, 

data processing rooms, or other 

information technology cooling 

applications; rated for SCOP and tested 

in accordance with 10 CFR 431.96; and 

is not a covered consumer product 

under 42 U.S.C. 6291(1)–(2) and 42 

U.S.C. 6292. A CRAC may be provided 

with, or have as available options, an 

integrated humidifier, temperature and/ 

or humidity control of the supplied air, 

and reheating function. 10 CFR 431.92. 

B. Proposed Organization of the CRAC 

Test Procedure 

DOE is proposing to relocate and 

centralize the current test procedure for 

CRACs to a new appendix E to subpart 

F of 10 CFR part 431, without change. 

As proposed, appendix E would not 

amend the current test procedure. The 

test procedure as provided in proposed 

appendix E would continue to reference 

ANSI/ASHRAE 127–2007 and provide 

instructions for determining SCOP. 

Correspondingly, DOE is proposing to 

update the existing incorporation by 

reference of ANSI/ASHRAE 127–2007 at 

10 CFR 431.95 so that the incorporation 

by reference applies to appendix E, 

rather than 10 CFR 431.96. The 

proposed appendix E would also 

centralize the additional test provisions 

currently applicable under 10 CFR 

431.96 (i.e., optional break-in period for 

tests conducted using ANSI/ASHRAE 

127–2007 (currently at 10 CFR 

431.96(c)) and additional provisions for 

equipment set-up (currently at 10 CFR 

431.96(e)). As proposed, CRACs would 

be required to be tested according to 

appendix E until such time as 

compliance is required with an 

amended energy conservation standard 

that relies on the NSenCOP metric, 

should DOE adopt such a standard. 

Accordingly, DOE also is proposing in 

parallel an amended test procedure for 

CRACs that adopts AHRI 1360–202X 

Draft in a new appendix E1 to subpart 

F of 10 CFR part 431. DOE proposes to 

adopt the substance of the updated draft 

version of AHRI 1360, including the 

NSenCOP metric, as discussed in the 

following sections. To this end, DOE 

intends to propose to incorporate by 

reference the final published version of 

AHRI 1360–202X Draft in the final rule, 

unless there are substantive changes 

between the draft and published 

versions, in which case DOE may adopt 

the substance of the AHRI 1360–202X 

Draft or provide additional opportunity 

for comment on changes presented in 

the final version of the industry 

consensus test standard. As proposed, 

CRACs would not be required to be 

tested according to the test procedure in 

proposed appendix E1 until such time 

as compliance is required with an 

amended energy conservation standard 

that relies on the NSenCOP metric, 

should DOE adopt such a standard. 

C. Updates to Industry Test Standards 

As noted previously, DOE’s current 

test procedure for CRACs is codified at 

10 CFR 431.96 and incorporates by 

reference ANSI/ASHRAE Standard 127– 

2007,6 which is the test procedure 

recognized by ASHRAE Standard 90.1– 

2010 for CRACs. However, the most 

recent version of ASHRAE Standard 

90.1 (i.e., the 2019 edition) recognizes 

AHRI 1360–2017 as the test procedure 

for CRACs. 

After publication of AHRI 1360–2017, 

DOE and other stakeholders supported 

the AHRI 1360 committee in its process 

to further update AHRI Standard 1360. 

DOE understands that this new update 

is currently in draft form (i.e., AHRI 

1360–202X Draft) and will supersede 

AHRI 1360–2017. AHRI 1360–202X 

Draft references ANSI/ASHRAE 127– 

2020, ‘‘Method of Testing for Rating 

Computer and Data Processing Room 

Unitary Air Conditioners’’ (ANSI/ 

ASHRAE 127–2020) 7 and ANSI/ 

ASHRAE 37–2009, ‘‘Methods Of Testing 

For Rating Electrically Driven Unitary 

Air-Conditioning And Heat Pump 

Equipment (ANSI/ASHRAE 37–2009). 

Both AHRI 1360–2017 and AHRI 1360– 

202X Draft include significant changes 

from ANSI/ASHRAE 127–2007, 

including the use of NSenCOP instead 

of SCOP as the test metric. Both 

efficiency metrics (NSenCOP and SCOP) 

are ratios of net sensible cooling 

capacity delivered to the power 

consumed, but there are several 

differences in the conditions at which 

tests are performed. Section III.E.1 of 

this NOPR includes further discussion 

of the differences between these test 

metrics. 

In light of these updates to the 

relevant industry consensus standards, 

DOE is proposing to amend its test 

procedure for CRACs by incorporating 

by reference AHRI 1360–202X Draft (in 

its entirety). DOE intends to update its 

incorporation by reference to the final 

published version of AHRI 1360–202X 

Draft in the final rule, unless the draft 

version is not finalized before the final 

rule or if there are substantive changes 

between the draft and published 

versions, in which case DOE may adopt 

the substance of the AHRI 1360–202X 

Draft or provide additional opportunity 

for comment on the substantive changes 

to the updated industry consensus 

standard. Specifically, in the proposed 

test procedure for CRACs at 10 CFR part 

431, subpart F, appendix E1, DOE is 

proposing to utilize sections 3.1, 3.4, 

3.11, 3.14, 3.16, 3.17, 3.21–3.23, 5, 6.1– 

6.3, 6.5, 6.7, and Appendices C–F of 

AHRI 1360–202X Draft for the Federal 

test procedure for CRACs.8

DOE is also proposing to incorporate 

by reference several industry standards 

that are subsequently referenced by 

AHRI 1360–202X Draft. First, DOE is 

proposing to incorporate by reference 

ANSI/ASHRAE 127–2020. Specifically, 

in the proposed test procedure for 

CRACs at 10 CFR part 431, subpart F, 

appendix E1, DOE is proposing to 

utilize Figure A-1, Test duct for 

measuring air flow and static pressure 

on downflow units, of Appendix A of 

ANSI/ASHRAE 127–2020, because 

Figure A-1 of Appendix A is referenced 

in section 5.8 of AHRI 1360–202X Draft. 

Second, DOE is proposing to 

incorporate by reference ANSI/ASHRAE 

37–2009 for 10 CFR part 431, subpart F, 

appendix E1, because section 5, 

Appendix D, and Appendix E of AHRI 

1360–202X Draft reference methods of 

test in ANSI/ASHRAE 37–2009. More 

specifically, DOE is proposing to utilize 

all sections of ANSI/ASHRAE 37–2009, 

except sections 1, 2, and 4. (Any issues 

discussed in the July 2017 ASHRAE TP 

RFI that pertain to provisions in ANSI/ 

ASHRAE 37–2009 are addressed in 

section III.F.4 of this NOPR.) 

D. Definitions 

1. CRAC Definition 

As discussed, DOE currently defines a 

CRAC as a basic model of commercial 

package air-conditioning and heating 

equipment (packaged or split) that is: 

Used in computer rooms, data 

processing rooms, or other information 

technology cooling applications; rated 

for SCOP and tested in accordance with 

10 CFR 431.96, and is not a covered 

consumer product under 42 U.S.C. 

6291(1)–(2) and 42 U.S.C. 6292. 10 CFR 

431.92. 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. Id. In defining a 

CRAC, DOE was unable to identify 

physical characteristics that consistently 


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9Cooling load is composed of both sensible and 

latent portions. The sensible load is the energy 

required to reduce the temperature of the incoming 

air, without any phase change (i.e., cooling). The 

latent load is the energy required to change the 

moisture in the air from water vapor into a liquid 

phase as it condenses on the cooling coil (i.e., 

dehumidification). 

10One ton of cooling capacity equals 12,000 Btu/ 

h. 11Specifically, CUAC technical literature 

provided performance tables that show total cooling 

capacity and sensible cooling capacity at various 

indoor air conditions for each model. 

12 DOE’s Compliance Certification Database does 

not contain sensible cooling capacity ratings for 

certified CUACs. (Available at: 

www.regulations.doe.gov/ccms). 

13The AHRI Directory of Certified Product 

Performance is available at www.ahridirectory.org. 

14Section 3.5 of AHRI 1360–202X Draft defines 

‘‘computer room air conditioner’’ as a subset of 

‘‘computer and data processing room air 

conditioner.’’ Section 3.4 of AHRI 1360–202X Draft 

defines ‘‘computer and data processing room air 

conditioner,’’ as an air conditioning unit 

specifically marketed for cooling data centers and 

information technology equipment. 

distinguish CRACs from other categories 

of commercial package air conditioning 

and heating equipment that provide 

comfort-cooling. See 77 FR 16769, 

16772–16774 (March 22, 2012); 77 FR 

28928, 28947–28948 (May 16, 2012). 

In an effort to better distinguish 

CRACs from other categories of 

commercial package air conditioning 

and heating equipment that provide 

comfort cooling, DOE is again 

considering means to consistently 

differentiate this equipment. To this 

end, DOE has considered as potential 

distinguishing factors use of a minimum 

sensible heat ratio (SHR) and the 

nominal airflow rate per ton of cooling 

capacity, as discussed further in this 

section. SHR is the ratio of sensible 

cooling capacity to the total cooling 

capacity. The total cooling capacity 

includes both sensible cooling capacity 

and latent cooling capacity.9

As part of the July 2017 ASHRAE TP 

RFI, DOE requested comment on the 

extent to which models of commercial 

package air conditioners are marketed 

and/or installed for use in both comfort 

cooling and computer room cooling 

applications. 82 FR 34427, 34430 (July 

25, 2017). DOE also requested comment 

on whether there are models rated for 

Energy Efficiency Ratio (EER) or 

Seasonal Energy Efficiency Ratio 

(SEER), and not SCOP, that are used for 

computer room cooling. Id. DOE sought 

comment and data on whether a specific 

SHR value or any other design 

differences or performance features 

would effectively and consistently 

distinguish CRACs from other categories 

of commercial package air conditioners. 

Id. 

In response to the July 2017 ASHRAE 

TP RFI, AHRI commented that some 

large unitary equipment, mini-split 

units, single packaged vertical units, 

and large direct and indirect evaporative 

coolers are used in data center 

applications. AHRI also noted that many 

of these products are custom-built for 

the application and are not necessarily 

designed for comfort cooling. The 

commenter added that in many 

instances, the consulting engineer and/ 

or the end user determines the type of 

equipment used, regardless of how it is 

marketed. Additionally, AHRI stated 

that CRACs are uniquely designed to 

operate year-round only in cooling 

mode, and their efficiency rating should 

be stated as NSenCOP. (AHRI, No. 11 at 

pp. 1–2). DOE did not receive specific 

comments on whether there are models 

rated for EER or SEER, and not SCOP or 

NSenCOP, that are used for computer 

room cooling. 

With regard to whether SHR could be 

used to effectively and consistently 

distinguish CRACs from other classes of 

commercial package air conditioners, 

AHRI commented that SHR is 

dependent on the rating conditions used 

for testing, coil design, and airflow rate 

of the unit. AHRI stated that SHRs for 

CRACs typically fall within a range of 

around 0.90–1.0, depending on which of 

the indoor air rating conditions 

specified for CRACs in AHRI 1360–2016 

are used; whereas typical comfort 

cooling commercial units have an SHR 

of around 0.60 at the indoor air rating 

conditions specified for commercial 

unitary air conditioners (CUACs) in 

AHRI 340/360–2015 (which differ from 

CRAC rating conditions). AHRI added 

that CRACs obtain a higher SHR than 

CUACs by having a higher airflow rate 

per ton of cooling capacity,10 and, thus, 

a larger fan motor. (AHRI, No. 11 at p. 

2) 

As part of preparing this NOPR, DOE 

conducted a preliminary review of 

performance data to explore the use of 

SHR to distinguish between CUACs and 

CRACs. DOE reviewed data from CUAC 

product literature 11 and DOE’s 

Compliance Certification Database for 

CRACs,12 which indicates that if CUACs 

were tested at the indoor air conditions 

specified in DOE’s current test 

procedure for CRACs, there would be 

significant overlap in the ranges of SHR 

for CUAC models and CRAC models. 

Specifically, more than half of CRAC 

models certified to DOE would have an 

SHR that is also achieved by certain 

CUAC models. Additionally, DOE’s 

analysis of rated cooling capacity and 

airflow rate data from DOE’s 

Compliance Certification Database and 

the AHRI Directory of Certified Product 

Performance 13 revealed a substantial 

overlap in nominal airflow rate per ton 

of cooling capacity between CRACs and 

CUACs currently on the market. 

Therefore, DOE has tentatively 

concluded that neither SHR nor 

nominal airflow rate per ton of cooling 

capacity would provide a clear 

distinction between CRACs and CUACs. 

Because DOE was unable to identify 

physical characteristics that could 

reliably be used to distinguish between 

CRACs and other equipment types, DOE 

is not proposing to define CRACs based 

on physical construction and/or 

component characteristics. Rather, DOE 

is proposing to amend the definition of 

CRAC to include how it is marketed for 

use by the manufacturer. Specifically, 

DOE is proposing first to replace the 

phrase ‘‘used in computer rooms, data 

processing rooms, or other information 

technology cooling applications’’ with 

‘‘marketed for use in computer rooms, 

data processing rooms, or other 

information technology cooling 

applications.’’ DOE’s proposed 

definition for CRACs is consistent with 

the definition in the latest draft industry 

standard, AHRI 1360–202X Draft, which 

also defines CRACs based on 

marketing.14

DOE also proposes to remove the 

current wording ‘‘. . . rated for sensible 

coefficient of performance (SCOP) and 

tested in accordance with 10 CFR 

431.96’’ to ensure that a unit that 

otherwise meets the definition of a 

CRAC would be covered as a CRAC 

regardless of how the manufacturer has 

tested and rated the model. DOE also 

proposes to remove the unnecessary 

current wording ‘‘. . . a basic model of’’ 

to avoid confusion as to whether the 

equipment constitutes a basic model 

(i.e., DOE specifies different basic model 

definitions for each equipment category 

at 10 CFR 431.92) before the 

determination is made whether the 

equipment meets the CRAC definition. 

DOE proposes to maintain the existing 

requirement that a CRAC is not a 

covered consumer product under 42 

U.S.C. 6291(1)–(2) and 42 U.S.C. 6292. 

DOE is also proposing to maintain the 

existing distinction that a CRAC may be 

provided with, or have as available 

options, an integrated humidifier, 

temperature, and/or humidity control of 

the supplied air, and reheating function. 

In summary, DOE is proposing in 10 

CFR 431.92 to define Computer Room 

Air Conditioner as ‘‘commercial package 

air conditioning and heating equipment 

(packaged or split) that is: marketed for 

use in computer rooms, data processing 

rooms, or other information technology 

cooling applications; and not a covered 


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consumer product under 42 U.S.C. 

6291(1)–(2) and 42 U.S.C. 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. 

Computer room air conditioners 

include, but are not limited to, the 

following configurations as defined in 

10 CFR 431.92 down-flow, horizontalflow, up-flow ducted, up-flow nonducted, ceiling-mounted ducted, ceiling 

mounted non-ducted, roof-mounted, 

and wall-mounted.’’ DOE is also 

proposing definitions for the 

configuration terms used in this 

proposed definition, as discussed 

further in the following section of this 

document. Further, regarding the 

‘‘marketed for’’ criterion in the proposed 

definition, DOE proposes in 10 CFR 

431.92 that DOE would consider any 

publicly-available document published 

by the manufacturer (e.g., product 

literature, catalogs, and packaging 

labels) to determine the application for 

which equipment is marketed. 

DOE recognizes that there may be 

units on the market that would be 

covered by DOE regulations for multiple 

equipment categories. As discussed in a 

previous notice addressing CRACs, such 

units would have to be tested and rated 

according to the requirements for each 

applicable equipment class of standards 

(e.g., CRAC and CUAC). See 77 FR 

16769, 16773 (March 22, 2012). 

Issue 1: DOE requests comment on the 

proposed definition for ‘‘computer room 

air conditioner’’ that distinguishes 

between CRACs and other categories of 

air conditioning equipment, based on 

the marketing of the equipment. 

2. CRAC Configuration Definitions 

CRACs can be installed in a variety of 

different configurations, which vary by 

installation location, direction of airflow 

over the evaporator coil (e.g., up, down, 

or horizontal), and by return and 

discharge air connections (e.g., raised 

floor plenum, ducted, free air). AHRI 

1360–202X Draft includes the concept 

of ‘‘standard configurations’’ to 

standardize the configuration and rating 

conditions (e.g., ESP, return air 

temperature) for testing CRACs to 

generate standard ratings. Appendix C 

of AHRI 1360–202X Draft specifies eight 

different standard configurations: (1) 

Ceiling-mounted ducted (with ducted 

discharge and ducted return); (2) 

ceiling-mounted non-ducted (with free 

air discharge and free air return); (3) 

down-flow (with raised floor plenum 

discharge and free air return); (4) 

horizontal-flow (with free air discharge 

and free air return); (5) up-flow ducted 

(with ducted discharge and free air 

return); (6) up-flow non-ducted (with 

free air discharge and free air return); (7) 

wall-mounted (with free air discharge 

and free air return); and (8) roofmounted ducted (with ducted discharge 

and ducted return). 

Section C1 in Appendix C of AHRI 

1360–202X Draft specifies that all units 

within the scope of the test standard 

must be categorized and rated as one of 

the eight standard configurations, and it 

specifies test conditions that vary 

between standard configurations. 

Standard configurations are further 

discussed in section III.F.1 of this 

NOPR. 

Section 3.24 of AHRI 1360–202X Draft 

includes definitions for the following 

configurations of standard models: 

‘‘downflow unit,’’ ‘‘horizontal-flow 

unit,’’ ‘‘upflow unit–ducted,’’ ‘‘upflow 

unit–nonducted,’’ ‘‘ceiling mounted 

unit–ducted,’’ ‘‘ceiling-mounted unit– 

nonducted,’’ ‘‘wall-mounted,’’ and 

‘‘roof-mounted ducted.’’ Additionally, 

section 3.9.2 of AHRI 1360–202X Draft 

includes definitions for the following 

airflow configurations of floor-mounted 

CRACs: ‘‘downflow,’’ ‘‘horizontal-flow,’’ 

and ‘‘upflow.’’ 

To provide additional instruction as 

to which configuration (and, thus, 

which testing requirements and 

standards, as applicable) should be used 

for testing, DOE is proposing to add 

several definitions for CRACs consistent 

with the previously mentioned 

definitions in AHRI 1360–202X Draft. 

Specifically, DOE is proposing 

definitions for the following terms at 10 

CFR 431.92: Floor-mounted, ceilingmounted, wall-mounted, roof-mounted, 

up-flow, down-flow, horizontal flow, 

up-flow ducted, up-flow non-ducted, 

ceiling-mounted ducted, ceilingmounted non-ducted, and fluid 

economizer. Because several of these 

proposed definitions reference other 

defined terms (e.g., the ‘‘up-flow nonducted’’ definition references the 

separately defined ‘‘up-flow’’ term), 

DOE is proposing to italicize the defined 

terms within CRAC-related definitions 

at 10 CFR 431.92 to signal to the reader 

which terms are separately defined. 

Each of these proposed definitions is 

discussed in further detail in the 

following sections. 

Issue 2: DOE requests comment on its 

proposal to define the following terms, 

consistent with AHRI 1360–202X Draft: 

Floor-mounted, ceiling-mounted, wallmounted, roof-mounted, up-flow, downflow, horizontal flow, up-flow ducted, 

up-flow non-ducted, ceiling-mounted 

ducted, ceiling-mounted non-ducted, 

and fluid economizer. 

a. Mounting Configurations 

A variety of mounting configurations 

are available for CRACs. For CRACs for 

which the unit housing the evaporator 

coil is designed to be installed indoors 

(including both single package and split 

system CRACs), mounting 

configurations include floor-mounted, 

wall-mounted, and ceiling-mounted. 

Floor-mounted units are designed as 

free-standing units that are installed 

directly on a solid floor, a raised floor, 

or a floor-stand; wall-mounted units are 

designed for installation on or through 

a wall; and ceiling-mounted units are 

designed to be installed on or through 

a ceiling. Other CRACs are designed to 

be installed outdoors on a building 

rooftop or on a slab at ground level. 

DOE proposes to adopt the definitions 

in AHRI 1360–202X Draft for ceiling 

mounted units, floor mounted units, 

roof mounted units, and wall mounted 

units, with one minor modification. 

Specifically, DOE proposes to replace 

the phrase ‘‘Indoor Unit’’ with ‘‘unit 

housing the evaporator coil’’ to avoid 

the need for defining another term (i.e., 

‘‘Indoor Unit’’) in the Federal 

regulations. Section 3.11 of AHRI 1360– 

202X Draft specifies that ‘‘Indoor Unit’’ 

for a split system is the unit that 

removes heat from the indoor air stream. 

DOE has tentatively concluded that ‘‘the 

unit removing heat from the indoor air 

stream’’ and ‘‘the unit housing the 

evaporator coil’’ are substantively 

identical for CRACs—the only 

distinction would be for computer room 

air handlers, which remove heat from 

the airstream via a chilled water coil 

and thus do not have an evaporator coil. 

Because DOE does not regulate air 

handlers, DOE is proposing to use the 

phrase ‘‘housing the evaporator coil’’ to 

describe more narrowly the indoor unit 

of a CRAC split system. 

DOE proposes the following 

definitions for CRAC mounting 

configurations at 10 CFR 431.92. These 

definitions are referenced by other 

proposed CRAC configuration 

definitions described in the sections 

that follow. 

Floor-mounted means a configuration 

of computer room air conditioner for 

which the unit housing the evaporator 

coil is configured for indoor installation 

on a solid floor, raised floor, or floorstand. Floor-mounted computer room 

air conditioners are one of the following 

three configurations: Down-flow, 

horizontal-flow, or up-flow. 

Ceiling-mounted means a 

configuration of computer room air 

conditioner for which the unit housing 

the evaporator coil is configured for 


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indoor installation on or through a 

ceiling. 

Wall-mounted means a configuration 

of computer room air conditioner for 

which the unit housing the evaporator 

coil is configured for installation on or 

through a wall. 

Roof-mounted means a configuration 

of computer room air conditioner that is 

not wall-mounted, and for which the 

unit housing the evaporator coil is 

configured for outdoor installation. 

b. Flow Direction 

DOE is proposing to adopt the 

definitions in AHRI 1360–202X Draft for 

‘‘up-flow,’’ ‘‘down-flow,’’ and 

‘‘horizontal-flow’’ CRAC configurations, 

with minor additions to: (1) Clarify that 

these provisions apply only to floormounted CRACs because other types of 

CRACs (i.e., ceiling-mounted, roofmounted, and wall-mounted CRACs) 

each only have one possible airflow 

direction through the unit; and (2) 

replace the term ‘‘cooling coil’’ with 

‘‘evaporator coil’’ to more specifically 

reference the relevant coil, because a 

fluid economizer coil could also be 

considered a ‘‘cooling coil.’’ The 

limitation of scope of these definitions 

to floor-mounted CRACs is consistent 

with Section 3.9.2 of AHRI 1360–202X 

Draft, which includes these as subdefinitions under the definition for 

‘‘floor-mounted unit.’’ 

DOE proposes the following 

definitions regarding the airflow 

direction for CRACs at 10 CFR 431.92: 

Up-flow means a configuration of 

floor-mounted computer room air 

conditioner in which return air enters 

below the bottom of the evaporator coil 

and discharge air leaves above the top 

of the evaporator coil. 

Down-flow means a configuration of 

floor-mounted computer room air 

conditioner in which return air enters 

above the top of the evaporator coil and 

discharge air leaves below the bottom of 

the evaporator coil. 

Horizontal-flow means a configuration 

of floor-mounted computer room air 

conditioner that is neither a down-flow 

nor an up-flow unit. 

c. Ducted and Non-Ducted Definitions 

The definitions in Section 3.19 of 

AHRI 1360–2017 distinguish between 

ducted and non-ducted up-flow units 

based on the presence of factoryinstalled air discharge grills or factoryinstalled supply air plenums. Certain 

floor-mounted units, ceiling-mounted 

units, and wall-mounted units can be 

installed either with or without a duct, 

depending on the needs of the 

installation of the unit in the field. In 

the July 2017 ASHRAE TP RFI, DOE 

noted that AHRI 1360–2016 does not 

provide express instructions on which 

up-flow standard model requirements 

would be used for testing equipment 

that can be installed either with or 

without a duct. DOE requested comment 

on which equipment characteristics can 

be used to determine whether up-flow 

CRACs should be tested as ducted or 

non-ducted models. DOE also requested 

comment on whether up-flow units can 

be sold for both up-flow ducted and upflow non-ducted applications, and 

whether such models are currently 

tested using both ducted and nonducted rating conditions. 82 FR 34427, 

34432–34433 (July 25, 2017). 

In addition, as discussed in the July 

2017 ASHRAE TP RFI, DOE’s review of 

CRAC installation manuals suggests that 

some up-flow units are installed with a 

plenum that directs the vertical airflow 

exiting the top of the unit to a horizontal 

direction (e.g., either toward the front or 

rear of the unit). DOE requested 

comment on the percentage of up-flow 

CRAC installations in which a plenum 

is attached, and whether non-ducted 

units are tested with or without this 

plenum. 82 FR 34427, 34434 (July 25, 

2017). 

In response to the July 2017 ASHRAE 

TP RFI, AHRI stated that up-flow units 

that can be installed with ducting or 

with an air discharge plenum would use 

more energy in the ducted configuration 

and should, therefore, be tested and 

rated as ducted. The commenter argued 

that testing and rating a unit as both 

ducted and non-ducted would add 

unnecessary testing burden on 

manufacturers. AHRI further stated that 

only units with factory-integrated 

discharge grills should be tested as nonducted. (AHRI, No. 11 at p. 4) 

AHRI also commented that if an upflow unit is not shipped with an integral 

factory grill, it should be considered an 

up-flow ducted unit and that such units 

are currently tested with a duct 

regardless of whether they have a 

plenum installed or are ducted in the 

field. AHRI further added that 

approximately 33 percent of up-flow 

ducted units use a manufacturer’s 

plenum to redirect the air from the 

upward direction, while the remaining 

67 percent may be installed with 

ducting in the field. (AHRI, No. 11 at p. 

6). 

This issue was addressed with 

changes in AHRI 1360–202X Draft. The 

definitions in Sections 3.3.1 and 3.9.1 of 

AHRI 1360–202X Draft distinguish 

between ducted and non-ducted ceiling 

mounted and up-flow floor mounted 

units based on the marketing of the unit. 

Specifically, a unit that is marketed only 

for use without discharge ducting is 

classified as a non-ducted unit and a 

unit that is marketed for use with 

discharge ducting (but may also be 

marketed for use without discharge 

ducting) is classified as a ducted unit. 

DOE is proposing to include 

definitions consistent with AHRI 1360– 

202X Draft that differentiate between 

ducted and non-ducted units, with only 

minor modifications. The modifications 

are to simplify the definitions and 

remove unnecessary phrases. For 

example, the definitions for ‘‘ducted 

discharge’’ and ‘‘free air discharge’’ in 

Section 3.9.1 of AHRI 1360–202X Draft 

apply to both up-flow and down-flow 

units and specify that the terms exclude 

units that are ‘‘raised floor plenum 

discharge.’’ The explicit exclusion of 

units that are ‘‘raised floor plenum 

discharge’’ applies only to down-flow 

units because an up-flow unit 

discharges air near the top of the unit 

and would, therefore, never discharge 

air into a raised floor plenum. 

Consequently, this exclusion is 

unnecessary in DOE’s proposed 

definitions for ‘‘up-flow ducted’’ and 

‘‘up-flow non-ducted.’’ 

In summary, DOE proposes the 

following definitions at 10 CFR 431.92 

that differentiate between ducted and 

non-ducted units for up-flow and 

ceiling-mounted CRACs: 

Up-flow ducted means a configuration 

of an up-flow computer room air 

conditioner that is configured for use 

with discharge ducting (even if the unit 

is also configurable for use without 

discharge ducting). 

Up-flow non-ducted means a 

configuration of an up-flow computer 

room air conditioner that is configured 

only for use without discharge ducting. 

Ceiling-mounted ducted means a 

configuration of ceiling-mounted 

computer room air conditioner that is 

configured for use with discharge 

ducting (even if the unit is also 

configurable for use without discharge 

ducting). 

Ceiling-mounted non-ducted means a 

configuration of ceiling-mounted 

computer room air conditioner that is 

configured only for use without 

discharge ducting. 

d. Fluid Economizer 

Section 3.10 of AHRI 1360–202X Draft 

specifies a definition for ‘‘fluid 

economizer,’’ which it defines (in part) 

as an option available to CRACs or 

computer room air handler systems. 

DOE is proposing to adopt the following 

definition for ‘‘fluid economizer’’ at 10 

CFR 431.92, which is consistent with 

the definition used by AHRI 1360–202X 

Draft, except that it does not include 

computer room air handlers because 


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these air handlers (i.e., chilled water 

coils) do not meet DOE’s definition for 

‘‘commercial package air conditioning 

and heating equipment’’ at 10 CFR 

431.92. 

Fluid Economizer means an option 

available with a computer room air 

conditioner in which a fluid (other than 

air), cooled externally from the unit, 

provides cooling of the indoor air to 

reduce or eliminate unit compressor 

operation when outdoor temperature is 

low. The fluid may include, but is not 

limited to, chilled water, water/glycol 

solution, or refrigerant. An external 

fluid cooler, such as but not limited to 

a dry cooler, cooling tower, or 

condenser, is utilized for heat rejection. 

This component is sometimes referred 

to as a free cooling coil, econ-o-coil, or 

economizer. 

E. Metric 

1. NSenCOP 

DOE’s current efficiency metric for 

CRACs is SCOP, which is a ratio of 

cooling capacity delivered to the power 

consumed. For most categories of air 

conditioners and heat pumps other than 

CRACs, the efficiency metrics are 

calculated based on total cooling 

capacity (which includes both sensible 

cooling and latent cooling). However, 

unlike the conditioned spaces in most 

commercial buildings, computer rooms 

and data centers typically have limited 

human occupancy and minimal 

dehumidification requirements, and 

thus, primarily require only sensible 

cooling. Therefore, SCOP is calculated 

based on sensible cooling capacity 

rather than total cooling capacity. 

As discussed, ASHRAE Standard 

90.1–2016 amended the efficiency 

metric for CRACs from SCOP (measured 

per ANSI/ASHRAE 127–2007) to 

NSenCOP (measured per AHRI 1360– 

2016). ASHRAE Standard 90.1–2019 

subsequently retained NSenCOP as the 

test metric, but it updated the test 

reference to AHRI 1360–2017 (which 

specifies NSenCOP as the test metric 

and has the same test conditions as 

AHRI 1360–2016). AHRI 1360–202X 

Draft also specifies NSenCOP as the test 

metric and maintains the rating 

conditions found in AHRI 1360–2017, 

while also adding rating conditions for 

roof-mounted and wall-mounted units. 

Like SCOP, NSenCOP is a ratio of 

sensible cooling capacity to the power 

consumed. However, the test procedure 

to determine NSenCOP differs from that 

to determine SCOP in four key aspects: 

(1) For several CRAC configurations 

(e.g., down-flow, up-flow ducted), 

different indoor entering air 

temperatures are specified; (2) for watercooled CRACs, different entering water 

temperatures are specified; (3) for upflow ducted configurations, different 

indoor air external static pressure (ESP) 

requirements are specified; and (4) for 

water-cooled and glycol-cooled CRACs, 

NSenCOP accounts for energy 

consumed by fans and pumps that 

would be installed in the outdoor heat 

rejection loop, which is not accounted 

for in SCOP. Because of these key 

differences, the SCOP and NSenCOP 

metrics are not equivalent and would 

result in different ratings. As noted, the 

current energy conservation standards 

for CRACs are in terms of SCOP, and 

testing according to the DOE test 

procedure to determine SCOP would 

continue to be required until such time 

as the energy conservation standards are 

amended to rely on NSenCOP, should 

DOE adopt such changes to the 

standards. Each of the differences 

between SCOP and NSenCOP is 

discussed in further detail in the 

following paragraphs. 

a. Indoor Entering Air Temperatures 

ANSI/ASHRAE 127–2007 (for SCOP) 

specifies using a return air temperature 

(i,e., indoor entering air temperature) of 

75 °F for all CRAC configurations. 

However, in the field, the location of the 

return air inlet can impact the return air 

temperature. For example, CRAC 

configurations in which the return air 

inlet is located close to the heat source 

(i.e., horizontal flow units, which are 

typically located adjacent to server 

racks) would have higher entering air 

temperatures than configurations with 

return air inlets located further from the 

heat source. In general, increasing the 

indoor entering air temperature 

(assuming all other parameters remain 

unchanged) increases the measured 

sensible cooling capacity and sensible 

cooling efficiency. In contrast, AHRI 

1360–202X Draft (for NSenCOP) 

specifies different return air 

temperatures for different 

configurations. Specifically, AHRI 

1360–202X Draft specifies indoor 

entering air dry-bulb temperatures for 

each CRAC configuration, as follows: (1) 

85 °F for up-flow ducted units, downflow units, and roof-mounted units; (2) 

95 °F for horizontal-flow units; and (3) 

75 °F for up-flow non-ducted units, 

ceiling-mounted ducted units, ceilingmounted non-ducted units, and wallmounted units. 

b. Entering Water Temperatures 

For water-cooled CRACs, ANSI/ 

ASHRAE 127–2007 (for SCOP) specifies 

an entering water temperature of 86 °F, 

whereas AHRI 1360–202X Draft (for 

NSenCOP) specifies an entering water 

temperature of 83 °F. In general, 

decreasing the entering water 

temperature increases the measured 

efficiency. 

c. Indoor Air ESP Requirements 

For up-flow ducted CRACs, both 

ANSI/ASHRAE 127–2007 and AHRI 

1360–202X Draft specify indoor air ESP 

requirements that vary with net sensible 

cooling capacity. AHRI 1360–202X Draft 

specifies lower ESP requirements than 

ANSI/ASHRAE 127–2007 across all 

capacity ranges, and the capacity bins 

(i.e., capacity ranges over which each 

ESP requirement applies) are different 

between the two test standards. Testing 

with a lower ESP typically decreases the 

indoor fan power input without a 

corresponding decrease in cooling 

capacity, thus increasing the measured 

efficiency. Additionally, the reduction 

in fan heat entering the indoor air 

stream that results from lower fan power 

also slightly increases net sensible 

cooling capacity (NSCC). These indoor 

air ESP requirements are further 

discussed in section III.F.6 of this 

NOPR. 

d. Energy Consumption of Heat 

Rejection Components 

For air-cooled CRACs, all energy 

consumption associated with heat 

rejection (i.e., transfer of heat that is 

captured from the conditioned space to 

outdoor air) is directly captured under 

both ANSI/ASHRAE 127–2007 and 

AHRI 1360–202X Draft because the 

units include the condenser fan(s) as 

integral components. However, for 

water-cooled CRACs and glycol-cooled 

CRACs, the energy consumption 

associated with heat rejection 

components (i.e., liquid pump and 

cooling tower/dry cooler fan(s)) is not 

captured in either test method, because 

the heat rejection components for these 

CRACs are not integral components. 

However, Section 6.3.1 of AHRI 1360– 

202X Draft requires that an allowance 

for the power input of these components 

be added to the total power input used 

to determine NSenCOP. Specifically, 

Section 6.3.1.3 of AHRI 1360–202X 

Draft requires that an allowance be 

added for cooling tower fan(s) and water 

pump power input of water-cooled 

CRACs equal to 5 percent of the 

measured unit net sensible cooling 

capacity, and Section 6.3.1.4 of AHRI 

1360–202X Draft requires that an 

allowance be added for dry cooler fan(s) 

and glycol pump power input of glycolcooled CRACs equal to 7.5 percent of 

the measured unit net sensible cooling 

capacity. ANSI/ASHRAE 127–2007 does 

not include any such adjustments to 

account for the power consumption of 


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15The rating conditions A, B, C, and D specified 

for ASCOP in ANSI/ASHRAE 127–2007 and for 

iNSenCOP in subsequent CRAC industry test 

standards (i.e., 2012 and 2020 versions of ASHRAE 

Standard 127; 2013, 2016, 2017, and 202X Draft 

versions of AHRI Standard 1360) for air-cooled 

units correspond to outdoor entering air 

temperatures of 95.0 °F, 80.0 °F, 65.0 °F, and 40.0 °F, 

respectively. 

these heat rejection components in the 

power input used to calculate SCOP. 

The addition of these allowances does 

not change how the test is conducted, 

but the resulting changes to the 

efficiency ratings would more fully 

capture field energy consumption and 

allow for more representative 

comparison of water-cooled and glycolcooled CRACs with air-cooled CRACs. 

e. Conclusion 

In response to the changes to the 

efficiency metric and referenced 

industry test standard for CRACs in 

ASHRAE Standard 90.1–2019 and the 

draft update to the referenced industry 

test standard (AHRI 1360–202X Draft), 

DOE proposes to update its efficiency 

metric for CRACs to NSenCOP. As 

discussed in section I.A of this NOPR, 

this approach is consistent with the 

general statutory scheme in EPCA to 

adopt an amended test procedure that is 

consistent with the updated relevant 

industry test procedure referenced in 

ASHRAE Standard 90.1. As part of any 

future analysis of energy conservation 

standards for CRACs, DOE would expect 

to conduct a crosswalk analysis to 

translate the current Federal standards 

in terms of SCOP to equivalent levels in 

terms of NSenCOP to evaluate potential 

amendments to the energy conservation 

standards, as appropriate. 

Updating the industry consensus 

standard referenced in the DOE test 

procedure for CRACs to the draft 

updated version of the industry 

standard (i.e., AHRI 1360–202X Draft), 

would require DOE to change the metric 

for CRACs from SCOP to NSenCOP. As 

noted, the energy conservation 

standards for CRACs are in terms of 

SCOP, and testing according to the DOE 

test procedure to determine SCOP 

would continue to be required until 

such time as the energy conservation 

standards are amended to rely on 

NSenCOP, should DOE adopt such 

changes to the standards. Further, DOE 

is unaware of any data or information 

indicating that NSenCOP test conditions 

are not representative of an average 

CRAC use cycle, but the Department 

requests comments, data, and 

information as to this understanding. 

Issue 3: DOE requests comment on its 

proposal to adopt the NSenCOP metric 

for CRACs as part of the proposed test 

procedure in appendix E1, which would 

be used only if DOE were to prescribe 

energy conservation standards 

denominated in terms of NSenCOP in a 

future rulemaking. Additionally, DOE 

seeks feedback on whether the rating 

conditions in AHRI 1360–202X Draft are 

appropriately representative of field 

applications. 

2. Integrated Efficiency Metric 

In contrast to an efficiency metric that 

measures performance at only one test 

point, an annualized, or ‘‘integrated’’ 

efficiency metric measures performance 

at multiple test points (i.e., tests with 

different outdoor test conditions) that 

are intended to reflect seasonal variation 

in outdoor ambient temperatures that 

would be experienced by the equipment 

installed in the field. ANSI/ASHRAE 

127–2007 includes an integrated 

efficiency metric (i.e., adjusted sensible 

coefficient of performance (ASCOP)—a 

metric for which DOE does not require 

manufacturers to report ratings), which 

is calculated based on the SCOP 

determined at four different rating 

conditions (A, B, C, and D) that 

represent different ambient conditions, 

with weightings for the SCOP at each 

rating condition based on the climate at 

a specific location. All subsequent 

versions of CRAC industry standards 

(i.e, 2012 and 2020 versions of ASHRAE 

Standard 127; 2013, 2016, 2017, and 

draft versions of AHRI Standard 1360) 

include a different integrated efficiency 

metric—integrated net sensible 

coefficient of performance (iNSenCOP). 

The iNSenCOP metric is similar to 

ASCOP in that it comprises a weighted 

average of NSenCOP values for four test 

points at varying outdoor conditions.15

Additionally, iNSenCOP includes the 

weightings for each test point, whereas 

for ASCOP, ANSI/ASHRAE 127–2007 

does not provide the weightings for each 

test point, and instead specifies 

obtaining data from a weather bureau or 

other reputable source to develop 

weightings for each ASCOP test point. 

The ASCOP and iNSenCOP test 

methods in the CRAC industry 

consensus test standards require units to 

maintain a constant sensible cooling 

capacity at lower ambient temperatures. 

However, as the ambient temperature 

decreases, the maximum cooling 

capacity of a CRAC will inherently 

increase as the condensing temperature 

decreases. The CRAC industry 

consensus test standards do not provide 

direction regarding how the unit should 

be controlled to deliver the same 

amount of sensible cooling as its 

capacity increases for the lower-ambient 

tests. AHRI 1360–2017 acknowledges 

that it may be difficult to maintain test 

conditions within tolerance while 

operating at the full-load cooling load at 

reduced ambient temperatures, but does 

not provide direction regarding how the 

unit should be controlled. In the July 

2017 ASHRAE TP RFI, DOE requested 

comment on whether it should consider 

adopting an integrated efficiency metric 

(e.g., iNSenCOP) and, if so, how the 

requirement to maintain a constant 

sensible cooling capacity associated 

with the iNSenCOP test procedure 

should be implemented during testing. 

82 FR 34427, 34432 (July 25, 2017). 

In response, AHRI stated that an 

annualized energy efficiency metric 

such as iNSenCOP would best represent 

the energy efficiency of CRACs. 

However, AHRI stated that testing 

limitations currently prevent the 

development of an iNSenCOP metric. 

AHRI further commented that it had 

begun work to assess the feasibility of 

an annualized metric that can be 

verified by testing, but that this research 

would not be completed in time for 

inclusion in the 2017 version of AHRI 

1360. Consequently, AHRI 

recommended that this issue be 

addressed at a later date. (AHRI, No. 11 

at p. 3) 

Consistent with AHRI’s comment, 

section D1 of AHRI 136–2017 (and 

section G1 of the subsequently 

published AHRI 1360–202X Draft) states 

that ‘‘a long-term goal is for iNSenCOP 

to replace NSenCOP after a more readily 

testable means has been standardized.’’ 

DOE is not aware of any test data that 

verifies the validity of the iNSenCOP 

metric. Further, minimum efficiency 

levels in terms of iNSenCOP have not 

been adopted in ASHRAE Standard 

90.1. The Department acknowledges the 

potential benefit regarding 

representativeness that would be 

provided with an annualized metric for 

CRACs. However, given the apparent 

need for further validation and the lack 

of test data, DOE is not proposing to use 

the iNSenCOP metric at this time. 

3. Part-Load Operation and Air 

Circulation Mode 

As discussed in the July 2017 

ASHRAE TP RFI, CRACs typically 

operate at part-load (i.e., less than 

designed full cooling capacity) in the 

field. 82 FR 34427, 34432 (July 25, 

2017). Reasons for this may include, but 

are not limited to, redundancy in 

installed units to prevent server 

shutdown if a CRAC unit stops working, 

and server room designers building in 

extra cooling capacity to accommodate 

additional server racks in the future. 

While the current DOE test procedure 

measures performance at full-load, DOE 

has estimated that CRACs operate on 

average at a sensible load of 65 percent 


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of the full-load sensible capacity in the 

analysis for a final rule for standards 

and test procedures for certain 

commercial heating, air conditioning, 

and water heating equipment (including 

CRACs) published on May 16, 2012 (77 

FR 28928). (Technical Support 

Document, EERE–2011–BT–STD–0029– 

0021, pp. 4–15, 4–16) In the July 2017 

ASHRAE TP RFI, DOE requested 

information on the range of typical field 

load levels for CRACs at conditions 

close to or at the maximum ambient 

outdoor air temperature conditions 

specified in the DOE test procedure for 

various unit capacities. DOE also sought 

input on typical rules of thumb for 

oversizing and whether the issue of 

oversizing of this equipment should be 

addressed in the efficiency metric. 82 

FR 34427, 34432 (July 25, 2017). 

Additionally, as discussed in the July 

2017 ASHRAE TP RFI, many CRACs 

operate in air circulation mode. 82 FR 

34427, 34432 (July 25, 2017). In this 

mode, the direct expansion refrigerant 

system is shut down, and only the 

indoor fans and controls are operating. 

In a computer room with redundant 

CRAC units installed, one or more of the 

redundant units can be operated in air 

circulation mode to provide increased 

air movement. In the July 2017 ASHRAE 

TP RFI, DOE requested comment on the 

conditions under which CRACs 

typically operate in air circulation mode 

(i.e., operating the indoor fan without 

actively cooling) in the field, whether 

each CRAC switches automatically 

between standard cooling mode and air 

circulation mode, and if so, the time 

percentage that CRACs operate in air 

circulation mode. DOE also sought 

comment on which fan setting(s) is used 

for air circulation mode and whether 

DOE should consider this energy use in 

the CRAC efficiency metric. Id. 

The CA IOUs encouraged DOE to 

adopt an efficiency metric for CRACs 

that includes part-load conditions, 

stating that a full-load metric is highly 

unrepresentative of operation of CRACs 

in the field. Specifically, the CA IOUs 

stated that because computer rooms are 

built out in stages, CRACs may be sized 

for loads that are far greater than the 

loads actually met in practice, and that 

redundant and oversized CRACs are 

typically installed to ensure the 

continuous operation of these critical 

facilities. These commenters further 

stated that CRACs typically operate at 

between 10 percent and 50 percent of 

full-load capacity. Therefore, the CA 

IOUs recommended that DOE should 

modify the iNSenCOP metric to account 

for part-load operation in addition to 

variations in ambient conditions, or that 

DOE should develop a new integrated 

metric that includes part-load test 

points. (CA IOUs, No. 3 at pp. 3–4) 

The Joint Advocates urged DOE to 

adopt an efficiency metric for CRACs 

that incorporates part-load performance, 

stating that a full-load metric is not 

representative of performance in the 

field and, therefore, does not provide 

good information to consumers. 

Additionally, the Joint Advocates stated 

that if CRACs spend a significant 

amount of time in air circulation mode, 

the energy use for that operating mode 

should be captured in the test 

procedure. These commenters also 

stated that variable-speed controls for 

fans and compressors can significantly 

improve performance when operating at 

part-load conditions or in air circulation 

mode, and that capturing these benefits 

in the test procedure would likely 

increase adoption of these technologies. 

The Joint Advocates acknowledged that 

measuring power consumption in air 

circulation mode would require 

additional testing, but suggested that the 

test burden would be small and that 

testing of air circulation mode could be 

performed immediately following the 

refrigeration system testing, similar to 

what is specified in the new test 

procedures for testing dehumidifiers in 

‘‘off-cycle’’ mode. (Joint Advocates, No. 

9 at pp. 2–3) 

AHRI stated that oversizing of CRACs 

varies from site to site and depends on 

several factors such as redundancy, 

control sequencing, and the build-out 

plan. Because of such variations, AHRI 

stated that it is neither practical nor 

feasible to address oversizing in the 

efficiency metric for CRACs. AHRI did 

not comment on whether energy use 

from air circulation mode should be 

reflected in the CRAC efficiency metric, 

but stated that airflow is a major 

consideration in the design of a data 

center cooling system and that the 

control of airflow depends on how the 

data center is designed. The trade 

association stated that circulating fan 

speeds (in the case of variable-speed 

fans) are controlled by aisle 

temperatures, rack temperatures, static 

pressure, and supply air or return air 

temperatures; and that the industry has 

gone to great lengths to address airflow 

design and control issues. AHRI further 

commented that in many cases, the 

controls can be adjusted manually in a 

matter of seconds to respond to server 

equipment or load changes in the room. 

(AHRI, No. 11 at p. 4) 

These comments suggest that CRACs 

are commonly oversized when installed 

in the field, and that this oversizing can 

significantly influence performance. 

DOE acknowledges that the extent of 

oversizing of CRACs likely varies by 

application, but DOE tentatively 

disagrees with AHRI’s statement that it 

is neither practical nor feasible to 

account for oversizing in an efficiency 

metric for CRACs. For example, the ESP 

that indoor fans must overcome from 

ductwork varies widely by installation 

location, yet all versions of AHRI 

Standard 1360 specify ESP requirements 

to be used for testing all CRACs. 

Additionally, DOE understands that 

many CRACs operate in air circulation 

mode and that incorporating air 

circulation mode in testing might 

incentivize use of more-efficient fan 

technologies for CRACs that typically 

operate at lower fan speeds in air 

circulation mode. At this time, however, 

DOE does not have information or data 

on part-load or air circulation mode 

operation of CRACs to support a 

proposal to amend the efficiency metric 

to account for performance in these 

operating modes. 

F. Test Method 

This section discusses certain issues 

related to testing CRACs, several of 

which were identified by DOE in the 

July 2017 ASHRAE TP RFI and 

subsequently addressed in AHRI 1360– 

202X Draft. Therefore, in this section, 

comments received regarding such 

issues are briefly summarized and cited 

but are addressed by referencing the 

relevant language in AHRI 1360–202X 

Draft. 

1. Standard Configurations 

Section 3.18 of AHRI 1360–2016 

specifies four floor-mounted ‘‘standard 

model’’ configurations to standardize 

rating conditions (e.g., ESP, return air 

temperature) based on the configuration 

of a unit. These four ‘‘standard model’’ 

configurations are: Up-flow ducted, upflow non-ducted, down-flow, and 

horizontal-flow. Section C1 of Appendix 

C of AHRI 1360–2016 categorizes all 

units within the scope of the test as one 

of the four floor-mounted ‘‘standard 

model’’ configurations, and Table C1 of 

AHRI 1360–2016 specifies the indoor 

rating conditions for each ‘‘standard 

model’’ configuration. Table C1 of AHRI 

1360–2016 also identifies 13 

‘‘application configurations,’’ which are 

optional test configurations and are not 

specified for use in developing 

efficiency ratings. 

As part of the July 2017 ASHRAE TP 

RFI, DOE requested confirmation that, 

although floor-mounted CRACs may be 

sold to be installed in multiple 

configurations, all models are capable of 

being tested as one of the four floormounted standard models identified in 

Table C.1 of AHRI 1360–2016. 82 FR 

34427, 34433 (July 25, 2017). 


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16Available at: www.regulations.gov/ 

docket?D=EERE-2014-BT-GUID-0022. 

In response to the July 2017 ASHRAE 

TP RFI, AHRI stated that all floormounted models can be configured as 

one of the four floor-mounted standard 

models specified in AHRI 1360–2016 

and tested accordingly. AHRI also 

added that some air discharge unit 

variations may require special test setups, but did not elaborate on this issue. 

(AHRI, No. 11 at p. 4) 

AHRI 1360–2017 specifies six 

‘‘standard model’’ configurations and 

includes ceiling-mounted ducted and 

ceiling-mounted non-ducted ‘‘standard 

model’’ configurations, in addition to 

the four floor-mounted ‘‘standard 

model’’ configurations in AHRI 1360– 

2016. AHRI 1360–202X Draft includes a 

similar concept but designates the 

configurations as ‘‘standard 

configurations’’ rather than ‘‘standard 

models.’’ In addition to the six 

configurations specified as ‘‘standard 

models’’ in AHRI 1360–2017, Sections 

3.25 and C1 (to Appendix C) of AHRI 

1360–202X Draft include two additional 

standard configurations for wallmounted and roof-mounted CRACs. 

Tables C1 and C2 to Appendix C of 

AHRI 1360–202X Draft specify these 

eight standard configurations, as well as 

14 ‘‘application configurations,’’ which 

Section 3.2 of AHRI 1360–202X Draft 

defines as unit configurations other than 

standard configurations. However, 

Section 3.2 of AHRI 1360–202X Draft 

states that all units within the scope of 

AHRI Standard 1360 shall be tested and 

rated as standard configurations. 

Accordingly, for each application 

configuration, Note 2 to Table C1 and 

Notes 3 through 5 to Table C2 of AHRI 

1360–202X Draft assign a specific 

standard configuration to be used for 

rating purposes. 

In light of the provisions in AHRI 

1360–202X Draft regarding standard 

configurations for testing CRACs, DOE 

surmises that the approach provided in 

AHRI 1360–202X Draft represents 

industry consensus regarding the most 

appropriate and representative 

configurations for testing. To the extent 

that AHRI had any concerns regarding 

special test set-ups needed for certain 

unit variations (as set forth in the 

comments in response to the July 2017 

ASHRAE TP RFI), DOE presumes that 

AHRI’s original position on this issue 

changed during the course of 

developing the updated industry 

consensus standard. DOE is proposing 

to adopt the provisions regarding 

standard configurations to be used for 

testing under AHRI 1360–202X Draft. 

2. Ceiling-Mounted CRACs 

The CRAC industry test standard 

referenced in DOE’s current test 

procedure in 10 CFR 431.96, ANSI/ 

ASHRAE 127–2007 (omitting section 

5.11), is not specific as to mounting 

location (i.e., floor, ceiling, wall, roof). 

However, on October 7, 2015, DOE 

issued a draft guidance document 

(‘‘October 2015 Draft Guidance’’) to 

clarify that ceiling-mounted CRACs are 

covered equipment and are required to 

be tested under the current DOE test 

procedure for purposes of making 

representations of energy consumption. 

DOE also noted that a manufacturer may 

request a test procedure waiver for a 

basic model if it contains design 

features that prevent testing according 

to the DOE test procedure. (Docket No. 

EERE–2014–BT–GUID–0022, No. 3, pp. 

1–2) 16

In the July 2017 ASHRAE TP RFI, 

DOE requested comment on the 

appropriate test procedure for ceilingmounted CRACs and the test burden 

associated with any such procedure. 82 

FR 34427, 34431 (July 25, 2017). DOE 

also noted that ANSI/ASHRAE 127– 

2007 and ANSI/ASHRAE 127–2012 do 

not exclude ceiling-mounted CRACs, 

but that AHRI 1360–2016 (the latest 

version of AHRI 1360 at the time of the 

July 2017 ASHRAE TP RFI) provides 

test provisions and rating conditions 

only for floor-mounted CRACs. 82 FR 

34427, 34430–34431 (July 25, 2017). 

Further, DOE noted that the current 

DOE test procedure, which incorporates 

by reference ANSI/ASHRAE 127–2007, 

specifies different test conditions (e.g., 

different ESP) than AHRI 1360–2016, 

and the Department requested comment 

on whether the test requirements of 

ANSI/ASHRAE 127–2007 are 

representative of average use cycles for 

ceiling-mounted CRACs. 82 FR 34427, 

34433–34434 (July 25, 2017). In the July 

2017 ASHRAE TP RFI, DOE requested 

information on whether the ESP levels 

required by ANSI/ASHRAE 127–2012 

(which is referenced by AHRI 1360– 

2016) are representative of field 

operation for ceiling-mounted CRACs 

(among other non-floor-mounted CRAC 

configurations), and if not, what a 

representative minimum ESP would be. 

82 FR 34427, 34434 (July 25, 2017). 

In response, AHRI commented that 

AHRI 1360 was under revision (at the 

time of the response) and that an 

updated version would be published in 

2017 (i.e., AHRI 1360–2017). AHRI 

stated that the revised version would 

specify ESP requirements for ceilingmounted CRACs. AHRI provided a 

working draft of AHRI 1360–2017 as 

part of its comment response. (AHRI, 

No. 11 at p. 6) AHRI also stated that the 

average use cycle for ceiling-mounted 

CRAC units and other non-floormounted CRACs would be the same as 

floor-mounted units. (AHRI, No. 11 at p. 

5) 

AHRI 1360–202X Draft includes 

ceiling-mounted units within the scope 

of the industry consensus test standard 

and specifies ducting configuration (e.g., 

ducted discharge and ducted return) 

requirements in section 3.3.1, indoor 

entering air temperature in Table 3, and 

ESP requirements that apply specifically 

to ceiling-mounted units in Table 5 of 

that standard. These configurations and 

conditions align with those included for 

ceiling-mounted CRACs in the working 

draft of AHRI 1360–2017 provided as 

part of AHRI’s comment response. 

Accordingly, DOE surmises that the 

approach provided in AHRI 1360–202X 

Draft represents industry consensus 

regarding the most appropriate and 

representative method for testing 

ceiling-mounted CRACs. Further, from 

DOE’s initial review of public product 

literature for ceiling-mounted CRACs, 

DOE has tentatively determined that the 

ESP requirements for ceiling-mounted 

CRACs in AHRI 1360–202X Draft are 

more representative for testing ceilingmounted CRACs than the ESP 

requirements specified in ANSI/ 

ASHRAE 127–2007 (as provided in the 

October 2015 Draft Guidance 

Document). Therefore, DOE is proposing 

to adopt the provisions in AHRI 1360– 

202X Draft regarding testing ceilingmounted CRACs. If DOE adopts the 

proposed test procedures for ceilingmounted CRACs, DOE expects that this 

update to the industry consensus 

standard would obviate the need to 

update/finalize DOE’s draft guidance 

document on this issue. (Docket No. 

EERE–2014–BT–GUID–0022, No. 3, pp. 

1–2) 

3. Non-Floor Mounted CRACs 

The current DOE test procedure 

(which references ANSI/ASHRAE 127– 

2007) does not provide specific 

directions for testing wall-mounted or 

roof-mounted CRACs (although they are 

not excluded from ANSI/ASHRAE 127– 

2007). In the July 2017 ASHRAE TP RFI, 

DOE requested information on the 

extent to which single-package nonfloor-mounted air conditioners are used 

in computer room applications. DOE 

also requested comment on whether 

special test procedure provisions should 

be developed for different kinds of 

single-package non-floor-mounted air 

conditioners that are used for computer 

room cooling. 82 FR 34427, 34431 (July 

25, 2017). 

In response to the July 2017 ASHRAE 

TP RFI, AHRI stated that it did not have 


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information on the extent to which 

single-package non-floor-mounted air 

conditioners are used in computer room 

applications. AHRI further stated that it 

has not studied test provisions for 

single-package non-floor-mounted 

CRACs in-depth, but commented that 

these units could be tested by 

combining the test set-up(s) used for 

testing air conditioners intended for 

comfort cooling applications with the 

rating conditions specified for CRACs in 

AHRI 1360. (AHRI, No. 11 at pp. 2–3) 

AHRI 1360–202X Draft includes wallmounted and roof-mounted units in the 

scope of the test standard and provides 

rating and test conditions for these 

units. In light of the provisions in AHRI 

1360–202X Draft regarding testing wallmounted and roof-mounted CRACs, 

DOE surmises that the approach 

provided in AHRI 1360–202X Draft 

represents industry consensus regarding 

the most appropriate and representative 

method for testing these CRACs. DOE is 

proposing to adopt the provisions in 

AHRI 1360–202X Draft regarding testing 

wall-mounted and roof-mounted 

CRACs. 

In the July 2017 ASHRAE TP RFI, 

DOE also requested comment on 

whether there are other configurations 

of commercial package air conditioners 

that are designed, marketed, or used in 

computer room cooling applications and 

that meet DOE’s current definition for a 

CRAC, beyond floor-mounted units, 

ceiling-mounted units, portable units, 

indoor single-package wall-mounted 

units, roof-mounted units, and certain 

SPVUs. 82 FR 34427, 34431 (July 25, 

2017). 

In response, AHRI commented that 

DOE’s list of configurations of 

commercial package air conditioners 

presented in the July 2017 ASHRAE TP 

RFI covers all variations of systems used 

for data center cooling other than 

variable refrigerant flow multi-split air 

conditioners and heat pumps (‘‘VRF 

multi-split systems’’), evaporative 

coolers, and site built-up systems (i.e., 

engineered-to-order systems). (AHRI, 

No. 11 at p. 3) 

DOE has not identified any VRF 

multi-split systems on the market that 

are specifically marketed for computer 

room cooling applications, and 

provisions for testing such systems are 

not included in AHRI 1360–202X Draft 

or ANSI/ASHRAE 127–2020. 

Evaporative coolers do not include 

refrigeration systems; therefore, they are 

not air conditioners and are not covered 

products or equipment under 42 U.S.C. 

6291 or 42 U.S.C. 6311, respectively. 

The Federal test procedures (and energy 

conservation standards) do not 

distinguish between ‘‘engineered-toorder’’ equipment and mass-market 

equipment. To the extent that 

equipment is a CRAC, it is subject to the 

Federal test procedures and applicable 

energy conservation standards. In its 

comments, AHRI did not provide any 

indication that there are site-built/ 

engineered-to-order CRACs that warrant 

unique test provisions. In accordance 

with the CRAC configurations covered 

in AHRI 1360–202X Draft, DOE 

surmises that the provisions provided in 

AHRI 1360–202X Draft represents 

industry consensus regarding the 

configurations of CRACs for which 

specific test provisions are warranted. 

DOE is not proposing test provisions for 

any configurations of CRACs not 

included in AHRI 1360–202X Draft. 

4. ANSI/ASHRAE 37 Test Requirements 

The current DOE test procedure for 

CRACs references ANSI/ASHRAE 127– 

2007, which in turn references ANSI/ 

ASHRAE Standard 37–2005, ‘‘Methods 

of Testing for Rating Unitary AirConditioning and Heat Pump 

Equipment’’ (ANSI/ASHRAE 37–2005). 

In the July 2017 ASHRAE TP RFI, DOE 

noted that ANSI/ASHRAE 127–2012 

and AHRI 1360–2016 reference a more 

recent version (i.e., ANSI/ASHRAE 37– 

2009), but none of these industry test 

standards for CRACs indicate which 

specific provisions of the applicable 

version of ANSI/ASHRAE 37 are 

intended to apply. 82 FR 34427, 34433 

(July 25, 2017). DOE requested comment 

on whether the test method of ANSI/ 

ASHRAE 37–2009 is appropriate for 

measuring capacity, sensible capacity, 

and electric energy use for all 

configurations of CRACs (including 

configurations for which DOE does not 

currently prescribe standards). Id. 

In response, AHRI stated that a 

combination of ANSI/ASHRAE 37– 

2009, ANSI/ASHRAE 127–2012, and the 

draft version of AHRI 1360 at the time 

of AHRI’s comment should cover most 

test methods for CRACs. (AHRI, No. 11 

at p. 5). 

AHRI 1360–202X Draft also references 

ANSI/ASHRAE 37–2009 but provides 

additional clarity on the applicability of 

provisions in ANSI/ASHRAE 37–2009. 

Specifically, Section 5.1 of AHRI 1360– 

202X Draft specifies that all testing shall 

be conducted in accordance with ANSI/ 

ASHRAE 127–2020 and ANSI/ASHRAE 

37–2009, and that in the event of 

conflicting instructions between test 

standards, the instructions in AHRI 

1360–202X Draft take precedence. In 

light of the provisions in AHRI 1360– 

202X Draft regarding the applicability of 

ANSI/ASHRAE 37–2009, DOE surmises 

that the approach provided in AHRI 

1360–202X Draft represents industry 

consensus regarding the most 

appropriate and representative method 

for testing CRACs. DOE is proposing to 

adopt the provisions in AHRI 1360– 

202X Draft regarding the applicability of 

ANSI/ASHRAE 37–2009 for testing 

CRACs. 

In the July 2017 ASHRAE TP RFI, 

DOE raised several more specific issues 

related to the applicability of ANSI/ 

ASHRAE 37–2009. These issues are 

addressed in AHRI 1360–202X Draft, 

and DOE is proposing to adopt these 

provisions in AHRI 1360–202X Draft. 

These issues are discussed in the 

following subsections. 

a. Test Tolerances 

Table 2b of ANSI/ASHRAE 37–2009 

includes test operating tolerances (i.e., 

the maximum permissible range of a 

measurement during the specified test 

interval) and condition tolerances (i.e., 

the maximum permissible difference 

between the averaged value of the 

measured test parameter and the 

specified test condition) for several 

parameters, including air and fluid 

temperatures. Section 5.1 of ANSI/ 

ASHRAE 127–2007 and Section 5.2.1 of 

ANSI/ASHRAE 127–2012 include an 

operating tolerance for the room 

temperature; however, no published 

versions of ANSI/ASHRAE 127 or AHRI 

1360 prior to AHRI 1360–2017 

specifically include tolerances for any 

other test parameters or clarify whether 

such tolerances are included as part of 

the general reference to ASHRAE 

Standard 37. 

In the July 2017 ASHRAE TP RFI, 

DOE requested comment on whether 

any operating or condition tolerances 

included in Table 2b of ANSI/ASHRAE 

37–2009 are inappropriate for CRACs. If 

any are inappropriate, DOE requested an 

explanation as to why and suggestions 

on how the tolerances should be 

changed. 82 FR 34427, 34433 (July 25, 

2017). 

In response, AHRI commented that 

the tolerances listed in Table 2b of 

ANSI/ASHRAE 37–2009 are appropriate 

for testing CRACs. (AHRI, No. 11 at p. 

5) 

Subsequently, the AHRI 1360 

committee has developed an updated 

draft version, AHRI 1360–202X Draft, 

which specifies operating and condition 

test tolerances in Table 7 of the draft 

industry test standard. These tolerances 

generally align with those in Table 2b of 

ANSI/ASHRAE 37–2009 but also 

include tolerances for electrical voltage, 

electrical frequency, and indoor and 

outdoor dew point temperatures. 

Furthermore, section E5.3.2 of 

Appendix E of AHRI 1360–202X Draft 

specifies condition tolerances for indoor 


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17ANSI/ASHRAE 37–2009 does not require 

secondary capacity measurements for equipment 

with cooling capacity greater than or equal to 

135,000 Btu/h. 

18Specifically, Section E7.2 of Appendix E of 

AHRI 1360–202X Draft includes the following 

requirements: For the following equipment, no 

secondary measurements are required: (1) Singlepackage evaporatively-cooled equipment with rated 

cooling capacity greater than or equal to 135,000 

Continued 

airflow and ESP. DOE is proposing to 

adopt the test tolerances specified in 

AHRI 1360–202X Draft. 

b. Enclosure for CRACs With 

Compressors in Indoor Units 

DOE’s research indicates that most 

air-cooled CRACs are split systems with 

the compressor(s) housed in the indoor 

unit. Additionally, water-cooled and 

glycol-cooled CRACs are typically 

single-package systems, and all 

components in such systems are 

typically intended for indoor 

installation. Where the compressor is 

installed in relation to the conditioned 

space and other system components 

impacts the capacity of the system and 

the provisions necessary for accurately 

measuring system capacity, because 

waste heat from the compressor is 

transferred to the surrounding air. 

Section 6.1.5 of ASHRAE 37–2009 states 

that an enclosure as shown in Figure 3 

of the standard must be used when the 

compressor is housed in the indoor 

section (i.e., indoor unit) and separately 

ventilated (i.e., air that absorbs 

compressor heat would not combine 

with supply air, which is used to 

measure capacity). Figure 3 shows an 

insulated enclosure surrounding the 

indoor unit that ensures that the 

separately ventilated compressor air 

recombines with supply air to be 

included in capacity measurements. 

Hence, the heat rejected from the 

compressor shell is accounted for in the 

indoor air enthalpy method 

measurement. This test arrangement 

also reflects field performance of the air 

conditioner to the extent that any 

compressor heat rejected to the indoors 

will heat the space, thereby reducing 

cooling capacity and increasing heating 

capacity. For systems where the 

compressor is in the indoor section but 

not separately ventilated, the air that 

absorbs compressor heat combines with 

supply air and is accounted for in the 

indoor air enthalpy method capacity 

measurements without the need for the 

enclosure in Figure 3. In the 2017 

ASHRAE TP RFI, DOE requested 

comment on whether it is appropriate to 

incorporate the impact of compressor 

heat in sensible capacity measurements 

for CRACs with compressors housed in 

their indoor units. 82 FR 34427, 34433 

(July 25, 2017). 

In response, AHRI stated that the heat 

released from the compressor shell is 

not significant. AHRI further 

commented that both the hot and cold 

sections of the compressor are typically 

exposed to the unit airstream, and, 

therefore, that compressor heat (if any) 

is already included in the sensible 

capacity measurement of CRACs. 

Similarly, in units where the 

compressor is in a separate 

compartment, AHRI stated that the 

negative air pressure of the adjacent 

evaporator usually pulls the compressor 

heat, if any, into the airstream. (AHRI, 

No. 11 at p. 6). 

Section 5.4 of AHRI 1360–202X Draft 

specifies requirements for when an 

enclosure as shown in Figure 3 of ANSI/ 

ASHRAE 37–2009 must be used for 

testing CRACs. Specifically, Section 

5.4.1 notes than an enclosure is required 

for systems for which the compressor(s) 

is housed in a part of the unit that the 

manufacturer’s installation instructions 

indicate is intended for indoor 

installation and the compressor(s) is 

separately ventilated from the 

evaporator or condenser airstream. 

Additionally, for systems for which the 

compressor(s) is housed in a part of the 

unit that the manufacturer’s installation 

instructions indicate is intended for 

indoor installation, but the 

compressor(s) is not separately 

ventilated—Section 5.4.2 states that an 

enclosure must be used if the required 

heat balance between the primary and 

secondary capacity measurements 

cannot be achieved. In light of the 

provisions in AHRI 1360–202X Draft 

regarding enclosures for CRACs with 

compressors in the indoor unit, DOE 

surmises that AHRI’s original position 

on these provisions, as set forth in the 

comments in response to the July 2017 

ASHRAE TP RFI, changed during the 

course of developing that industry 

consensus standard. DOE is proposing 

to adopt the provisions regarding 

enclosures for CRACs with compressors 

in the indoor unit specified in Section 

5.4 of AHRI 1360–202X Draft. 

c. Secondary Methods for Capacity 

Measurement 

Section 7.2.1 of ANSI/ASHRAE 37– 

2005 (which is referenced by ANSI/ 

ASHRAE 127–2007, which is 

incorporated by reference in DOE’s 

current test procedure) and Section 

7.2.1 of ANSI/ASHRAE 37–2009 (which 

is referenced by all CRAC industry test 

standards published after 2009) both 

require that when testing equipment 

with a total cooling capacity less than 

135,000 Btu/h, simultaneous capacity 

tests must be conducted using the 

indoor air enthalpy method as the 

primary method and one other 

applicable method as the secondary 

method.17 Specifically, these other 

applicable test methods include the 

outdoor air enthalpy method, the 

compressor calibration method, the 

refrigerant enthalpy method, and the 

outdoor liquid coil method. Table 1 of 

ANSI/ASHRAE 37–2005 and Table 1 of 

ANSI/ASHRAE 37–2009 specify which 

of these test methods are applicable for 

each equipment configuration and 

method of heat rejection in cooling 

mode. Additionally, Section 10.1.2 of 

these standards requires that the total 

cooling capacity values calculated from 

the two simultaneously conducted 

methods agree within 6.0 percent. 

The secondary test method is mainly 

used to validate the accuracy of the 

capacity measurements. Specifically, 

the secondary test method ensures that 

all energy flowing into and out from the 

system are accounted for. If the 

measured total cooling capacity is 

verified to be accurate by using a 

secondary test method, the measured 

sensible cooling capacity using the 

indoor air enthalpy method likewise 

would be accurate, thereby ensuring 

results that are appropriately 

representative of equipment operation 

during an average use cycle. 

In the 2017 ASHRAE TP RFI, DOE 

sought comment on whether a 

secondary test is appropriate for testing 

CRACs, for what range of cooling 

capacity such a requirement should 

apply for CRACs, how the requirement 

should be applied, what level of 

agreement should be required, and 

whether there would be a significant 

additional test burden resulting from a 

secondary test. 82 FR 34427, 34433 (July 

25, 2017). 

In response, AHRI stated that it is not 

aware of a secondary test that confirms 

sensible cooling capacity specifically. 

AHRI recommended that DOE not adopt 

a secondary test requirement for CRACs 

until such time as an appropriate test 

method is developed and proven to be 

accurate. (AHRI, No. 11 at p. 5) 

AHRI 1360–202X Draft includes 

requirements for conducting secondary 

methods of total capacity measurement 

for CRACs. More specifically, Section 

E7.2 of Appendix E of AHRI 1360–202X 

Draft sets forth equipment 

configurations for which secondary 

measurements are not required, but for 

all other configurations, it requires use 

of one of the applicable ‘‘Group B’’ 

methods specified in Table 1 of ANSI/ 

ASHRAE 37–2009 as a secondary 

method.18 Section E7.4 of Appendix E 


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Btu/h and (2) air-cooled single-package equipment 

with outdoor airflow rates (either manufacturerspecified or determined via testing) above 9,000 

scfm. For all other equipment, use one of the 

applicable ‘‘Group B’’ methods specified in Table 

1 of ANSI/ASHRAE 37–2009 as a secondary method 

for capacity measurement. 

19Section 6.2.4.5 of AHRI 1360–2016 specifies 

that for products intended to be installed with the 

outdoor airflow ducted, the unit shall be installed 

with outdoor coil ductwork installed per 

manufacturer installation instructions and shall 

operate at 0.5 in H2O ESP. 

20The symbol ‘‘in H2O’’ refers to inches of water 

column. 

of AHRI 1360–202X Draft specifies a 

requirement on agreement between total 

capacity measurements (for applicable 

equipment)—the secondary capacity 

measurement must be within 6 percent 

of the primary capacity measurement. In 

light of the provisions in AHRI 1360– 

202X Draft regarding secondary 

methods for capacity measurement, 

DOE surmises AHRI’s original position 

on these provisions, as set forth in the 

comments in response to the July 2017 

ASHRAE TP RFI, changed during the 

course of developing that industry 

consensus standard. DOE is proposing 

to adopt the provisions regarding 

secondary methods specified in Section 

E7 of AHRI 1360–202X Draft. 

5. Ducted Condensers 

CRACs with condensers or 

condensing units intended for indoor 

installation may require ducting of 

outdoor air. As part of the July 2017 

ASHRAE TP RFI, DOE requested 

comment on how to set up the 

condenser airflow when testing CRACs 

manufactured with condenser air inlet 

and outlet connections and high-static 

condenser fans (which is indicative of 

units that can be installed indoors with 

the condenser inlet air ducted from the 

outdoors to the unit, and vice versa for 

the condenser outlet air). Additionally, 

DOE requested comment on whether 

some CRACs can be installed with or 

without condenser ducting, and if so, 

how often these units are typically 

installed with condenser ducting. DOE 

also sought comment on whether certain 

CRAC configurations are more likely to 

be installed with condenser ducting. 82 

FR 34427, 34434 (July 25, 2017). 

In response, AHRI stated that the 

condenser airflow is established and 

measured in accordance with ANSI/ 

ASHRAE 37–2009 and ANSI/ASHRAE 

127–2012, and that a two-step process is 

required when testing in psychrometric 

rooms without an outdoor air 

measurement chamber. (AHRI, No. 11 at 

p. 7) AHRI also commented that 

manufacturers do not know what 

percentage of CRACs with indoor 

condensers are ducted in the field, but 

that all units with indoor condensers are 

capable of being ducted and are rated 

with an ESP consistent with the 

requirements in Section 6.2.4.5 of AHRI 

1360–2016.19 AHRI further stated that 

99 percent of air-cooled floor-mounted 

CRACs utilize outdoor free air discharge 

condensers and that only 1 percent of 

units are installed with indoor ducted 

condensers. However, AHRI stated that 

indoor ducted condensers are more 

prevalent for air-cooled ceiling-mounted 

CRACs (20 percent). Additionally, AHRI 

argued that due to space constraints, as 

well as larger condenser fan motors, 

ceiling-mounted CRACs with ducted 

condensers should have lower 

minimum efficiency levels. AHRI stated 

that it will develop a proposal regarding 

efficiency levels to be included in 

ASHRAE Standard 90.1 for ceilingmounted CRACs with ducted 

condensers in the near future. Id. 

AHRI 1360–202X Draft includes 

provisions for testing CRACs with 

ducted condensers. Specifically, Table 6 

of AHRI 1360–202X Draft provides the 

following outdoor air ESP requirements 

for units with ducted condensers: 0.5 in 

H2O 20 for ceiling-mounted units, and 

0.0 in H2O for all other configurations. 

Further, Section E6 of Appendix E of 

AHRI 1360–202X Draft specifies test 

provisions for setting outdoor airflow 

and outdoor air ESP for units with 

ducted condensers. In light of the 

provisions in AHRI 1360–202X Draft 

regarding testing CRACs with ducted 

condensers, DOE surmises that the 

approach provided in AHRI 1360–202X 

Draft represents industry consensus 

regarding the most appropriate and 

representative method for testing CRACs 

with ducted condensers. DOE is 

proposing to adopt the provisions in 

AHRI 1360–202X Draft regarding testing 

CRACs with ducted condensers. 

Regarding AHRI’s comment about 

stringency of minimum efficiency levels 

for ceiling-mounted CRACs with ducted 

condensers, DOE notes that minimum 

efficiency levels for ceiling-mounted 

CRACs (including separate levels for 

units with and without ducted 

condensers) are included in ASHRAE 

Standard 90.1–2019. DOE is evaluating 

the ASHRAE Standard 90.1–2019 

minimum efficiency levels for CRACs in 

a separate energy conservation 

standards rulemaking (see Docket No. 

EERE–2020–BT–STD–0008). 

6. Minimum External Static Pressure 

Requirements 

In the July 2017 ASHRAE TP RFI, 

DOE noted that ANSI/ASHRAE 127– 

2007 (which is referenced by the current 

DOE test procedure), ANSI/ASHRAE 

127–2012, and AHRI 1360–2016 all 

contain different minimum ESP 

specifications. 82 FR 34427, 34433 (July 

25, 2017). DOE noted that the 2007 and 

2012 versions of ANSI/ASHRAE 127 

contain the same minimum ESP levels 

but use different definitions to 

determine which minimum ESP level 

applies for a given unit. Specifically, 

ANSI/ASHRAE 127–2012 defines 

‘‘ducted systems’’ as ‘‘air conditioners 

intended to be connected to supply and/ 

or return ductwork’’ instead of ‘‘to 

supply and return ductwork,’’ as 

specified in ANSI/ASHRAE 127–2007. 

Additionally, DOE observed that the 

ESP requirements specified in AHRI 

1360–2016 for up-flow ducted and 

down-flow configurations are 

significantly lower than those specified 

in ANSI/ASHRAE 127–2012. DOE 

further stated that it was considering 

adopting the test procedures and the 

ESP requirements specified in AHRI 

1360–2016, but sought input on whether 

the ESP requirements specified in AHRI 

1360–2016 are representative of field 

operation for floor-mounted CRACs. 82 

FR 34433–34434 (July 25, 2017). 

In response, AHRI commented that 

while there are some unusual 

circumstances where excessive ducting 

is required, the ESP requirements 

specified in AHRI 1360–2016 are 

representative of most applications. 

(AHRI, No. 11 at p. 6) 

AHRI 1360–202X Draft specifies 

indoor air ESP requirements in Table 5 

for all configurations of CRACs. The 

ESP requirements specified for floormounted CRACs in Table 5 align with 

those specified in AHRI 1360–2016, 

except that the capacity boundaries for 

ESP requirements for up-flow ducted 

units increased from 65,000 Btu/h and 

240,000 Btu/h to 80,000 Btu/h and 

295,000 Btu/h, respectively. This 

increase in capacity boundaries reflects 

the increase in NSCC associated with 

the increased return air temperature for 

up-flow ducted units in the NSenCOP 

metric, as compared to the SCOP metric 

(see section III.E.1.a of this NOPR for 

further discussion of the indoor entering 

air temperature conditions for 

NSenCOP). ESP requirements for 

ceiling-mounted CRACs are discussed 

in section III.F.2 of this NOPR, and ESP 

requirements for wall-mounted and 

roof-mounted CRACs are discussed in 

section III.F.3 of this NOPR. DOE 

surmises that the approach provided in 

AHRI 1360–202X Draft represents 

industry consensus regarding the most 

appropriate and representative ESP 

requirements for testing CRACs. DOE is 

not proposing any deviations from the 

ESP requirements specified in Table 5 of 

AHRI 1360–202X Draft. 


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21The currently applicable test procedure for 

CACs/HPs is located at 10 CFR part 430, subpart B, 

appendix M. 

22 In 2013, members of ASRAC formed the 

Commercial HVAC Working Group to engage in a 

negotiated rulemaking effort regarding the 

certification of certain commercial HVAC 

equipment, including CRACs. The Commercial 

HVAC Working Group’s recommendations are 

available at www.regulations.gov under Docket No. 

EERE–2013–BT–NOC–0023–0052. 

23Available at www.regulations.gov/document/ 

EERE-2013-BT-NOC-0023-0052. 

7. Refrigerant Charging Instructions 

The amount of refrigerant charge in an 

air conditioner can have a significant 

impact on the system performance. 

DOE’s current test procedure for CRACs 

requires that units be set up for test in 

accordance with the manufacturer 

installation and operation manuals. 10 

CFR 431.96(e). In addition, the current 

DOE test procedure states that if the 

manufacturer specifies a range of 

superheat, sub-cooling, and/or 

refrigerant pressures in the installation 

and operation manual, any value within 

that range may be used to determine 

refrigerant charge, unless the 

manufacturer clearly specifies a rating 

value in its installation or operation 

manual, in which case the specified 

value shall be used. 10 CFR 431.96(e)(1). 

The current DOE test procedure does 

not provide charging instructions if the 

manufacturer does not provide 

instructions in the manual that is 

shipped with the unit or if the provided 

instructions are unclear or incomplete. 

As part of the July 2017 ASHRAE TP 

RFI, DOE noted that neither the 

ASHRAE nor the AHRI test standards 

for CRACs (published at the time of the 

July 2017 ASHRAE TP RFI) include 

specific instructions for refrigerant 

charging. 82 FR 34427, 34434 (July 25, 

2017). In a June 8, 2016 final rule for the 

test procedure for central air 

conditioners and heat pumps (CACs/ 

HPs), DOE further stated that the 

Federal test procedure for CACs/HPs 

provides a comprehensive approach for 

refrigerant charging intended to improve 

test reproducibility.21 81 FR 36992, 

37030–37031. Specifically, DOE noted 

in the July 2017 ASHRAE TP RFI that 

the approach for CACs/HPs indicates 

which set of installation instructions to 

use for charging, explains what to do if 

there are no instructions, indicates that 

target values of parameters are the 

centers of the range allowed by 

installation instructions, and specifies 

tolerances for the measured values. DOE 

requested comment on which refrigerant 

charging requirements should be 

considered to establish reproducible test 

results for CRACs, and whether the 

approach for CACs/HPs would be 

appropriate for CRACs. DOE also 

requested comment on the operating 

conditions at which CRAC units are 

typically charged in the field and/or 

what conditions should be used to set 

refrigerant charge for testing purposes. 

82 FR 34427, 34434–34435 (July 25, 

2017). 

In response, AHRI commented that 

refrigerant charging should be based on 

the manufacturer’s instructions, and 

that because CRACs are operated yearround, manufacturers determine the 

optimum charge for hot and cold 

weather operation. (AHRI, No. 11 at p. 

8). 

Section 5.9 of AHRI 1360–202X Draft 

includes a comprehensive set of 

provisions regarding refrigerant 

charging for CRACs that is generally 

consistent with the approach for CACs/ 

HPs currently in DOE’s regulations. 

Specifically, Section 5.9 of AHRI 1360– 

202X Draft requires that units be 

charged at conditions specified by the 

manufacturer in accordance with the 

manufacturer installation instructions or 

labels applied to the unit, which is 

consistent with AHRI’s comment. If 

there are no manufacturer-specified 

charging conditions, Section 5.9 of 

AHRI 1360–202X Draft specifies 

charging at the standard rating 

conditions (as defined in Tables 3 and 

4 of that test standard). Section 5.9 of 

AHRI 1360–202X Draft also provides 

additional charging instructions to be 

used if the manufacturer does not 

provide instructions or if the provided 

instructions are unclear or incomplete 

(e.g., specifying default charging targets 

to use if none are provided by the 

manufacturer and specifying an 

instruction priority to be used in the 

event of conflicting information 

between multiple manufacturerprovided charging instructions). In light 

of the provisions in AHRI 1360–202X 

Draft, DOE surmises that the approach 

provided in AHRI 1360–202X Draft 

represents industry consensus regarding 

the most appropriate and representative 

approach for refrigerant charging for 

testing CRACs. DOE is not proposing 

any deviations from the refrigerant 

charging provisions specified in Section 

5.9 of AHRI 1360–202X Draft. 

G. Configuration of Unit Under Test 

CRACs are distributed in commerce in 

a variety of configurations consisting of 

different combinations of components. 

The following sections address the 

required configuration of units under 

test. 

1. Specific Components 

An Appliance Standards and 

Rulemaking Federal Advisory 

Committee (ASRAC) working group for 

certain commercial heating, ventilating, 

and air conditioning (HVAC) equipment 

(Commercial HVAC Working Group),22

which included CRACs, submitted a 

term sheet (Commercial HVAC Term 

Sheet) providing the Commercial HVAC 

Working Group’s recommendations. 

(Docket No. EERE–2013–BT–NOC–0023, 

No. 52) 23 The Commercial HVAC 

Working Group recommended that DOE 

issue guidance under current 

regulations on how to test certain 

equipment features when included in a 

basic model, until the testing of such 

features can be addressed through a test 

procedure rulemaking. The Commercial 

HVAC Term Sheet listed the subject 

features under the heading ‘‘Equipment 

Features Requiring Test Procedure 

Action.’’ (Id. at pp. 3–9) The 

Commercial HVAC Working Group also 

recommended that DOE issue an 

enforcement policy stating that DOE 

would exclude certain equipment with 

specified features from Departmental 

testing, but only when the manufacturer 

offers for sale at all times a model 

without that feature but that is identical 

in terms of all other features; otherwise, 

the model with that feature would be 

eligible for Departmental testing. These 

features were listed under the heading 

‘‘Equipment Features Subject to 

Enforcement Policy.’’ (Id. at pp. 9–15) 

On January 30, 2015, DOE issued a 

Commercial HVAC Enforcement Policy 

addressing the treatment of specific 

features during Departmental testing of 

commercial HVAC equipment. (See 

www.energy.gov/gc/downloads/ 

commercial-equipment-testingenforcement-policies) The Commercial 

HVAC Enforcement Policy stated that— 

for the purposes of assessment testing 

pursuant to 10 CFR 429.104, verification 

testing pursuant to 10 CFR 429.70(c)(5), 

and enforcement testing pursuant to 10 

CFR 429.110—DOE would not test a 

unit with one of the optional features 

listed for a specified equipment type if 

a manufacturer distributes in commerce 

an otherwise identical unit that does not 

include one of the optional features. (Id 

at p. 1) The objective of the Commercial 

HVAC Enforcement Policy is to ensure 

that each basic model has a 

commercially-available version eligible 

for DOE testing, meaning that each basic 

model includes either a model without 

the optional feature(s) or a model with 

the optional features that is eligible for 

testing. Id. The features in the 

Commercial HVAC Enforcement Policy 

for CRACs align with the Commercial 

HVAC Term Sheet’s list designated 


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24For the following components listed in Section 

D2 of AHRI 1360–202X Draft, DOE has tentatively 

concluded that there is not a specific test procedure 

action to be specified for testing a unit with the 

component present: Powered exhaust/powered 

return air fans, coated coils, compressor variable 

frequency drive (VFD), flooded condenser head 

pressure controls, and condensate pump. 

25 DOE has tentatively concluded that for the 

following features included in Section D2 of AHRI 

1360–202X Draft, testing a unit with these 

components in accordance with the proposed test 

provisions would not result in differences in ratings 

compared to testing a unit without these 

components. Therefore, DOE is not proposing to 

include these features in 10 CFR 429.43(a)(4): Higheffectiveness indoor air filtration, harmonic 

distortion mitigation devices, electric reheat 

elements, and non-standard power transformer. 

‘‘Equipment Features Subject to 

Enforcement Policy.’’ 

AHRI 1360–202X Draft includes 

Appendix D, ‘‘Unit Configuration for 

Standard Efficiency Determination— 

Normative.’’ Section D2 of that 

appendix includes a list of features that 

are optional for testing. Section D2 of 

AHRI 1360–202X Draft further specifies 

the following general provisions 

regarding testing of units with optional 

features: 

• If an otherwise identical model 

(within the same basic model) without 

the feature is distributed in commerce, 

test the otherwise identical model. 

• If an otherwise identical model 

(within the same basic model) without 

the feature is not distributed in 

commerce, conduct tests with the 

feature present but configured and deactivated so as to minimize (partially or 

totally) the impact on the results of the 

test (as determined per the provisions in 

section D2). Alternatively, the 

manufacturer may indicate in the 

supplemental testing instructions that 

the test shall be conducted using a 

specially built otherwise identical unit 

that is not distributed in commerce and 

does not have the feature. 

The optional features provisions in 

AHRI 1360–202X Draft are generally 

consistent with DOE’s Commercial 

HVAC Enforcement Policy, but the list 

of optional features in Section D2 of 

AHRI 1360–202X Draft does not align 

with the list of features included for 

CRACs in the Commercial HVAC 

Enforcement Policy. For CRACs, the 

Commercial HVAC Enforcement Policy 

specifies two optional features (highstatic condenser fan/motor assembly 

and dehumidification components) 

which are not included in the optional 

features section in Section D2 of AHRI 

1360–202X Draft. DOE understands 

AHRI 1360–202X Draft to represent the 

industry consensus position on testing 

CRACs. As such, DOE understands the 

industry consensus to be that these two 

features should not be treated as 

optional features for CRACs. 

Additionally, unlike Section D2 of 

AHRI 1360–202X Draft, DOE’s 

Commercial HVAC Enforcement Policy 

does not allow a manufacturer to test a 

specially-built otherwise identical 

model for testing models without a 

feature that are not distributed in 

commerce. Because testing such 

specially-built models would not 

provide ratings representative of 

equipment distributed in commerce, 

DOE has tentatively concluded that this 

option is not appropriate. Therefore, 

consistent with the Commercial HVAC 

Enforcement Policy, DOE is not 

proposing to include this option for 

testing specially-built units in its 

representation and enforcement 

provisions. 

DOE notes that the list of features and 

provisions in Section D2 of Appendix D 

of AHRI 1360–202X Draft conflates 

features that can be addressed by testing 

provisions with features that warrant 

enforcement relief (i.e., features that, if 

present on a unit under test, could have 

a substantive impact on test results and 

that cannot be disabled or otherwise 

mitigated). This differentiation was 

central to the Commercial HVAC Term 

Sheet, which as noted previously, 

included separate lists for ‘‘Equipment 

Features Requiring Test Procedure 

Action’’ and ‘‘Equipment Features 

Subject to Enforcement Policy,’’ and 

remains central to providing clarity in 

DOE’s regulations. Further, provisions 

more explicit than what is included in 

Section D2 of AHRI 1360–202X Draft are 

warranted to clarify the differences 

between how specific components must 

be treated when manufacturers are 

making representations as opposed to 

when DOE is conducting enforcement 

testing. 

In order to provide clarity between 

test procedure provisions (i.e., how to 

test a specific unit) and representation 

and enforcement provisions (e.g., which 

model to test), DOE is not proposing to 

adopt Sections D1 and D2 of Appendix 

D of AHRI 1360–202X Draft but instead 

is proposing to adopt related provisions 

in 10 CFR part 431, subpart F, appendix 

E1, in 10 CFR 429.43, and in 10 CFR 

429.134, without any substantive 

change to the requirements, except as 

discussed subsequently regarding 

coated coils and previously regarding 

specially-built units. 

Specifically, in 10 CFR part 431, 

subpart F, appendix E1, DOE proposes 

test procedure provisions for specific 

components, including the components 

listed in section D2 of AHRI 1360–202X 

Draft for which there is a unique test 

procedure action (i.e., test procedure 

provisions specific to the component 

that are not addressed by general 

provisions in AHRI 1360–202X Draft to 

test per manufacturers’ installation 

instructions).24 These provisions would 

specify how to test a unit with such a 

component. For example, for a unit with 

an air economizer factory-installed, 

place the economizer in the 100-percent 

return position and close and seal the 

outside air dampers for testing. These 

proposed test provisions are consistent 

with the provision in Section D2 of 

AHRI 1360–202X Draft, but include 

revisions for further clarity and 

specificity (e.g., adding clarifying 

provisions for how to test units with 

modular economizers, as opposed to 

units shipped with economizers 

installed). 

Consistent with the Commercial 

HVAC Term Sheet and the Commercial 

HVAC Enforcement Policy, in 10 CFR 

429.43(a)(4), DOE is proposing 

provisions that would allow 

determination of represented values to 

be based on an individual model 

distributed in commerce without the 

component in specific cases. The 

components to which these provisions 

apply are limited to those components 

for which the test provisions for testing 

a unit with these components may 

result in differences in ratings compared 

to testing a unit without these 

components.25 For these components, 

DOE proposes in 10 CFR 429.43(a)(4) 

that: 

• If a basic model includes only 

individual models distributed in 

commerce with a specific component, or 

does not include any otherwise 

identical individual models without the 

specific component, the manufacturer 

must determine represented values for 

the basic model based on performance 

of an individual model with the 

component present (and consistent with 

any relevant proposed test procedure 

provisions in appendix E1). 

• If a basic model includes both 

individual models distributed in 

commerce with a specific component 

and otherwise identical individual 

models without the specific component, 

the manufacturer may determine 

represented values for the basic model 

based on performance of an individual 

model either with the component 

present (and consistent with any 

relevant proposed test procedure 

provisions in appendix E1) or without 

the component present. 

DOE’s proposed provisions in 10 CFR 

429.43(a)(4) include all of the optional 

features (excluding those that pertain 

only to chilled water equipment and not 

to CRACs) specified in Section D2 of 

AHRI 1360–202X Draft for which the 


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26The Commercial HVAC Enforcement Policy 

defines ‘‘high static indoors blower or oversized 

motor’’ as an assembly that drives the fan and can 

deliver higher external static pressure than the 

standard indoor fan assembly sold with the 

equipment. 

27Available at www1.eere.energy.gov/buildings/ 

appliance_standards/pdfs/draft-commercial-hvacmotor-faq-2015–06–29.pdf. 

28Section D3 of AHRI 1360–202X Draft states 

that: (1) The standard indoor fan motor is the motor 

specified in the manufacturer’s installation 

instructions by the manufacturer for testing and 

shall be distributed in commerce as part of a 

particular model; and that (2) a non-standard motor 

is an indoor fan motor that is not the standard 

indoor fan motor and that is distributed in 

commerce as part of an individual model within the 

same Basic Model. 

test provisions for testing a unit with 

these components may result in 

differences in ratings compared to 

testing a unit without these 

components, except coated coils. DOE is 

proposing to exclude coated coils from 

the specific components list specified in 

10 CFR 429.43 because DOE has 

tentatively concluded that the presence 

of coated coils does not result in a 

significant impact to performance of 

CRACs, and, therefore, that models with 

coated coils should be rated based on 

performance of models with coated 

coils. 

DOE notes that in some cases, 

individual models may include 

multiples of the specified components 

or there may be individual models 

within a basic model that include 

various versions of the specified 

components that result in more or less 

energy use. In these cases, the 

represented values of performance must 

be representative of the lowest 

efficiency found within the basic model. 

Also consistent with the Commercial 

HVAC Term Sheet and the Commercial 

HVAC Enforcement Policy, in 10 CFR 

429.134(g), DOE is proposing provisions 

regarding how DOE would assess 

compliance for basic models that 

include individual models distributed 

in commerce with specific components. 

• If a basic model includes only 

individual models distributed in 

commerce with a specific component, or 

does not include any otherwise 

identical individual models without the 

specific component, DOE may assess 

compliance for the basic model based 

on testing an individual model with the 

component present (and consistent with 

any relevant proposed test procedure 

provisions in appendix E1). 

• If a basic model includes both 

individual models distributed in 

commerce with a specific component 

and otherwise identical individual 

models without the specific component, 

DOE will assess compliance for the 

basic model based on testing of an 

otherwise identical model within the 

basic model that does not include the 

component, except if DOE is not able to 

obtain such a model for testing. In such 

a case, DOE will assess compliance for 

the basic model based on testing of an 

individual model with the specific 

component present (and consistent with 

any relevant proposed test procedure 

provisions in appendix E1). 

Were DOE to adopt the provisions in 

10 CFR part 431, subpart F, appendix 

E1, 10 CFR 429.43, and 10 CFR 429.134 

as proposed, DOE would rescind the 

Commercial HVAC Enforcement Policy 

to the extent it is applicable to CRACs. 

In a separate certification rulemaking, 

DOE may consider certification 

reporting requirements such that 

manufacturers would be required to 

certify which otherwise identical 

models are used for making 

representations of basic models that 

include individual models with specific 

components. 

Issue 4: DOE seeks comment on its 

proposals regarding specific 

components in 10 CFR part 431, subpart 

F, appendix E1, 10 CFR 429.43, and 10 

CFR 429.134. 

2. Non-Standard Indoor Fan Motors 

The Commercial HVAC Enforcement 

Policy includes high-static indoor 

blowers/oversized motors as an optional 

feature for CRACs, among other 

equipment. The Commercial HVAC 

Enforcement Policy states that when 

selecting a unit of a basic model for 

DOE-initiated testing, if the basic model 

includes a variety of high-static indoor 

blowers or oversized motor options,26

DOE will test a unit that has a standard 

indoor fan assembly (as described in the 

STI that is part of the manufacturer’s 

certification, including information 

about the standard motor and associated 

drive that was used in determining the 

certified rating). This policy only 

applies where: (a) The manufacturer 

distributes in commerce a model within 

the basic model with the standard 

indoor fan assembly (i.e., standard 

motor and drive), and (b) all models in 

the basic model have a motor with the 

same or better relative efficiency 

performance as the standard motor 

included in the test unit, as described in 

a separate guidance document discussed 

subsequently. If the manufacturer does 

not offer models with the standard 

motor identified in the STI or offers 

models with high-static motors that do 

not comply with the comparable 

efficiency guidance, DOE will test any 

indoor fan assembly offered for sale by 

the manufacturer. 

DOE subsequently issued a draft 

guidance document (‘‘Draft Commercial 

HVAC Guidance Document’’) on June 

29, 2015 to request comment on a 

method for comparing the efficiencies of 

a standard motor and a high-static 

indoor blower/oversized motor.27 As 

presented in the Draft Commercial 

HVAC Guidance Document, the relative 

efficiency of an indoor fan motor would 

be determined by comparing the percent 

losses of the standard indoor fan motor 

to the percent losses of the non-standard 

(oversized) indoor fan motor. The 

percent losses would be determined by 

comparing each motor’s wattage losses 

to the wattage losses of a corresponding 

reference motor. Additionally, the draft 

method contains a table that includes a 

number of situations with different 

combinations of characteristics of the 

standard motor and oversized motor 

(e.g, whether each motor is subject to 

Federal standards for motors, whether 

each motor can be tested to the Federal 

test procedure for motors, whether each 

motor horsepower is less than one) and 

specifies for each combination whether 

the non-standard fan enforcement 

policy would apply (i.e., whether DOE 

would not test a model with an 

oversized motor, as long as the relative 

efficiency of the oversized motor is at 

least as good as performance of the 

standard motor). DOE has not issued a 

final guidance document and is instead 

addressing the issue for CRACs in this 

test procedure rulemaking. 

Section D3 of AHRI 1360–202X Draft 

includes two different approaches for 

comparing the efficiency for standard 

and non-standard indoor fan motors.28

Section D3.1 of AHRI 1360–202X Draft 

includes an approach for directly 

comparing the efficiency for standard 

and non-standard indoor fan motors, 

and this approach applies for most 

indoor fan assemblies. Section D3.2 

includes an approach to compare 

performance for certain integrated fan 

and motor (IFM) combinations in which 

the motor and fan cannot be separated 

and/or are not rated separately. 

Section D3.1 of AHRI 1360–202X 

Draft requires that in order for the 

individual model with the non-standard 

indoor fan motor to be certified within 

the same basic model as the individual 

model with the standard indoor fan 

motor, the non-standard indoor fan 

motor must be more efficient than the 

minimum value calculated using 

Equation D1 of AHRI 1360–202X Draft. 

This minimum non-standard motor 

efficiency calculation is dependent on 

the efficiency of the standard fan motor 

and the reference efficiencies 

(determined per Table D1 of AHRI 

1360–202X Draft) of the standard and 

non-standard fan motors. 


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29Per DOE’s existing certification regulations, if 

a manufacturer were to use the proposed approach 

to certify a basic model, the manufacturer would be 

required to maintain documentation of how the 

relative efficiencies of the standard and nonstandard fan motors or the input powers of the 

standard and non-standard IFMs were determined, 

as well as the supporting calculations. See 10 CFR 

429.71. 

30Found online at www.webstore.ansi.org/ 

Standards/ASHRAE/ 

ANSIASHRAEStandard2212020. ASHRAE 

Standard 221P was the name of the proposed 

standard prior to publication. However, after 

publication, the name of that standard became 

ASHRAE Standard 221–2020. 

Section D3.2 of AHRI 1360–202X 

Draft contains a method for comparing 

performance of IFMs. Because the motor 

in an IFM is not separately rated from 

the fan, this method compares the 

performance of the entire fan-motor 

assembly for the standard and nonstandard IFMs, rather than just the fan 

motors. This approach enables 

comparison of the relative performance 

of standard and non-standard IFMs, for 

which motor efficiencies could 

otherwise not be compared using the 

method specified in Section D3.1 of 

AHRI 1360–202X Draft. Specifically, 

this method determines the ratio of the 

input power of the non-standard IFM to 

the input power of the standard IFM at 

the same duty point, as defined in 

Section D3.2 of AHRI 1360–202X Draft 

(i.e., operating at the maximum external 

static pressure for the standard IFM at 

the rated airflow). If the input power 

ratio does not exceed the maximum 

ratio specified in Table D3 of AHRI 

1360–202X Draft, the individual model 

with the non-standard IFM may be 

certified within the same basic model as 

the individual model with the standard 

IFM. Section D3.2 of AHRI 1360–202X 

Draft allows these calculations to be 

conducted using either test data or 

simulated performance data. 

The approaches in Section D3 of 

AHRI 1360–202X Draft for non-standard 

indoor fan motors and IFMs generally 

align with the approaches of the 

Commercial HVAC Enforcement Policy 

and the Draft Commercial HVAC 

Guidance Document, while providing 

greater detail and accommodating a 

wider range of fan motor options. DOE 

also has tentatively determined that 

Section D3 of Appendix D of AHRI 

1360–202X Draft would more fully 

provide the guidance intended by the 

Commercial HVAC Enforcement Policy 

with regard to non-standard indoor fan 

motors. 

DOE proposes to adopt the provisions 

in Section D3 of AHRI 1360–202X Draft 

for comparing performance of standard 

and non-standard indoor fan motors and 

IFMs in the proposed appendix E1.29

Additionally, DOE proposes to adopt 

the provisions in Section D3 of 

Appendix D of AHRI 1360–202X Draft 

for the determination of the represented 

efficiency value of CRACs at 10 CFR 

429.43(a)(3)(v)(C) and for DOE 

assessment and enforcement testing of 

CRACs at 10 CFR 429.134(s)(1). Were 

DOE to adopt the references to section 

D3 of Appendix D of AHRI 1360–202X 

Draft, as proposed, DOE would rescind 

the Commercial HVAC Enforcement 

Policy to the extent it is applicable to 

CRACs. 

Issue 5: DOE requests comment on its 

proposal to adopt the methods for 

comparing relative efficiency of 

standard and non-standard indoor fan 

motors and integrated fan and motor 

combinations specified in Section D3 of 

AHRI 1360–202X Draft in the proposed 

test procedure in 10 CFR part 431, 

subpart F, appendix E1, as well as in 

provisions for determination of 

represented values in 10 CFR 429.43(a) 

and provisions for DOE assessment and 

enforcement testing in 10 CFR 429.134. 

H. General Comments 

In response to the July 2017 ASHRAE 

TP RFI, DOE received several general 

comments not specific to any one 

equipment category or test procedure. 

This section addresses those comments. 

NCI recommended that DOE follow 

the development of ASHRAE Standard 

221P, ‘‘Test Method to Measure and 

Score the Operating Performance of an 

Installed Constant Volume Unitary 

HVAC System,’’ and consider where it 

may be appropriately applied within 

EPCA test procedures. (NCI, No. 4 at pp. 

1–2) NCI stated that it has collected data 

indicating that typical split systems and 

packaged units serving residential and 

small commercial buildings typically 

deliver 50 percent to 60 percent of the 

rated capacity to the occupied zone, 

thereby making laboratory tests 

unrepresentative of field performance. 

Id. 

As noted in section I.A of this NOPR, 

EPCA prescribes that if an industry 

testing procedure or rating procedure 

developed or recognized by industry (as 

referenced in ASHRAE Standard 90.1) is 

amended, DOE must update its test 

procedure to be consistent with the 

amended industry test procedure, 

unless DOE determines, by rule 

published in the Federal Register and 

supported by clear and convincing 

evidence, that such amended test 

procedure would not meet the 

requirements in 42 U.S.C. 6314(a)(2) 

and (3) related to representative use and 

test burden. (42 U.S.C. 6314(a)(4)(A) and 

(B)) DOE notes that ASHRAE Standard 

90.1 does not reference ANSI/ASHRAE 

Standard 221–2020, ‘‘Test Method to 

Field-Measure and Score the Cooling 

and Heating Performance of an Installed 

Unitary HVAC System’’ 30 as the 

applicable test procedure for CRACs. 

NCI also did not provide data on field 

performance or any correlations 

between CRAC field performance and 

laboratory test performance for DOE to 

consider. Furthermore, ASHRAE 221– 

2020 does not provide a method to 

determine the efficiency of CRACs. As 

discussed, DOE is proposing to adopt 

the substance of AHRI 1360–202X Draft, 

either through incorporation by 

reference of the final version of the 

update to AHRI 1360 as published, or by 

specifying the substance of the relevant 

test procedure provisions in the CFR. 

The CA IOUs commented that while 

the July 2017 ASHRAE TP RFI 

expressed interest in reducing burden to 

manufacturers, DOE already took steps 

to reduce burden by allowing alternative 

energy efficiency or energy use 

determination methods (AEDMs). (CA 

IOUs, No. 7 at pp. 1–2) The CA IOUs 

expressed their view that there are no 

further opportunities to streamline test 

procedures to limit testing burden. Id. 

Additionally, the CA IOUs emphasized 

the importance of accurate efficiency 

ratings for its incentive programs and 

customer knowledge, pointing to the 

statutory provision that test procedures 

must produce results that are 

representative of the product’s energy 

efficiency. (Id.) 

Lennox stated that it generally 

supports DOE meeting the statutory 

requirements to design test procedures 

to measure energy efficiency during an 

average use cycle, but in doing so, the 

commenter requested that DOE also 

consider overall impacts on consumers 

and manufacturers. (Lennox, No. 8 at 

pp. 1–2). The commenter stated that in 

commercial applications, predicting 

actual energy use from a single metric 

is difficult and that a metric better 

serves as a point of comparison. (Id.) 

Lennox suggested that DOE should 

strike a balance between evaluating 

equipment in a meaningful way without 

introducing unwarranted regulatory 

burden from overly complex test 

procedures or calculations that provide 

little value to consumers. (Id.) 

In response to the CA IOUs and 

Lennox, DOE notes that its approach to 

test procedures is largely dictated by the 

requirements of EPCA. As discussed, 

EPCA prescribes that the test procedures 

for commercial package air conditioning 

and heating equipment must be those 


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generally accepted industry testing 

procedures or rating procedures 

developed or recognized by industry as 

referenced in ASHRAE Standard 90.1. 

(42 U.S.C. 6314(a)(4)(A)) If such relevant 

industry test procedure is amended, 

DOE must update its test procedure to 

be consistent with the amended 

industry consensus test procedure, 

unless DOE determines, by rule 

published in the Federal Register and 

supported by clear and convincing 

evidence, that the amended test 

procedure would not meet the 

requirements in 42 U.S.C. 6314(a)(2) 

and (3) related to representative use and 

test burden. (42 U.S.C. 6314(a)(4)(B)) In 

establishing or amending its test 

procedures, DOE must develop test 

procedures that are reasonably designed 

to produce test results which reflect 

energy efficiency, energy use, and 

estimated operating costs of a type of 

industrial equipment during a 

representative average use cycle and 

that are not unduly burdensome to 

conduct. (42 U.S.C. 6314(a)(2)). DOE’s 

considerations of these requirements in 

relation to individual test method issues 

are discussed within the relevant 

sections of this NOPR. 

The Joint Advocates stated that there 

are ambiguities in industry test 

procedures, and these commenters 

recommended that DOE should address 

these ambiguities in order to provide a 

level playing field for manufacturers 

and to ensure that any verification or 

enforcement testing is consistent with 

manufacturers’ own testing. (Joint 

Advocates, No. 9 at p. 2) 

In response, DOE notes that the Joint 

Advocates did not identify any specific 

test provisions that were the cause of 

their concern. In the context of the test 

procedure for CRACs, DOE has carefully 

and thoroughly evaluated the industry 

test standard in the context of the 

statutory criteria regarding 

representativeness of the measured 

energy efficiency and test burden. To 

the extent there are provisions in the 

relevant industry test procedure that 

may benefit from further detail, such 

provisions are discussed in the previous 

sections of this document. DOE 

welcomes further stakeholder input on 

this topic, as necessary. 

I. Represented Values 

1. Multiple Refrigerants 

DOE recognizes that some commercial 

package air conditioning and heating 

equipment may be sold with more than 

one refrigerant option (e.g., R–410A or 

R–407C). Typically, manufacturers 

specify a single refrigerant in their 

literature for each unique model, but in 

its review, DOE has identified at least 

one CRAC manufacturer that provides 

two refrigerant options under the same 

model number. The refrigerant chosen 

by the customer in the field installation 

may impact the energy efficiency of a 

unit. For this reason, DOE is proposing 

representation requirements applicable 

to models approved for use with 

multiple refrigerants. So that the 

proposals in this NOPR would only 

require manufacturers to update 

representations once, DOE proposes to 

align the compliance date for these 

representation requirements with the 

proposed metric change (i.e., these 

proposals would only be required when 

certifying to amended standards in 

terms of NSenCOP). 

Use of a refrigerant (such as R–407C 

as compared to R–410A) that requires 

different hardware (i.e., compressors, 

heat exchangers, or air moving systems 

that are not the same or comparably 

performing) would represent a different 

basic model, and according to current 

DOE regulations, separate 

representations of energy efficiency are 

required for each basic model. 10 CFR 

429.43(a) In contrast, some refrigerants 

(such as R–422D, R–427A) do not 

require different hardware, and a 

manufacturer may consider them to be 

the same basic model, per DOE’s current 

definition for ‘‘basic model’’ at 10 CFR 

431.92. In the latter case of a CRAC with 

multiple refrigerant options that do not 

require different hardware, DOE 

proposes that a manufacturer must 

determine the represented values in the 

proposed new section 10 CFR 

429.43(a)(3)(v)(A) (e.g., NSenCOP and 

net sensible cooling capacity) for that 

basic model based on the 

refrigerant(s)—among all refrigerants 

listed on the unit’s nameplate—that 

result in the lowest cooling efficiency. 

These represented values would apply 

to the basic model for all refrigerants 

specified by the manufacturer as 

appropriate for use, regardless of which 

refrigerant is actually used in the field. 

Issue 6: DOE requests comment on its 

proposal regarding representations for 

CRAC basic models approved for use 

with multiple refrigerants. 

2. Net Sensible Cooling Capacity 

For CRACs, NSCC determines 

equipment class, which in turn 

determines the applicable energy 

conservation standard. 10 CFR 431.97. 

While NSCC is a required represented 

value for CRACs, DOE does not 

currently specify any provisions for 

CRACs regarding how close the 

represented value of NSCC must be to 

the tested or AEDM-simulated NSCC, or 

whether DOE will use measured or 

certified NSCC to determine equipment 

class for enforcement testing. In 

contrast, at paragraphs (a)(1)(iv) and 

(a)(2)(ii) of 10 CFR 429.43 and 

paragraph (g) of 10 CFR 429.134, DOE 

specifies such provisions regarding the 

cooling capacity for air-cooled CUACs 

(ACUACs). Because energy conservation 

standards for CRACs are dependent on 

NSCC, inconsistent approaches to the 

application of NSCC between basic 

models could result in inconsistent 

determinations of equipment class and, 

in turn, inconsistent applications of the 

energy conservation standards. 

Consequently, DOE is proposing to 

add the following provisions regarding 

NSCC for CRACs: (1) A requirement that 

the represented NSCC be between 95 

percent and 100 percent of the tested or 

AEDM-simulated NSCC; and (2) an 

enforcement provision stating that DOE 

would use the mean of measured NSCC 

values from testing, rather than the 

certified NSCC, to determine the 

applicable standards. 

First, DOE proposes to require in 10 

CFR 429.43(a)(3)(v)(B) that the 

represented value of NSCC must be 

between 95 percent and 100 percent of 

the mean of the NSCC values measured 

for the units in the sample (if 

determined through testing), or between 

95 percent and 100 percent of the NSCC 

output simulated by an AEDM. This 

tolerance would help to ensure that 

equipment is capable of performing at 

the cooling capacity for which it is 

represented to commercial consumers, 

while also enabling manufacturers to 

conservatively rate the cooling capacity 

to allow for minor variations in the 

capacity measurements from different 

units tested at different laboratories. 

Second, DOE is proposing in its 

product-specific enforcement provisions 

at 10 CFR 429.134(s)(1) that the NSCC 

of each tested unit of the basic model 

will be measured pursuant to the test 

requirements of 10 CFR part 431, 

subpart F, appendix E1 and that the 

mean of the measurement(s) will be 

used to determine the applicable 

standard for compliance purposes. 

As discussed, determination of the 

applicable energy conservation standard 

for CRACs is dependent on the rated 

NSCC. Specifically, the standards for 

CRACs generally decrease in stringency 

with increasing NSCC (i.e., equipment 

classes with higher NSCC ranges have 

lower standards than equipment classes 

with lower NSCC ranges). Consequently, 

over-rating a system could result in 

decreased stringency by incorrectly 

applying a more lenient standard 

prescribed for a higher NSCC equipment 

class. DOE has tentatively concluded 

that these proposals would result in 


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31Manufacturers are not required to perform 

laboratory testing on all basic models. In 

accordance with 10 CFR 429.70, CRAC 

manufacturers may elect to use AEDMs. An AEDM 

is a computer modeling or mathematical tool that 

predicts the performance of non-tested basic 

models. These computer modeling and 

mathematical tools, when properly developed, can 

provide a means to predict the energy usage or 

efficiency characteristics of a basic model of a given 

covered product or equipment and reduce the 

burden and cost associated with testing. 

32 DOE estimated initial costs to validate an 

AEDM assuming 80 hours of general time to 

develop an AEDM based on existing simulation 

tools and 16 hours to validate two basic models 

within that AEDM at the cost of an engineering 

technician wage of $50 per hour plus the cost of 

third-party physical testing of two units per 

validation class (as required in 10 CFR 

429.70(c)(2)(iv)). DOE estimated the additional per 

basic model cost to determine efficiency using an 

AEDM, assuming 1 hour per basic model at the cost 

of an engineering technician wage of $50 per hour. 

more accurate ratings of NSCC, thereby 

ensuring application of the appropriate 

energy conservation standards, while 

providing manufacturers the flexibility 

to conservatively rate NSCC so as to 

provide reasonable certainty that the 

subject equipment is capable of 

delivering the NSCC represented to 

commercial consumers. 

Issue 7: DOE requests comment on its 

proposals related to represented values 

and verification testing of NSCC for 

CRACs. 

3. Validation Class for Glycol-Cooled 

CRACs 

DOE’s existing testing regulations 

allow the use of an AEDM, in lieu of 

actual testing, to simulate the efficiency 

of CRACs. 10 CFR 429.43(a). In the 

AEDM requirements for CRACs in 10 

CFR 429.70, the table itemizing 

validation classes for commercial HVAC 

equipment inadvertently omits glycolcooled CRACs. For this reason and 

because DOE understands glycol-cooled 

CRACs to be similar in design to watercooled CRACs, DOE is proposing to 

include glycol-cooled CRACs in the 

existing validation class for watercooled CRACs at 10 CFR 

429.70(c)(2)(iv). Specifically, DOE 

proposes at 10 CFR 429.70(c)(2)(iv) that 

the minimum number of distinct watercooled and/or glycol-cooled models that 

must be tested per AEDM would be two 

basic models, which aligns with the 

‘‘two basic model’’ requirement that 

currently applies to the water-cooled 

CRACs validation class. 

J. Test Procedure Costs and Impact 

In this NOPR, DOE proposes to amend 

the existing test procedure for CRACs, 

by adopting the substance of the latest 

draft version of the applicable industry 

test method, AHRI 1360–202X Draft, 

including the energy efficiency metric, 

NSenCOP. To the extent that AHRI 1360 

is finalized consistent with the draft, 

DOE proposes to incorporate the 

industry test standard by reference. If 

there are substantive changes between 

the draft and published versions of 

AHRI 1360, DOE may adopt the 

substance of AHRI 1360–202X Draft or 

provide additional opportunity for 

comment. DOE also proposes to amend 

its representation and enforcement 

provisions for CRACs. 

DOE has tentatively determined that 

the proposed amendments in this NOPR 

would improve the representativeness, 

accuracy, and reproducibility of the test 

results and would not be unduly 

burdensome for manufacturers to 

conduct or result in increased testing 

cost as compared to the current test 

procedure. Because the current DOE test 

procedure for CRACs would be 

relocated to appendix E without change, 

the proposed test procedure in appendix 

E for measuring SCOP would result in 

no change in testing practices. 

Should DOE adopt standards in a 

future energy conservation standards 

rulemaking in terms of the new metric 

(NSenCOP), the proposed test procedure 

in appendix E1 for measuring NSenCOP 

(which DOE proposes to be 

substantively the same as AHRI 1360– 

202X Draft) would be required. DOE has 

tentatively concluded that this proposed 

test procedure would not increase thirdparty lab testing costs per unit relative 

to the current DOE test procedure, 

which DOE estimates to be $10,200 for 

CRACs 31 for physical testing. However, 

DOE has tentatively concluded that the 

potential adoption of standards 

denominated in terms of NSenCOP (and 

corresponding requirement to use the 

proposed test procedure in appendix 

E1) would alter the measured energy 

efficiency for CRACs. Consequently, 

manufacturers may not be able to rely 

on data generated under the current test 

procedure and would, therefore, be 

required to re-rate CRAC models. Once 

again, in accordance with 10 CFR 

429.70, CRAC manufacturers may elect 

to use AEDMs to rate models, which 

significantly reduces costs to industry. 

DOE estimates the per-manufacturer 

cost to develop and validate an AEDM 

for CRACs to be $46,000. DOE estimates 

a cost of approximately $50 per basic 

model 32 for determining energy 

efficiency using the validated AEDM. 

Given that most CRAC manufacturers 

are AHRI members and that DOE is 

proposing to adopt the procedure in the 

prevailing industry test procedure that 

was established for use in AHRI’s 

certification program, which has already 

been updated to include NSenCOP, DOE 

expects that most manufacturers would 

already be testing using the published 

version of the AHRI 1360–202X Draft in 

the timeframe of any potential future 

energy conservation standard. Based on 

this, DOE has tentatively determined 

that the proposed test procedure 

amendments would not be expected to 

increase the testing burden on CRAC 

manufacturers that are AHRI members. 

For the minority of CRAC manufacturers 

that are not members of AHRI, the 

proposed test procedure amendments 

may have costs associated with model 

re-rating, to the extent that the 

manufacturers would not already be 

testing to the updated industry test 

procedure. 

Issue 8: DOE requests comment on its 

understanding of the impact of the test 

procedure proposals in this NOPR, 

specifically DOE’s initial conclusion 

that the proposed DOE test procedure 

amendments, if finalized, would not 

increase testing burden on most CRAC 

manufacturers (i.e., CRAC 

manufacturers who are AHRI members), 

compared to current industry practice as 

indicated by AHRI 1360–202X Draft, 

and that those proposed amendments 

would not have a significant impact on 

the remaining CRAC manufacturers (i.e., 

CRAC manufacturers who are not AHRI 

members). 

K. Reserved Appendices for Test 

Procedures for Commercial Air 

Conditioning and Heating Equipment 

In this document, DOE proposes to 

establish new test procedures for CRACs 

in the proposed appendix E and new 

appendix E1 to subpart F of part 431. 

This proposed organization of the test 

procedures would be consistent with 

the organization of the test procedures 

for other covered equipment and 

covered products. DOE has tentatively 

concluded that providing the test 

procedures for specific equipment in 

designated appendices would improve 

the readability of the test procedures. 

Accordingly, to provide for future 

consideration of a similar organization 

for other commercial package air 

conditioning and heating equipment test 

procedures, DOE is proposing to reserve 

appendices B through D. The reserved 

appendices are intended to facilitate any 

potential future reorganization of the 

regulations and are not an indication of 

substantive changes to test procedures 

for other commercial package air 

conditioning and heating equipment. 

L. Compliance Date 

EPCA prescribes that, if DOE amends 

a test procedure, all representations of 

energy efficiency and energy use, 

including those made in the context of 

certification and on marketing materials 


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33The size standards are listed by NAICS code 

and industry description and are available at: 

www.sba.gov/document/support-table-sizestandards (Last accessed on August 30, 2021). 

34MAEDbS can be accessed at 

www.cacertappliances.energy.ca.gov/Pages/Search/ 

AdvancedSearch.aspx (Last accessed August 30, 

2021). 

35Certified equipment in the CCD are listed by 

product class and can be accessed at 

www.regulations.doe.gov/certification-data/ 

#q=Product_Group_s%3A* (Last accessed August 

30, 2021). 

36Market research available at: 

app.dnbhoovers.com (Last accessed August 30, 

2021). 

and product labels, must be made in 

accordance with that amended test 

procedure, beginning 360 days after 

publication of such a test procedure 

final rule in the Federal Register. (42 

U.S.C. 6314(d)(1)) CRACs would not be 

required to be tested according to the 

test procedure in the proposed appendix 

E1 until such time as compliance is 

required with an amended energy 

conservation standard that relies on the 

NSenCOP metric, should DOE adopt 

such a standard. 

IV. Procedural Issues and Regulatory 

Review 

A. Review Under Executive Order 12866 

The Office of Management and Budget 

(OMB) has determined that this test 

procedure rulemaking does not 

constitute a ‘‘significant regulatory 

action’’ under section 3(f) of Executive 

Order 12866, ‘‘Regulatory Planning and 

Review,’’ 58 FR 51735 (Oct. 4, 1993). 

Accordingly, this action was not subject 

to review under the Executive order by 

the Office of Information and Regulatory 

Affairs (OIRA) in OMB. 

B. Review Under the Regulatory 

Flexibility Act 

The Regulatory Flexibility Act (5 

U.S.C. 601 et seq.) requires preparation 

of an initial regulatory flexibility 

analysis (IRFA) for any rule that by law 

must be proposed for public comment, 

unless the agency certifies that the rule, 

if promulgated, will not have a 

significant economic impact on a 

substantial number of small entities. As 

required by Executive Order 13272, 

‘‘Proper Consideration of Small Entities 

in Agency Rulemaking,’’ 67 FR 53461 

(August 16, 2002), DOE published 

procedures and policies on February 19, 

2003, to ensure that the potential 

impacts of its rules on small entities are 

properly considered during the DOE 

rulemaking process. 68 FR 7990. DOE 

has made its procedures and policies 

available on the Office of the General 

Counsel’s website: energy.gov/gc/officegeneral-counsel. DOE reviewed this 

proposed rule under the provisions of 

the Regulatory Flexibility Act and the 

policies and procedures published on 

February 19, 2003. 

The following sections detail DOE’s 

IRFA for this test procedure rulemaking. 

1. Description of Reasons Why Action Is 

Being Considered 

DOE is proposing to amend the 

existing DOE test procedures for CRACs 

to reflect updates to the relevant 

industry test standard, pursuant to the 

relevant statutory provisions of EPCA. 

2. Objective of, and Legal Basis for, Rule 

EPCA, as amended, requires that the 

test procedures for commercial package 

air conditioning and heating equipment, 

which includes CRACs, be those 

generally accepted industry testing 

procedures or rating procedures 

developed or recognized by AHRI or by 

ASHRAE, as referenced in ASHRAE 

Standard 90.1. (42 U.S.C. 6314(a)(4)(A)) 

Further, if such an industry test 

procedure is amended, DOE must 

amend its test procedure to be 

consistent with the amended industry 

test procedure, unless DOE determines, 

by rule published in the Federal 

Register and supported by clear and 

convincing evidence, that such 

amended test procedure would not meet 

the requirements in 42 U.S.C. 6314(a)(2) 

and (3) related to representative use and 

test burden. (42 U.S.C. 6314(a)(4)(B)) 

EPCA also requires that, at least once 

every 7 years, DOE must evaluate test 

procedures for each type of covered 

equipment, including CRACs, to 

determine whether amended test 

procedures would more accurately or 

fully comply with the requirements for 

the test procedures to not be unduly 

burdensome to conduct and be 

reasonably designed to produce test 

results that reflect energy efficiency, 

energy use, and estimated operating 

costs during a representative average 

use cycle. (42 U.S.C. 614(a)(1)(A)) 

DOE is publishing this NOPR 

proposing amendments to the test 

procedure for CRACs in satisfaction of 

the aforementioned obligations under 

EPCA. 

3. Description and Estimate of Small 

Entities Regulated 

DOE uses the Small Business 

Administration (SBA) small business 

size standards to determine whether 

manufacturers qualify as small 

businesses, which are listed by the 

North American Industry Classification 

System (NAICS).33 The SBA considers a 

business entity to be a small business, 

if, together with its affiliates, it employs 

less than a threshold number of workers 

specified in 13 CFR part 121. 

CRAC manufacturers are classified 

under NAICS code 333415, ‘‘AirConditioning and Warm Air Heating 

Equipment and Commercial and 

Industrial Refrigeration Equipment 

Manufacturing.’’ In 13 CFR 121.201, the 

SBA sets a threshold of 1,250 employees 

or fewer for an entity to be considered 

as a small business for this category. 

DOE utilized the California Energy 

Commission’s Modernized Appliance 

Efficiency Database System 

(‘‘MAEDbS’’) 34 and DOE’s Compliance 

Certification Database (‘‘CCD’’) 35 in 

identifying potential small businesses 

that manufacture CRACs covered by this 

rulemaking. DOE used subscriptionbased business information tools (e.g., 

reports from Dun & Bradstreet 36) to 

determine headcount and revenue of 

those small businesses. DOE identified 

nine companies that are original 

equipment manufacturers (OEMs) of 

CRACs covered by this rulemaking. DOE 

screened out companies that do not 

meet the definition of a ‘‘small 

business’’ or are foreign-owned and 

operated. DOE identified three small, 

domestic OEMs for consideration. One 

small, domestic OEM is not an AHRI 

member, while the other two small, 

domestic OEMs are AHRI members. 

4. Description and Estimate of 

Compliance Requirements 

In this NOPR, DOE is proposing to 

relocate the current DOE test procedure 

to a new appendix E of subpart F of part 

431 (‘‘appendix E’’) without change. 

DOE is also proposing an amended test 

procedure at appendix E1 to subpart F 

of part 431 (‘‘appendix E1’’). 

Specifically, DOE is proposing in 

appendix E1 to adopt the updated draft 

industry test standard AHRI 1360–202X 

Draft for CRACs. Additionally, this 

NOPR seeks to amend certain 

representation and enforcement 

provisions for CRACs in 10 CFR part 

429. 

Appendix E does not contain any 

changes from the current Federal test 

procedure, and, therefore, would have 

no cost to industry and would not 

require retesting solely as a result of 

DOE’s adoption of this proposed 

amendment to the test procedure, if 

made final. 

The proposed test procedure in 

appendix E1 includes amendments for 

measuring CRAC energy efficiency 

using the NSenCOP metric so as to be 

consistent with the updated draft 

industry test procedure. Should DOE 

adopt amended energy conservation 

standards in the future denominated in 

terms of NSenCOP, the Department 


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37 In accordance with 10 CFR 429.70. 

expects there would not be an increase 

in third-party lab testing costs per unit 

relative to the current Federal test 

procedure. DOE estimates such testing 

costs to be $10,200 per unit for physical 

testing. DOE has tentatively concluded 

that the proposed test procedure may 

require re-rating of CRAC models; 

however, this would not be mandatory 

until such time as DOE amends the 

energy conservation standards for 

CRACs based on NSenCOP, should DOE 

adopt such amendments. 

If CRAC manufacturers conduct 

physical testing to certify a basic model, 

two units are required to be tested per 

basic model. However, manufacturers 

are not required to perform laboratory 

testing on all basic models, as CRAC 

manufacturers may elect to use 

AEDMs.37 An AEDM is a computer 

modeling or mathematical tool that 

predicts the performance of non-tested 

basic models. These computer modeling 

and mathematical tools, when properly 

developed, can provide a means to 

predict the energy usage or efficiency 

characteristics of a basic model of a 

given covered product or equipment 

and reduce the burden and cost 

associated with testing. 

Small businesses would be expected 

to have different potential regulatory 

costs depending on whether they are a 

member of AHRI. DOE understands that 

all AHRI members and all 

manufacturers currently certifying to the 

AHRI Directory will be testing their 

CRAC models in accordance with the 

final version of AHRI 1360–202X Draft, 

the industry test procedure DOE is 

proposing to incorporate by reference (if 

finalized and consistent with AHRI 

1360–202X Draft), and using AHRI’s 

certification program, which has already 

been updated to include the NSenCOP 

metric. 

The proposed test procedure 

amendments would not add any 

additional testing burden to 

manufacturers which are members of 

AHRI, as those members currently are or 

soon will be using the finalized version 

of the AHRI 1360–202X draft test 

procedure. If DOE were to adopt energy 

conservation standards denominated in 

terms of the NSenCOP metric, the 

proposed test procedure amendments 

may, however, result in re-rating costs 

for manufacturers which are not AHRI 

members (currently one identified 

OEM). 

DOE estimated the range of additional 

potential testing costs for the single 

small CRAC manufacturer which is not 

an AHRI member. This small business 

would only incur additional testing 

costs if they would not already be using 

the finalized version of the AHRI 1360– 

202X Draft to test their CRAC models. 

DOE estimates that this small business 

manufactures 113 basic models. 

When developing cost estimates for 

this single, non-AHRI-member small 

business, DOE considered the cost to 

develop an AEDM, the costs to validate 

the AEDM through physical testing, and 

the cost per model to determine ratings 

using the AEDM. The Department 

anticipates that this small OEM would 

avail itself of the cost-saving option 

which the AEDM provides. DOE 

estimated the cost to develop and 

validate an AEDM for CRACs to be 

approximately $46,000, which includes 

physical testing of two models per 

validation class. Additionally, DOE 

estimated a cost of approximately $50 

per basic model for determining energy 

efficiency using the validated AEDM. 

The estimated cost to rate the 113 basic 

models with the AEDM would be 

$5,650. Therefore, should DOE adopt 

amended energy conservation standards 

in the future denominated in terms of 

NSenCOP as the efficiency metric, this 

small business could incur total testing 

and rating costs of $51,650. 

DOE understands the annual revenue 

of this small business to be 

approximately $17 million. Therefore, 

testing and AEDM costs could cause this 

small business manufacturer to incur 

costs of up to 0.30 percent of its annual 

revenue. 

Issue 9: DOE requests comment on the 

number of small businesses DOE 

identified. DOE also seeks comment on 

the potential costs for the small business 

that is not an AHRI member and 

manufactures CRACs 

5. Duplication, Overlap, and Conflict 

With Other Rules and Regulations 

DOE is not aware of any rules or 

regulations that duplicate, overlap, or 

conflict with the rule being considered 

in this document. 

6. Significant Alternatives to the Rule 

DOE proposes to reduce burden on 

manufacturers, including small 

businesses, by allowing AEDMs in lieu 

of physically testing all basic models. 

The use of an AEDM is less costly than 

physical testing CRAC models. Without 

AEDMs, the average cost to rate all basic 

models for the small CRAC 

manufacturer (non-AHRI member) 

would be $1,152,600. 

Additionally, DOE considered 

alternative test methods and 

modifications to the AHRI 1360–202X 

Draft test procedure for CRACs. 

However, DOE has tentatively 

determined that there are no better 

alternatives than the existing industry 

test procedures, in terms of both 

meeting the agency’s objectives and 

reducing burden on manufacturers. 

Therefore, DOE is proposing to amend 

the existing DOE test procedure for 

CRACs through adoption of the 

substance of AHRI 1360–202X Draft. 

DOE intends to update the reference to 

the final published version of AHRI 

1360–202X Draft in the final rule, unless 

there are substantive changes between 

the draft and published versions, in 

which case DOE may adopt the 

substance of the AHRI 1360–202X Draft 

or provide additional opportunity for 

comment on the changes to the industry 

consensus test procedure. 

Manufacturers subject to DOE’s 

energy efficiency standards may apply 

to DOE’s Office of Hearings and Appeals 

for exception relief under certain 

circumstances. Manufacturers should 

refer to 10 CFR part 1003 for additional 

details. 

C. Review Under the Paperwork 

Reduction Act of 1995 

Manufacturers of CRACs must certify 

to DOE that their products comply with 

any applicable energy conservation 

standards. To certify compliance, 

manufacturers must first obtain test data 

for their products according to the DOE 

test procedures, including any 

amendments adopted for those test 

procedures. DOE has established 

regulations for the certification and 

recordkeeping requirements for all 

covered consumer products and 

commercial equipment, including 

commercial package air condition and 

heating equipment. (See generally 10 

CFR part 429.) The collection-ofinformation requirement for the 

certification and recordkeeping is 

subject to review and approval by OMB 

under the Paperwork Reduction Act 

(PRA). This requirement has been 

approved by OMB under OMB control 

number 1910–1400. Public reporting 

burden for the certification is estimated 

to average 35 hours per response, 

including the time for reviewing 

instructions, searching existing data 

sources, gathering and maintaining the 

data needed, and completing and 

reviewing the collection of information. 

Notwithstanding any other provision 

of the law, no person is required to 

respond to, nor shall any person be 

subject to a penalty for failure to comply 

with, a collection of information subject 

to the requirements of the PRA, unless 

that collection of information displays a 

currently valid OMB Control Number. 


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D. Review Under the National 

Environmental Policy Act of 1969 

DOE is analyzing this proposed 

regulation in accordance with the 

National Environmental Policy Act of 

1969 (NEPA) and DOE’s NEPA 

implementing regulations (10 CFR part 

1021). DOE’s regulations include a 

categorical exclusion for rulemakings 

interpreting or amending an existing 

rule or regulation that does not change 

the environmental effect of the rule or 

regulation being amended. 10 CFR part 

1021, subpart D, appendix A5. DOE 

anticipates that this rulemaking 

qualifies for categorical exclusion A5 

because it is an interpretive rulemaking 

that does not change the environmental 

effect of the rule and otherwise meets 

the requirements for application of a 

categorical exclusion. See 10 CFR 

1021.410. DOE will complete its NEPA 

review before issuing the final rule. 

E. Review Under Executive Order 13132 

Executive Order 13132, ‘‘Federalism,’’ 

64 FR 43255 (August 10, 1999), imposes 

certain requirements for agencies 

formulating and implementing policies 

or regulations that preempt State law or 

that have federalism implications. The 

Executive order requires agencies to 

examine the constitutional and statutory 

authority supporting any action that 

would limit the policymaking discretion 

of the States and to carefully assess the 

necessity for such actions. The 

Executive order also requires agencies to 

have an accountable process to ensure 

meaningful and timely input by State 

and local officials in the development of 

regulatory policies that have federalism 

implications. On March 14, 2000, DOE 

published a statement of policy 

describing the intergovernmental 

consultation process it will follow in the 

development of such regulations. 65 FR 

13735. DOE has examined this proposed 

rule and has determined that it would 

not have a substantial direct effect on 

the States, on the relationship between 

the national government and the States, 

or on the distribution of power and 

responsibilities among the various 

levels of government. EPCA governs and 

prescribes Federal preemption of State 

regulations as to energy conservation for 

the products that are the subject of this 

proposed rule. States can petition DOE 

for exemption from such preemption to 

the extent, and based on criteria, set 

forth in EPCA. (42 U.S.C. 6297(d)) No 

further action is required by Executive 

Order 13132. 

F. Review Under Executive Order 12988 

Regarding the review of existing 

regulations and the promulgation of 

new regulations, section 3(a) of 

Executive Order 12988, ‘‘Civil Justice 

Reform,’’ 61 FR 4729 (Feb. 7, 1996), 

imposes on Federal agencies the general 

duty to adhere to the following 

requirements: (1) Eliminate drafting 

errors and ambiguity; (2) write 

regulations to minimize litigation; (3) 

provide a clear legal standard for 

affected conduct rather than a general 

standard, and (4) promote simplification 

and burden reduction. Section 3(b) of 

Executive Order 12988 specifically 

requires that executive agencies make 

every reasonable effort to ensure that the 

regulation: (1) Clearly specifies the 

preemptive effect, if any; (2) clearly 

specifies any effect on existing Federal 

law or regulation; (3) provides a clear 

legal standard for affected conduct 

while promoting simplification and 

burden reduction; (4) specifies the 

retroactive effect, if any; (5) adequately 

defines key terms, and (6) addresses 

other important issues affecting clarity 

and general draftsmanship under any 

guidelines issued by the Attorney 

General. Section 3(c) of Executive Order 

12988 requires Executive agencies to 

review regulations in light of applicable 

standards in sections 3(a) and 3(b) to 

determine whether they are met or it is 

unreasonable to meet one or more of 

them. DOE has completed the required 

review and determined that, to the 

extent permitted by law, the proposed 

rule meets the relevant standards of 

Executive Order 12988. 

G. Review Under the Unfunded 

Mandates Reform Act of 1995 

Title II of the Unfunded Mandates 

Reform Act of 1995 (UMRA) requires 

each Federal agency to assess the effects 

of Federal regulatory actions on State, 

local, and Tribal governments and the 

private sector. Public Law 104–4, sec. 

201 (codified at 2 U.S.C. 1531). For a 

proposed regulatory action likely to 

result in a rule that may cause the 

expenditure by State, local, and Tribal 

governments, in the aggregate, or by the 

private sector of $100 million or more 

in any one year (adjusted annually for 

inflation), section 202 of UMRA requires 

a Federal agency to publish a written 

statement that estimates the resulting 

costs, benefits, and other effects on the 

national economy. (2 U.S.C. 1532(a), (b)) 

The UMRA also requires a Federal 

agency to develop an effective process 

to permit timely input by elected 

officers of State, local, and Tribal 

governments on a proposed ‘‘significant 

intergovernmental mandate,’’ and 

requires an agency plan for giving notice 

and opportunity for timely input to 

potentially affected small governments 

before establishing any requirements 

that might significantly or uniquely 

affect small governments. On March 18, 

1997, DOE published a statement of 

policy on its process for 

intergovernmental consultation under 

UMRA. 62 FR 12820; also available at 

energy.gov/gc/office-general-counsel. 

DOE examined this proposed rule 

according to UMRA and its statement of 

policy and determined that the rule 

contains neither an intergovernmental 

mandate, nor a mandate that may result 

in the expenditure of $100 million or 

more in any year, so these requirements 

do not apply. 

H. Review Under the Treasury and 

General Government Appropriations 

Act, 1999 

Section 654 of the Treasury and 

General Government Appropriations 

Act, 1999 (Pub. L. 105–277) requires 

Federal agencies to issue a Family 

Policymaking Assessment for any rule 

that may affect family well-being. This 

proposed rule would not have any 

impact on the autonomy or integrity of 

the family as an institution. 

Accordingly, DOE has concluded that it 

is not necessary to prepare a Family 

Policymaking Assessment. 

I. Review Under Executive Order 12630 

DOE has determined, under Executive 

Order 12630, ‘‘Governmental Actions 

and Interference with Constitutionally 

Protected Property Rights,’’ 53 FR 8859 

(March 18, 1988), that this regulation 

would not result in any takings that 

might require compensation under the 

Fifth Amendment to the U.S. 

Constitution. 

J. Review Under Treasury and General 

Government Appropriations Act, 2001 

Section 515 of the Treasury and 

General Government Appropriations 

Act, 2001 (44 U.S.C. 3516 note) provides 

for agencies to review most 

disseminations of information to the 

public under guidelines established by 

each agency pursuant to general 

guidelines issued by OMB. OMB’s 

guidelines were published at 67 FR 

8452 (Feb. 22, 2002), and DOE’s 

guidelines were published at 67 FR 

62446 (Oct. 7, 2002). DOE has reviewed 

this proposed rule under the OMB and 

DOE guidelines and has concluded that 

it is consistent with applicable policies 

in those guidelines. 

K. Review Under Executive Order 13211 

Executive Order 13211, ‘‘Actions 

Concerning Regulations That 

Significantly Affect Energy Supply, 

Distribution, or Use,’’ 66 FR 28355 (May 

22, 2001), requires Federal agencies to 

prepare and submit to OMB, a 


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Statement of Energy Effects for any 

proposed significant energy action. A 

‘‘significant energy action’’ is defined as 

any action by an agency that 

promulgated or is expected to lead to 

promulgation of a final rule, and that: 

(1) Is a significant regulatory action 

under Executive Order 12866, or any 

successor order; and (2) is likely to have 

a significant adverse effect on the 

supply, distribution, or use of energy; or 

(3) is designated by the Administrator of 

OIRA as a significant energy action. For 

any proposed significant energy action, 

the agency must give a detailed 

statement of any adverse effects on 

energy supply, distribution, or use 

should the proposal be implemented, 

and of reasonable alternatives to the 

action and their expected benefits on 

energy supply, distribution, and use. 

The proposed regulatory action to 

amend the test procedure for measuring 

the energy efficiency of CRACs is not a 

significant regulatory action under 

Executive Order 12866. Moreover, it 

would not have a significant adverse 

effect on the supply, distribution, or use 

of energy, nor has it been designated as 

a significant energy action by the 

Administrator of OIRA. Therefore, it is 

not a significant energy action, and, 

accordingly, DOE has not prepared a 

Statement of Energy Effects. 

L. Review Under Section 32 of the 

Federal Energy Administration Act of 

1974 

Under section 301 of the Department 

of Energy Organization Act (Pub. L. 95– 

91; 42 U.S.C. 7101), DOE must comply 

with section 32 of the Federal Energy 

Administration Act of 1974, as amended 

by the Federal Energy Administration 

Authorization Act of 1977. (15 U.S.C. 

788; FEAA) Section 32 essentially 

provides in relevant part that, where a 

proposed rule authorizes or requires use 

of commercial standards, the notice of 

proposed rulemaking must inform the 

public of the use and background of 

such standards. In addition, section 

32(c) requires DOE to consult with the 

Attorney General and the Chairman of 

the Federal Trade Commission (FTC) 

concerning the impact of the 

commercial or industry standards on 

competition. 

The proposed amendments to the 

Federal test procedure for CRACs are 

primarily in response to modifications 

to the applicable industry consensus 

test standards (i.e., AHRI 1360–202X 

Draft, ANSI/ASHRAE 37–2009, and 

ANSI/ASHRAE 127–2020). DOE has 

evaluated these standards and is unable 

to conclude whether they fully comply 

with the requirements of section 32(b) of 

the FEAA (i.e., whether they were 

developed in a manner that fully 

provides for public participation, 

comment, and review). DOE will 

consult with both the Attorney General 

and the Chairman of the FTC 

concerning the impact of these test 

procedures on competition, prior to 

prescribing a final rule. 

M. Description of Materials 

Incorporated by Reference 

In this NOPR, DOE proposes to 

incorporate by reference the following 

test standards: 

(1) The draft test standard provided by 

AHRI, titled ‘‘Performance Rating of 

Computer and Data Processing Room Air 

Conditioners (‘‘Draft Standard’’) AHRI 

Standard 1360–202X Draft. AHRI Standard 

1360–202X Draft is a draft industry test 

procedure for measuring the performance of 

CRACs. AHRI Standard 1360–202X Draft is 

in draft form and its text was provided to the 

Department for the purposes of review only 

during the drafting of this NOPR. AHRI 

1360–202X Draft has been attached in this 

docket for review. DOE intends to update the 

reference to the final published version of 

AHRI 1360–202X Draft in the Final Rule, 

unless there are substantive changes between 

the draft and published versions, in which 

case DOE may adopt the substance of the 

AHRI 1360–202X Draft or provide additional 

opportunity for comment on the changes to 

the industry consensus test procedure. 

(2) The test standard published by 

ASHRAE, titled ‘‘Method of Testing for 

Rating Computer and Data Processing Room 

Unitary Air Conditioners,’’ ANSI/ASHRAE 

Standard 127–2020. ANSI/ASHRAE Standard 

127–2020 is an industry-accepted test 

procedure for measuring the performance of 

CRACs. ANSI/ASHRAE Standard 127–2020 

is available on ANSI’s website at 

webstore.ansi.org/standards/ashrae/ 

ansiashrae1272020. 

(3) The test standard published by 

ASHRAE, titled ‘‘Methods of Testing for 

Rating Electrically Driven Unitary AirConditioning and Heat Pump Equipment,’’ 

ANSI/ASHRAE Standard 37–2009. ANSI/ 

ASHRAE Standard 37–2009 is an industryaccepted test procedure that provides a 

method of test for many categories of air 

conditioning and heating equipment. ANSI/ 

ASHRAE Standard 37–2009 is available on 

ANSI’s website at webstore.ansi.org/Record

Detail.aspx?sku=ANSI%2

FASHRAE+Standard+37-2009. 

(4) The test standard published by 

ASHRAE, titled ‘‘Method of Testing for 

Rating Computer and Data Processing Room 

Unitary Air Conditioners,’’ ANSI/ASHRAE 

Standard 127–2007. ANSI/ASHRAE Standard 

127–2007 is an industry-accepted test 

procedure for measuring the performance of 

CRACs. ANSI/ASHRAE Standard 127–2007 

is available on ANSI’s website at https://

webstore.ansi.org/standards/ashrae/ 

ansiashrae1272007. 

The following standards were 

previously approved for incorporation 

by reference in the section where they 

appear and no change is proposed: 

AHRI 210/240–2008, AHRI 340/360– 

2007, ISO Standard 13256–1, AHRI 

1230–2010, AHRI 390–2003. 

V. Public Participation 

A. Participation in the Webinar 

The time and date of the webinar are 

listed in the DATES section at the 

beginning of this document. Webinar 

registration information, participant 

instructions, and information about the 

capabilities available to webinar 

participants will be published on DOE’s 

website: www.energy.gov/eere/ 

buildings/public-meetings-andcomment-deadlines. Participants are 

responsible for ensuring their systems 

are compatible with the webinar 

software. 

B. Procedures for Submitting Prepared 

General Statements for Distribution 

Any person who has an interest in the 

topics addressed in this proposed 

rulemaking, or who is representative of 

a group or class of persons that has an 

interest in these issues, may request an 

opportunity to make an oral 

presentation at the webinar/public 

meeting. Such persons may submit 

requests to speak via email to the 

Appliance and Equipment Standards 

Program at: ApplianceStandardsQ

uestions@ee.doe.gov. Persons who wish 

to speak should include with their 

request a computer file in WordPerfect, 

Microsoft Word, PDF, or text (ASCII) file 

format that briefly describes the nature 

of their interest in this rulemaking and 

the topics they wish to discuss. Such 

persons should also provide a daytime 

telephone number where they can be 

reached. 

DOE requests persons selected to 

make an oral presentation to submit an 

advance copy of their statements at least 

two weeks before the webinar/public 

meeting. At its discretion, DOE may 

permit persons who cannot supply an 

advance copy of their statement to 

participate, if those persons have made 

advance alternative arrangements with 

the Building Technologies Office. As 

necessary, requests to give an oral 

presentation should ask for such 

alternative arrangements. 

C. Conduct of the Webinar 

DOE will designate a DOE official to 

preside at the webinar and may also use 

a professional facilitator to aid 

discussion. The meeting will not be a 

judicial or evidentiary-type public 

hearing, but DOE will conduct it in 

accordance with section 336 of EPCA 

(42 U.S.C. 6306). A court reporter will 

be present to record the proceedings and 

to prepare a transcript. DOE reserves the 


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right to schedule the order of 

presentations and to establish the 

procedures governing the conduct of the 

webinar/public meeting. There shall not 

be discussion of proprietary 

information, costs or prices, market 

share, or other commercial matters 

regulated by U.S. anti-trust laws. After 

the webinar and until the end of the 

comment period, interested parties may 

submit further comments on the 

proceedings and any aspect of the 

rulemaking. 

The webinar will be conducted in an 

informal, conference style. DOE will 

present a summary of the proposals, 

allow time for prepared general 

statements by participants, and 

encourage all interested parties to share 

their views on issues affecting this 

rulemaking. Each participant will be 

allowed to make a general statement 

(within time limits determined by DOE), 

before the discussion of specific topics. 

DOE will allow, as time permits, other 

participants to comment briefly on any 

general statements. 

At the end of all prepared statements 

on a topic, DOE will permit participants 

to clarify their statements briefly and 

comment on statements made by others. 

Participants should be prepared to 

answer questions by DOE and by other 

participants concerning these issues. 

DOE representatives may also ask 

questions of participants concerning 

other matters relevant to this 

rulemaking. The official conducting the 

webinar will accept additional 

comments or questions from those 

attending, as time permits. The 

presiding official will announce any 

further procedural rules or modification 

of the above procedures that may be 

needed for the proper conduct of the 

webinar. 

A transcript of the webinar will be 

included in the docket, which can be 

viewed as described in the Docket 

section at the beginning of this NOPR. 

In addition, any person may buy a copy 

of the transcript from the transcribing 

reporter. 

D. Submission of Comments 

DOE will accept comments, data, and 

information regarding this proposed 

rule no later than the date provided in 

the DATES section at the beginning of 

this proposed rule. Interested parties 

may submit comments using any of the 

methods described in the ADDRESSES

section at the beginning of this 

document. 

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 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. 

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 

website will waive any CBI claims for 

the information submitted. For 

information on submitting CBI, see the 

Confidential Business Information 

section. 

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. 

Comments and documents submitted 

via email 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. 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, written in English, and 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 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. DOE 

will make its own determination about 

the confidential status of the 

information and treat it according to its 

determination. 

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). 

E. Issues on Which DOE Seeks Comment 

Although DOE welcomes comments 

on any aspect of this proposal, DOE is 

particularly interested in receiving 

comments and views of interested 

parties concerning the following issues: 

Issue 1: DOE requests comment on the 

proposed definition for ‘‘computer room 

air conditioner’’ that distinguishes 

between CRACs and other categories of 

air conditioning equipment, based on 

the marketing of the equipment. 

Issue 2: DOE requests comment on its 

proposal to define the following terms, 

consistent with AHRI 1360–202X Draft: 

Floor-mounted, ceiling-mounted, wallmounted, roof-mounted, up-flow, downflow, horizontal flow, up-flow ducted, 

up-flow non-ducted, ceiling-mounted 

ducted, ceiling-mounted non-ducted, 

and fluid economizer. 


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Issue 3: DOE requests comment on its 

proposal to adopt the NSenCOP metric 

for CRACs as part of the proposed test 

procedure in appendix E1, which would 

be used only if DOE were to prescribe 

energy conservation standards 

denominated in terms of NSenCOP in a 

future rulemaking. Additionally, DOE 

seeks feedback on whether the rating 

conditions in AHRI 1360–202X Draft are 

appropriately representative of field 

applications. 

Issue 4: DOE seeks comment on its 

proposals regarding specific 

components in 10 CFR part 431, subpart 

F, appendix E1, 10 CFR 429.43, and 10 

CFR 429.134. 

Issue 5: DOE requests comment on its 

proposal to adopt the methods for 

comparing relative efficiency of 

standard and non-standard indoor fan 

motors and integrated fan and motor 

combinations specified in Section D3 of 

AHRI 1360–202X Draft in the proposed 

test procedure in 10 CFR part 431, 

subpart F, appendix E1, as well as in 

provisions for determination of 

represented values in 10 CFR 429.43(a) 

and provisions for DOE assessment and 

enforcement testing in 10 CFR 429.134. 

Issue 6: DOE requests comment on its 

proposal regarding representations for 

CRAC basic models approved for use 

with multiple refrigerants. 

Issue 7: DOE requests comment on its 

proposals related to represented values 

and verification testing of NSCC for 

CRACs. 

Issue 8: DOE requests comment on its 

understanding of the impact of the test 

procedure proposals in this NOPR, 

specifically DOE’s initial conclusion 

that the proposed DOE test procedure 

amendments, if finalized, would not 

increase testing burden on most CRAC 

manufacturers (i.e., CRAC 

manufacturers who are AHRI members), 

compared to current industry practice as 

indicated by AHRI 1360–202X Draft, 

and that those proposed amendments 

would not have a significant impact on 

the remaining CRAC manufacturers (i.e., 

CRAC manufacturers who are not AHRI 

members). 

Issue 9: DOE requests comment on the 

number of small businesses DOE 

identified. DOE also seeks comment on 

the potential costs for the small business 

that is not an AHRI member and 

manufactures CRACs. 

VI. Approval of the Office of the 

Secretary 

The Secretary of Energy has approved 

publication of this notice of proposed 

rulemaking and request for comment. 

List of Subjects 

10 CFR Part 429 

Administrative practice and 

procedure, Confidential business 

information, Energy conservation, 

Household appliances, Imports, 

Incorporation by reference, 

Intergovernmental relations, Reporting 

and recordkeeping requirements, Small 

businesses. 

10 CFR Part 431 

Administrative practice and 

procedure, Confidential business 

information, Energy conservation, 

Incorporation by reference, Reporting 

and recordkeeping requirements. 

Signing Authority 

This document of the Department of 

Energy was signed on January 28, 2022, 

by Kelly J. Speakes-Backman, Principal 

Deputy Assistant Secretary for Energy 

Efficiency and Renewable Energy, 

pursuant to delegated authority from the 

Secretary of Energy. That document 

with the original signature and date is 

maintained by DOE. For administrative 

purposes only, and in compliance with 

requirements of the Office of the Federal 

Register, the undersigned DOE Federal 

Register Liaison Officer has been 

authorized to sign and submit the 

document in electronic format for 

publication, as an official document of 

the Department of Energy. This 

administrative process in no way alters 

the legal effect of this document upon 

publication in the Federal Register. 

Signed in Washington, DC, on January 31, 

2022. 

Treena V. Garrett, 

Federal Register Liaison Officer, U.S. 

Department of Energy. 

For the reasons stated in the 

preamble, DOE is proposing to amend 

parts 429 and 431 of Chapter II of Title 

10, Code of Federal Regulations as set 

forth below: 

PART 429—CERTIFICATION, 

COMPLIANCE, AND ENFORCEMENT 

FOR CONSUMER PRODUCTS AND 

COMMERCIAL AND INDUSTRIAL 

EQUIPMENT 

■ 1. The authority citation for part 429 

continues to read as follows: 

Authority: 42 U.S.C. 6291–6317; 28 U.S.C. 

2461 note. 

■ 2. Amend § 429.4 by revising 

paragraph (a) and redesignating 

paragraph (c)(2) as (c)(3), and adding 

new paragraph (c)(2) to read as follows: 

§ 429.4 Materials incorporated by 

reference. 

(a) Certain material is incorporated by 

reference into this subpart with the 

approval of the Director of the Federal 

Register in accordance with 5 U.S.C. 

552(a) and 1 CFR part 51. To enforce 

any edition other than that specified in 

this section, DOE must publish a 

document in the Federal Register and 

the material must be available to the 

public. All approved material is 

available for inspection at the U.S. 

Department of Energy, Office of Energy 

Efficiency and Renewable Energy, 

Building Technologies Program, Sixth 

Floor, 950 L’Enfant Plaza SW, 

Washington, DC 20024, (202) 586–9127, 

Buildings@ee.doe.gov, www.energy.gov/ 

eere/buildings/building-technologiesoffice, and may be obtained from the 

other sources in this section. Also, this 

material is available for inspection at 

the National Archives and Records 

Administration (NARA). For 

information on the availability of this 

material at NARA, email: fr.inspection@

nara.gov, or go to: www.archives.gov/ 

federal-register/cfr/ibr-locations.html. 

* * * * * 

(c) * * * 

(2) AHRI Standard 1360–202X Draft, 

(‘‘AHRI 1360–202X Draft’’), Performance 

Rating of Computer and Data Processing 

Room Air Conditioners, IBR approved 

for § 429.43. 

* * * * * 

■ 3. Amend § 429.43 by adding 

paragraphs (a)(3) and (4) to read as 

follows. 

§ 429.43 Commercial heating, ventilating, 

air conditioning (HVAC) equipment. 

(a) * * * 

(3) Product-specific provisions for 

determination of represented values. 

(i)–(iv) [Reserved] 

(v) Computer room air conditioners. 

When certifying to standards in terms of 

NSenCOP, the following provisions 

apply. 

(A) If a basic model is distributed in 

commerce and approved for use with 

multiple refrigerants, a manufacturer 

must determine all represented values 

for that basic model (e.g., NSenCOP and 

net sensible cooling capacity) based on 

the refrigerant that results in the lowest 

cooling efficiency. A refrigerant is 

considered approved for use if it is 

listed on the nameplate of the outdoor 

unit. Per the definition of ‘‘basic model’’ 

in § 431.92, use of a refrigerant that 

requires different hardware (i.e., 

compressors, heat exchangers, or air 

moving systems that are not the same or 

comparably performing), would 

represent a different basic model, and 


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separate representations would be 

required for each basic model. 

(B) The represented value of net 

sensible cooling capacity must be 

between 95 percent and 100 percent of 

the mean of the capacities measured for 

the units in the sample selected as 

described in paragraph (a)(1)(ii) of this 

section, or between 95 percent and 100 

percent of the net sensible cooling 

capacity output simulated by the AEDM 

as described in paragraph (a)(2) of this 

section. 

(4) Determination of represented 

values for individual models with 

specific components for computer room 

air conditioners. 

(i) If a manufacturer distributes in 

commerce individual models with one 

of the components listed in the 

following table, determination of 

represented values is dependent on the 

selected grouping of individual models 

into a basic model, as indicated in 

paragraphs (a)(4)(ii) through (v) of this 

section. For the purposes of this 

paragraph, ‘‘otherwise identical’’ means 

differing only in the presence of specific 

components listed in table 1 to this 

paragraph (a)(4)(i). 

TABLE 1 TO PARAGRAPH (a)(4)(i) 

Component Description 

Air Economizers .............................. An automatic system that enables a cooling system to supply and use outdoor air to reduce or eliminate 

the need for mechanical cooling during mild or cold weather. 

Process Heat Recovery/Reclaim 

Coils/Thermal Storage.

A heat exchanger located inside the unit that conditions the equipment’s supply air using energy transferred from an external source using a vapor, gas, or liquid. 

Evaporative Pre-cooling of Aircooled Condenser Intake Air.Water is evaporated into the air entering the air-cooled condenser to lower the dry-bulb temperature and 

thereby increase efficiency of the refrigeration cycle. 

Steam/Hydronic Heat Coils ............. Coils used to provide supplemental heat. 

Refrigerant Reheat Coils ................ A heat exchanger located downstream of the indoor coil that heats the supply air during cooling operation 

using high pressure refrigerant in order to increase the ratio of moisture removal to cooling capacity provided by the equipment. 

Powered Exhaust/Powered Return 

Air Fans.

A powered exhaust fan is a fan that transfers directly to the outside a portion of the building air that is returning to the unit, rather than allowing it to recirculate to the indoor coil and back to the building. A powered return air fan is a fan that draws building air into the equipment. 

Compressor Variable Frequency 

Drive (VFD).

A device connected electrically between the equipment’s power supply connection and the compressor 

that can vary the frequency of power supplied to the compressor in order to allow variation of the compressor’s rotational speed. If the manufacturer chooses to make representations for performance at partload and/or low-ambient conditions (e.g., using the iNSenCOP metric), compressor VFDs must be treated consistently for all cooling capacity tests for the basic model (i.e., if the compressor VFD is installed 

and active for the part-load and/or low-ambient tests, it must also be installed and active for the 

NSenCOP test). 

Fire/Smoke/Isolation Dampers ........ A damper assembly including means to open and close the damper mounted at the supply or return duct 

opening of the equipment. 

Non-Standard Indoor Fan Motors ... The standard indoor fan motor is the motor specified in the manufacturer’s installation instructions for testing and shall be distributed in commerce as part of a particular model. A non-standard motor is an indoor fan motor that is not the standard indoor fan motor and that is distributed in commerce as part of 

an individual model within the same basic model. 

For a non-standard indoor fan motor(s) to be considered a specific component for a basic model (and thus 

subject to the provisions of paragraph (a)(3)(v)(A)–(B) of this section), the following provisions must be 

met: 

(1) Non-standard indoor fan motor(s) must meet the minimum allowable efficiency determined per 

Section D.3.1 of AHRI 1360–202X Draft (incorporated by reference, see § 429.4) (i.e., for non-standard indoor fan motors) or per Section D.3.2 of AHRI 1360–202X Draft for non-standard indoor integrated fan and motor combinations). 

If the standard indoor fan motor can vary fan speed through control system adjustment of motor speed, all 

non-standard indoor fan motors must also allow speed control (including with the use of VFD). 

Humidifiers ...................................... A device placed in the supply air stream for moisture evaporation and distribution. The device may require 

building steam or water, hot water, electricity, or gas to operate. 

Flooded Condenser Head Pressure 

Controls.

An assembly, including a receiver and head pressure control valve, used to allow for unit operation at 

lower outdoor ambient temperatures than the standard operating control system. 

Chilled Water Dual Cooling Coils ... A secondary chilled water coil added in the indoor air stream for use as the primary or secondary cooling 

circuit in conjunction with a separate chiller. 

Condensate Pump .......................... A device used to pump condensate and/or humidifier drain water from inside the unit to a customer drain 

outside the unit. 

(ii) If a basic model includes only 

individual models distributed in 

commerce without a specific component 

listed in paragraph (4)(i) of this section, 

the manufacturer must determine 

represented values for the basic model 

based on performance of an individual 

model distributed in commerce without 

the component. 

(iii) If a basic model includes only 

individual models distributed in 

commerce with a specific component 

listed in paragraph (4)(i) of this section, 

the manufacturer must determine 

represented values for the basic model 

based on performance of an individual 

model with the component present (and 

consistent with any component-specific 

test provisions specified in section 4 of 

appendix E1 to subpart F of part 431 of 

this chapter). 

(iv) If a basic model includes both 

individual models distributed in 

commerce with a specific component 

listed in paragraph (4)(i) of this section 

and individual models distributed in 

commerce without that specific 

component, and none of the individual 

models distributed in commerce 

without the specific component are 

otherwise identical to any given 

individual model distributed in 

commerce with the specific component, 

the manufacturer must consider the 

performance of individual models with 

the component present when 


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determining represented values for the 

basic model (and consistent with any 

component-specific test provisions 

specified in section 4 of appendix E1 to 

subpart F of part 431 of this chapter). 

(v) If a basic model includes both 

individual models distributed in 

commerce with a specific component 

listed in paragraph (4)(i) of this section 

and individual models distributed in 

commerce without that specific 

component, and at least one of the 

individual models distributed in 

commerce without the specific 

component is otherwise identical to any 

given individual model distributed in 

commerce with the specific component, 

the manufacturer may determine 

represented values for the basic model 

either: 

(A) Based on performance of an 

individual model distributed in 

commerce without the specific 

component or 

(B) based on performance of an 

individual model with the specific 

component present (and consistent with 

any component-specific test provisions 

specified in section 4 of appendix E1 to 

subpart F of part 431 of this chapter). 

(vi) In any of the cases specified in 

paragraphs (a)(4)(ii) through (v) of this 

section, the represented values for a 

basic model must be determined 

through either testing (paragraph (a)(1) 

of this section) or an AEDM (paragraph 

(a)(2) of this section). 

■ 4. Amend § 429.70 by revising the 

table in paragraph (c)(2)(iv) to read as 

follows: 

§ 429.70 Alternative methods for 

determining energy efficiency and energy 

use. 

* * * * * 

(c) * * * 

(2) * * * 

(iv) * * * 

TABLE 1 TO PARAGRAPH (c)(2)(iv) 

Validation class 

Minimum number of distinct 

models that must be 

tested per AEDM 

Air-Cooled, Split and Packaged Air Conditioners (ACs) and Heat Pumps (HPs) less than 65,000 Btu/h Cooling 

Capacity (3-Phase).

2 Basic Models. 

(A) Commercial HVAC validation classes 

Air-Cooled, Split and Packaged ACs and HPs greater than or equal to 65,000 Btu/h Cooling Capacity and Less 

than 760,000 Btu/h Cooling Capacity.

2 Basic Models. 

Water-Cooled, Split and Packaged ACs and HPs, All Cooling Capacities .............................................................. 2 Basic Models. 

Evaporatively-Cooled, Split and Packaged ACs and HPs, All Capacities ............................................................... 2 Basic Models. 

Water-Source HPs, All Capacities ............................................................................................................................ 2 Basic Models. 

Single Package Vertical ACs and HPs ..................................................................................................................... 2 Basic Models. 

Packaged Terminal ACs and HPs ............................................................................................................................ 2 Basic Models. 

Air-Cooled, Variable Refrigerant Flow ACs and HPs ............................................................................................... 2 Basic Models. 

Water-Cooled, Variable Refrigerant Flow ACs and HPs .......................................................................................... 2 Basic Models. 

Computer Room Air Conditioners, Air Cooled .......................................................................................................... 2 Basic Models. 

Computer Room Air Conditioners, Water-Cooled and Glycol-Cooled ...................................................................... 2 Basic Models. 

(B) Commercial water heater validation classes 

Gas-fired Water Heaters and Hot Water Supply Boilers Less than 10 Gallons ...................................................... 2 Basic Models. 

Gas-fired Water Heaters and Hot Water Supply Boilers Greater than or Equal to 10 Gallons ............................... 2 Basic Models. 

Oil-fired Water Heaters and Hot Water Supply Boilers Less than 10 Gallons ......................................................... 2 Basic Models. 

Oil-fired Water Heaters and Hot Water Supply Boilers Greater than or Equal to 10 Gallons ................................. 2 Basic Models. 

Electric Water Heaters .............................................................................................................................................. 2 Basic Models. 

Heat Pump Water Heaters ........................................................................................................................................ 2 Basic Models. 

Unfired Hot Water Storage Tanks ............................................................................................................................. 2 Basic Models. 

(C) Commercial packaged boilers validation classes 

Gas-fired, Hot Water Only Commercial Packaged Boilers ....................................................................................... 2 Basic Models. 

Gas-fired, Steam Only Commercial Packaged Boilers ............................................................................................. 2 Basic Models. 

Gas-fired Hot Water/Steam Commercial Packaged Boilers ..................................................................................... 2 Basic Models. 

Oil-fired, Hot Water Only Commercial Packaged Boilers ......................................................................................... 2 Basic Models. 

Oil-fired, Steam Only Commercial Packaged Boilers ............................................................................................... 2 Basic Models. 

Oil-fired Hot Water/Steam Commercial Packaged Boilers ....................................................................................... 2 Basic Models. 

(D) Commercial furnace validation classes 

Gas-fired Furnaces .................................................................................................................................................... 2 Basic Models. 

Oil-fired Furnaces ...................................................................................................................................................... 2 Basic Models. 

(E) Commercial refrigeration equipment validation classes 1

Self-Contained Open Refrigerators ........................................................................................................................... 2 Basic Models. 

Self-Contained Open Freezers ................................................................................................................................. 2 Basic Models. 

Remote Condensing Open Refrigerators .................................................................................................................. 2 Basic Models. 

Remote Condensing Open Freezers ........................................................................................................................ 2 Basic Models. 

Self-Contained Closed Refrigerators ........................................................................................................................ 2 Basic Models. 

Self-Contained Closed Freezers ............................................................................................................................... 2 Basic Models. 

Remote Condensing Closed Refrigerators ............................................................................................................... 2 Basic Models. 


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TABLE 1 TO PARAGRAPH (c)(2)(iv)—Continued 

Validation class 

Minimum number of distinct 

models that must be 

tested per AEDM 

Remote Condensing Closed Freezers ...................................................................................................................... 2 Basic Models. 

1The minimum number of tests indicated above must be comprised of a transparent model, a solid model, a vertical model, a semi-vertical 

model, a horizontal model, and a service-over-the counter model, as applicable based on the equipment offering. However, manufacturers do not 

need to include all types of these models if it will increase the minimum number of tests that need to be conducted. 

* * * * * 

■ 5. Section 429.134 is amended by 

adding paragraph (s) to read as follows: 

§ 429.134 Product-specific enforcement 

provisions. 

* * * * * 

(s) Computer room air conditioners. 

The following provisions apply for 

assessment and enforcement testing of 

models subject to energy conservation 

standards denominated in terms of 

NSenCOP. 

(1) Verification of net sensible cooling 

capacity. The net sensible cooling 

capacity of each tested unit of the basic 

model will be measured pursuant to the 

test requirements of part 431, subpart F, 

appendix E1 of this chapter. The mean 

of the net sensible cooling capacity 

measurement(s) will be used to 

determine the applicable energy 

conservation standards for purposes of 

compliance. 

(2) Specific components. For basic 

models that include individual models 

distributed in commerce with any of the 

specific components listed at 

§ 429.43(a)(4)(i), the following 

provisions apply. For purposes of this 

paragraph, ‘‘otherwise identical’’ means 

differing only in terms of the presence 

of specific components listed at 

§ 429.43(a)(4)(i). 

(i) If the basic model includes only 

individual models distributed in 

commerce with a specific component, or 

does not include any otherwise 

identical individual models without the 

specific component, DOE may assess 

compliance for the basic model based 

on testing of an individual model with 

the component present (and consistent 

with any component-specific test 

provisions specified in section 4 of 

appendix E1 to subpart F of part 431 of 

this chapter). 

(ii) If the basic model includes both 

individual models distributed in 

commerce with a specific component 

and otherwise identical individual 

models without the specific component, 

DOE will assess compliance for the 

basic model based on testing an 

otherwise identical model within the 

basic model that does not include the 

component, unless DOE is not able to 

obtain an individual model for testing 

that does not include the component. In 

such a situation, DOE will assess 

compliance for the basic model based 

on testing of an individual model with 

the specific component present (and 

consistent with any component-specific 

test provisions specified in section 4 of 

appendix E1 to subpart F of part 431 of 

this chapter). 

PART 431—ENERGY EFFICIENCY 

PROGRAM FOR CERTAIN 

COMMERCIAL AND INDUSTRIAL 

EQUIPMENT 

■ 6. The authority citation for part 431 

continues to read as follows: 

Authority: 42 U.S.C. 6291–6317; 28 U.S.C. 

2461 note. 

■ 7. Section 431.92 is amended by: 

■ a. Revising the introductory 

paragraph; 

■ b. Adding, in alphabetical order, 

definitions for ‘‘Ceiling-mounted,’’ 

‘‘Ceiling-mounted ducted,’’ ‘‘Ceilingmounted non-ducted’’; 

■ c. Revising the definition for 

‘‘Computer room air conditioner’’; and 

■ d. Adding, in alphabetical order, 

definitions for ‘‘Down-flow,’’ ‘‘Floormounted,’’ ‘‘Fluid economizer,’’ 

‘‘Horizontal-flow,’’ ‘‘Net sensible 

coefficient of performance, or 

NSenCOP’’ ‘‘Roof-mounted,’’ ‘‘Upflow,’’ ‘‘Up-flow ducted,’’ ‘‘Up-flow 

non-ducted,’’ and ‘‘Wall-mounted.’’ 

The revisions and additions read as 

follows: 

§ 431.92 Definitions concerning 

commercial air conditioners and heat 

pumps. 

The following definitions apply for 

purposes of this subpart F, and of 

subparts J through M of this part. Any 

words or terms not defined in this 

section or elsewhere in this part shall be 

defined as provided in 42 U.S.C. 6311. 

For definitions that reference the 

application for which the equipment is 

marketed, DOE will consider any 

publicly available document published 

by the manufacturer (e.g., product 

literature, catalogs, and packaging 

labels) to determine marketing intent. 

Note: For definitions in this section that 

pertain to computer room air conditioners, 

italicized terms within a definition indicate 

terms that are separately defined in this 

section. 

* * * * * 

Ceiling-mounted means a 

configuration of a computer room air 

conditioner for which the unit housing 

the evaporator coil is configured for 

indoor installation on or through a 

ceiling. 

Ceiling-mounted ducted means a 

configuration of a ceiling-mounted 

computer room air conditioner that is 

configured for use with discharge 

ducting (even if the unit is also 

configurable for use without discharge 

ducting). 

Ceiling-mounted non-ducted means a 

configuration of a ceiling-mounted 

computer room air conditioner that is 

configured only for use without 

discharge ducting. 

* * * * * 

Computer room air conditioner means 

commercial package air-conditioning 

and heating equipment (packaged or 

split) that is marketed for use in 

computer rooms, data processing rooms, 

or other information technology cooling 

applications and not a covered 

consumer product under 42 U.S.C. 

6291(1)–(2) and 42 U.S.C. 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. 

Computer room air conditioners 

include, but are not limited to, the 

following configurations as defined in 

this section: Down-flow, horizontal-flow, 

up-flow ducted, up-flow non-ducted, 

ceiling-mounted ducted, ceiling 

mounted non-ducted, roof-mounted, 

and wall-mounted. 

* * * * * 

Down-flow means a configuration of 

floor-mounted computer room air 

conditioner in which return air enters 

above the top of the evaporator coil and 

discharge air leaves below the bottom of 

the evaporator coil. 

* * * * * 

Floor-mounted means a configuration 

of a computer room air conditioner for 

which the unit housing the evaporator 

coil is configured for indoor installation 

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stand. Floor-mounted computer room 

air conditioners are one of the following 

three configurations: Down-flow, 

horizontal-flow, and up-flow. 

Fluid economizer means an option 

available with a computer room air 

conditioner in which a fluid (other than 

air), cooled externally from the unit, 

provides cooling of the indoor air to 

reduce or eliminate unit compressor 

operation when outdoor temperature is 

low. The fluid may include, but is not 

limited to, chilled water, water/glycol 

solution, or refrigerant. An external 

fluid cooler such as, but not limited to 

a dry cooler, cooling tower, or 

condenser is utilized for heat rejection. 

This component is sometimes referred 

to as a free cooling coil, econ-o-coil, or 

economizer. 

* * * * * 

Horizontal-flow means a configuration 

of a floor-mounted computer room air 

conditioner that is neither a down-flow 

nor an up-flow unit. 

* * * * * 

Net sensible coefficient of 

performance, or NSenCOP, means a 

ratio of the net sensible cooling capacity 

in kilowatts to the total power input in 

kilowatts for computer room air 

conditioners, as measured in appendix 

E1 of this subpart. 

* * * * * 

Roof-mounted means a configuration 

of a computer room air conditioner that 

is not wall-mounted, and for which the 

unit housing the evaporator coil is 

configured for outdoor installation. 

* * * * * 

Up-flow means a configuration of a 

floor-mounted computer room air 

conditioner in which return air enters 

below the bottom of the evaporator coil 

and discharge air leaves above the top 

of the evaporator coil. 

Up-flow ducted means a configuration 

of an up-flow computer room air 

conditioner that is configured for use 

with discharge ducting (even if the unit 

is also configurable for use without 

discharge ducting). 

Up-flow non-ducted means a 

configuration of an up-flow computer 

room air conditioner that is configured 

only for use without discharge ducting. 

* * * * * 

Wall-mounted means a configuration 

of a computer room air conditioner for 

which the unit housing the evaporator 

coil is configured for installation on or 

through a wall. 

* * * * * 

■ 8. Amend § 431.95 by: 

■ a. Revising paragraph (a); 

■ b. Adding new paragraph (b)(8); 

■ c. Revising paragraphs (c)(2) and (4); 

and 

■ d. Adding paragraph (c)(5). 

The additions and revisions read as 

follows: 

§ 431.95 Materials incorporated by 

reference. 

(a) Certain material is incorporated by 

reference into this part with the 

approval of the Director of the Federal 

Register in accordance with 5 U.S.C. 

552(a) and 1 CFR part 51. To enforce 

any edition other than that specified in 

this section, DOE must publish a 

document in the Federal Register and 

the material must be available to the 

public. All approved material is 

available for inspection at the U.S. 

Department of Energy, Office of Energy 

Efficiency and Renewable Energy, 

Building Technologies Program, Sixth 

Floor, 950 L’Enfant Plaza SW, 

Washington, DC 20024, (202)–586–9127, 

Buildings@ee.doe.gov, https://

www.energy.gov/eere/buildings/ 

building-technologies-office, and may be 

obtained from the other sources in this 

section. It is also available for 

inspection at the National Archives and 

Records Administration (NARA). For 

information on the availability of this 

material at NARA, email: fr.inspection@

nara.gov, or go to: www.archives.gov/ 

federal-register/cfr/ibr-locations.html. 

(b) * * * 

* * * * * 

(8) AHRI Standard 1360–202X Draft, 

(‘‘AHRI 1360–202X Draft’’), 

‘‘Performance Rating of Computer and 

Data Processing Room Air Conditioners 

(‘‘Draft Standard’’)’’, IBR approved for 

appendix E1 to this subpart. 

(c) * * * 

(2) ANSI/ASHRAE Standard 37–2009, 

(‘‘ANSI/ASHRAE 37’’), ‘‘Methods of 

Testing for Rating Electrically Driven 

Unitary Air-Conditioning and Heat 

Pump Equipment,’’ ASHRAE approved 

June 24, 2009, IBR approved for 

§ 431.96, and appendices A and E1 to 

this subpart. 

* * * * * 

(4) ANSI/ASHRAE Standard 127– 

2007, (‘‘ANSI/ASHRAE 127–2007’’), 

‘‘Method of Testing for Rating Computer 

and Data Processing Room Unitary Air 

Conditioners,’’ approved on June 28, 

2007, IBR approved for § 431.96 and 

appendix E to this subpart. 

(5) ANSI/ASHRAE Standard 127– 

2020, (‘‘ANSI/ASHRAE 127–2020’’), 

‘‘Method of Testing for Rating Computer 

and Data Processing Room Unitary Air 

Conditioners,’’ ANSI approved on 

November 30, 2020, IBR approved for 

appendix E1 to this subpart. 

* * * * * 

■ 9. Amend § 431.96 by revising 

paragraph (b)(1) and table 1 to § 431.96 

(immediately following paragraph 

(b)(2)), to read as follows: 

§ 431.96 Uniform test method for the 

measurement of energy efficiency of 

commercial air conditioners and heat 

pumps. 

* * * * * 

(b) * * * (1) Determine the energy 

efficiency of each type of covered 

equipment by conducting the test 

procedure(s) listed in table 1 of this 

section along with any additional 

testing provisions set forth in 

paragraphs (c) through (g) of this section 

and appendices A through E1 to this 

subpart, that apply to the energy 

efficiency descriptor for that equipment, 

category, and cooling capacity. The 

omitted sections of the test procedures 

listed in Table 1 of this section must not 

be used. For equipment with multiple 

appendices listed in Table 1, consult the 

notes at the beginning of those 

appendices to determine the applicable 

appendix to use for testing. 

* * * * * 

TABLE 1 TO PARAGRAPH (b)—TEST PROCEDURES FOR COMMERCIAL AIR CONDITIONERS AND HEAT PUMPS

Equipment type Category Cooling capacity Energy efficiency 

descriptor 

Use tests, 

conditions, and 

procedures 1 in 

Additional test procedure 

provisions as indicated 

in the listed paragraphs 

of this section 

Small Commercial Package AirConditioning and Heating Equipment.Air-Cooled, 3- 

Phase, AC and 

HP.

<65,000 Btu/h ......... SEER and HSPF ........ AHRI 210/240–2008 

(omit section 6.5).

Paragraphs (c) and (e). 

Air-Cooled AC and 

HP.

≥65,000 Btu/h and 

<135,000 Btu/h.

EER, IEER, and COP Appendix A to this 

subpart.

None. 

Water-Cooled and 

EvaporativelyCooled AC.

<65,000 Btu/h ......... EER ............................ AHRI 210/240–2008 

(omit section 6.5).

Paragraphs (c) and (e). 


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TABLE 1 TO PARAGRAPH (b)—TEST PROCEDURES FOR COMMERCIAL AIR CONDITIONERS AND HEAT PUMPS—Continued 

Equipment type Category Cooling capacity Energy efficiency 

descriptor 

Use tests, 

conditions, and 

procedures 1 in 

Additional test procedure 

provisions as indicated 

in the listed paragraphs 

of this section 

≥65,000 Btu/h and 

<135,000 Btu/h.

EER ............................ AHRI 340/360–2007 

(omit section 6.3).

Paragraphs (c) and (e). 

Water-Source HP ... <135,000 Btu/h ....... EER and COP ............ ISO Standard 

13256–1 (1998).

Paragraph (e). 

Large Commercial Package AirConditioning and Heating Equipment.Air-Cooled AC and 

HP.

≥135,000 Btu/h and 

<240,000 Btu/h.

EER, IEER and COP Appendix A to this 

subpart.

None. 

Water-Cooled and 

EvaporativelyCooled AC.

≥135,000 Btu/h and 

<240,000 Btu/h.

EER ............................ AHRI 340/360–2007 

(omit section 6.3).

Paragraphs (c) and (e). 

Very Large Commercial Package 

Air-Conditioning and Heating 

Equipment.

Air-Cooled AC and 

HP.

≥240,000 Btu/h and 

<760,000 Btu/h.

EER, IEER and COP Appendix A to this 

subpart.

None. 

Water-Cooled and 

EvaporativelyCooled AC.

≥240,000 Btu/h and 

<760,000 Btu/h.

EER ............................ AHRI 340/360–2007 

(omit section 6.3).

Paragraphs (c) and (e). 

Packaged Terminal Air Conditioners and Heat Pumps.AC and HP ............. <760,000 Btu/h ....... EER and COP ............ Paragraph (g) of 

this section.

Paragraphs (c), (e), and (g). 

Computer Room Air Conditioners .. AC ........................... <760,000 Btu/h ....... SCOP ......................... Appendix E to this 

subpart 2.

None. 

<760,000 Btu/h ....... NSenCOP ................... Appendix E1 to this 

subpart 2.

None. 

Variable Refrigerant Flow Multisplit Systems.AC ........................... <65,000 Btu/h (3- 

phase).

SEER .......................... AHRI 1230–2010 

(omit sections 

5.1.2 and 6.6).

Paragraphs (c), (d), (e), and (f). 

≥65,000 Btu/h and 

<760,000 Btu/h.

EER ............................ AHRI 1230–2010 

(omit sections 

5.1.2 and 6.6).

Paragraphs (c), (d), (e), and (f). 

Variable Refrigerant Flow Multisplit Systems, Air-cooled.HP ........................... <65,000 Btu/h (3- 

phase).

SEER and HSPF ........ ANSI/AHRI 1230– 

2010 (omit sections 5.1.2 and 

6.6).

Paragraphs (c), (d), (e), and (f). 

≥65,000 Btu/h and 

<760,000 Btu/h.

EER and COP ............ ANSI/AHRI 1230– 

2010 (omit sections 5.1.2 and 

6.6).

Paragraphs (c), (d), (e), and (f). 

Variable Refrigerant Flow Multisplit Systems, Water-source.HP ........................... <760,000 Btu/h ....... EER and COP ............ ANSI/AHRI 1230– 

2010 (omit sections 5.1.2 and 

6.6).

Paragraphs (c), (d), (e), and (f). 

Single Package Vertical Air Conditioners and Single Package 

Vertical Heat Pumps.

AC and HP ............. <760,000 Btu/h ....... EER and COP ............ AHRI 390–2003 

(omit section 6.4).

Paragraphs (c) and (e). 

1 Incorporated by reference; see § 431.95. 

2For equipment with multiple appendices listed in Table 1, consult the notes at the beginning of those appendices to determine the applicable appendix to use for 

testing. 

* * * * * 

Appendix B to Subpart F of Part 431 

[Reserved] 

■ 10. Add and reserve Appendix B to 

subpart F of part 431: 

Appendix C to Subpart F of Part 431 

[Reserved] 

■ 11. Add and reserve Appendix C to 

subpart F of part 431. 

Appendix D to Subpart F of Part 431 

[Reserved] 

■ 12. Add and reserve Appendix D to 

subpart F of part 431. 

■ 13. Add Appendix E to subpart F of 

part 431 to read as follows: 

Appendix E to Subpart F of Part 431— 

Uniform Test Method for Measuring the 

Energy Consumption of Computer 

Room Air Conditioners 

Note: Prior to the compliance date for any 

amended energy conservation standards 

based on NSenCOP for computer room air 

conditioners, representations with respect to 

energy use or efficiency of this equipment, 

including compliance certifications, must be 

based on testing pursuant to this appendix. 

Starting on the compliance date for any 

amended energy conservation standards for 

this equipment based on NSenCOP, any 

representations, including compliance 

certifications, made with respect to the 

energy use, power, or efficiency of this 

equipment must be based on testing pursuant 

to appendix E1 of this subpart. 

Manufacturers may use appendix E1 to 

certify compliance with any amended 

standards prior to the applicable compliance 

date for those standards. 

1. Incorporation by Reference. DOE 

incorporated by reference in § 431.95, the 

entire standard for ANSI/ASHRAE 127–2007. 

However, certain enumerated provisions of 

ANSI/ASHRAE 127–2007, as set forth in 

paragraphs (a) of this section, are 

inapplicable. To the extent that there is a 

conflict between the terms or provisions of a 

referenced industry standard and the CFR, 

the CFR provisions control. 

(a) ANSI/ASHRAE 127–2007: 

(i) Section 5.11 is inapplicable as specified 

in section 2 of this appendix. 

(ii) [Reserved]. 

2. General. Determine the sensible 

coefficient of performance (SCOP) in 

accordance with ANSI/ASHRAE 127–2007, 

‘‘Method of Testing for Rating Computer and 

Data Processing Room Unitary AirConditioners’’; however, Section 5.11, 

Tolerances, of ANSI/ASHRAE 127–2007 is 

not applicable. In addition, the instructions 

in sections (3) through (4) of this appendix 

apply in determining SCOP. In cases where 

there is a conflict between the language of 

this appendix and ANSI/ASHRAE 127–2007, 

the language of this appendix takes 

precedence. 


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3. Optional break-in period. Manufacturers 

may optionally specify a ‘‘break-in’’ period, 

not to exceed 20 hours, to operate the 

equipment under test prior to conducting the 

test method specified in this appendix. A 

manufacturer who elects to use an optional 

compressor break-in period in its 

certification testing should record this 

period’s duration as part of the information 

in the supplemental testing instructions 

under 10 CFR 429.43. 

4. Additional provisions for equipment setup. 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 4.1 and 4.2 of this section provide 

specifications for addressing key information 

typically found in the installation and 

operation manuals. 

4.1. If a manufacturer specifies a range of 

superheat, sub-cooling, and/or refrigerant 

pressure in its installation and operation 

manual for a given basic model, any value(s) 

within that range may be used to determine 

refrigerant charge or mass of refrigerant, 

unless the manufacturer clearly specifies a 

rating value in its installation and operation 

manual, in which case the specified rating 

value must be used. 

4.2. The airflow 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 

airflow value for testing is not clearly 

identified, a value of 400 standard cubic feet 

per minute (scfm) per ton must be used. 

■ 14. Add Appendix E1 to subpart F of 

part 431 to read as follows: 

Appendix E1 to Subpart F of Part 431— 

Uniform Test Method for Measuring the 

Energy Consumption of Computer 

Room Air Conditioners 

Note: Prior to the compliance date for any 

amended energy conservation standards 

based on NSenCOP for computer room air 

conditioners, representations with respect to 

energy use or efficiency of this equipment, 

including compliance certifications, must be 

based on testing pursuant to appendix E of 

this subpart. Starting on the compliance date 

for any amended energy conservation 

standards for this equipment based on 

NSenCOP, any representations, including 

compliance certifications, made with respect 

to the energy use, power, or efficiency of this 

equipment must be based on testing pursuant 

to this appendix. Manufacturers may use 

appendix E1 to certify compliance with any 

amended standards prior to the applicable 

compliance date for those standards. 

1. Incorporation by Reference. 

DOE incorporated by reference in § 431.95, 

the entire standards for AHRI 1360–202X 

Draft, ANSI/ASHRAE 127–2020, ANSI/ 

ASHRAE Standard 37–2009. However, only 

certain enumerated provisions of AHRI 

1360–202X Draft, ANSI/ASHRAE 127–2020 

and ANSI/ASHRAE Standard 37–2009 apply 

as set forth in paragraphs (a), (b), and (c) of 

this section. To the extent that there is a 

conflict between the terms or provisions of a 

referenced industry standard and the CFR, 

the CFR provisions control. 

(a) AHRI 1360–202X Draft: 

(i) The following sections of Section 3. 

Definitions—3.1 (Air Sampling Device(s)), 

3.4 (Computer and Data Processing Room Air 

Conditioner), 3.11 (Indoor Unit), 3.14 

(Manufacturer’s Installation Instruction), 3.16 

(Net Sensible Cooling Capacity), 3.17 (Net 

Total Cooling Capacity), 3.21 (‘‘Shall,’’ 

‘‘Should,’’ ‘‘Recommended,’’ or ‘‘It Is 

Recommended’’), 3.22 (Standard Air) and 

3.23 (Standard Airflow) are applicable as 

specified in section 2(a)(i) of this appendix, 

(ii) Section 5. Test Requirements, is 

applicable as specified in section 2(a)(ii) of 

this appendix, 

(iii) The following sections of Section 6. 

Rating Requirements—6.1–6.3, 6.5 and 6.7 

are applicable as specified in section 2(a)(iii) 

of this appendix, 

(iv) Appendix C. Standard 

Configurations—Normative, is applicable as 

specified in section 2(a)(iv) of this appendix, 

(v) Section D3 of Appendix D. NonStandard Indoor Fan Motors for CRAC units, 

is applicable as specified in section 2(a)(v) of 

this appendix, 

(vi) Appendix E. Method of Testing 

Computer and Data Processing Room Air 

Conditioners—Normative, is applicable as 

specified in section 2(a)(vi) of this appendix, 

and 

(vii) Appendix F. Indoor and Outdoor Air 

Condition Measurement—Normative is 

applicable as specified in section 2(a)(vii) of 

this appendix. 

(b) ANSI/ASHRAE 127–2020: 

(i) Appendix A—Figure A–1, Test duct for 

measuring air flow and static pressure on 

downflow units, is applicable as specified in 

section 2(b)(i) of this appendix. 

(c) ASHRAE 37–2009: 

(i) Section 1 Purpose is inapplicable as 

specified in section 2(c)(i) of this appendix, 

(ii) Section 2 Scope is inapplicable as 

specified in section 2(c)(ii) of this appendix, 

and 

(iii) Section 4 Classification is inapplicable 

as specified in section 2(c)(iii) of this 

appendix. 

2. General. Determine the net sensible 

coefficient of performance (NSenCOP), in 

accordance with AHRI 1360–202X Draft, 

‘‘Performance Rating of Computer And Data 

Processing Room Air Conditioners’’, ANSI/ 

ASHRAE 127–2020, and ANSI/ASHRAE 37– 

2009 ‘‘Methods of Testing for Rating 

Electronically Driven Unitary AirConditioning and Heat-Pump Equipment’’. 

However only enumerated provisions of 

AHRI 1360–202X Draft, ANSI/ASHRAE 127– 

2020 and ANSI/ASHRAE 37–2009 are 

applicable, as set forth in paragraphs (a), (b), 

and (c) of this appendix. In addition, the 

instructions in section 3 of this appendix 

apply to determining NSenCOP. In cases 

where there is a conflict between these 

sources, the language of this appendix takes 

highest precedence, followed by AHRI 1360– 

202X Draft, followed by ANSI/ASHRAE 127– 

2020, followed by ANSI/ASHRAE 37–2009. 

Any subsequent amendment to a referenced 

document by a standard-setting organization 

will not affect the test procedure in this 

appendix, unless and until this test 

procedure is amended by DOE. Material is 

incorporated as it exists on the date of the 

approval, and a notice of any change in the 

incorporation will be published in the 

Federal Register. 

(a) Included sections of AHRI 1360–202X 

Draft. 

(i) The following sub-sections of Section 3. 

Definitions—3.1 (Air Sampling Device(s)), 

3.4 (Computer and Data Processing Room Air 

Conditioner), 3.11 (Indoor Unit), 3.14 

(Manufacturer’s Installation Instruction), 3.16 

(Net Sensible Cooling Capacity), 3.17 (Net 

Total Cooling Capacity), 3.21 (‘‘Shall,’’ 

‘‘Should,’’ ‘‘Recommended,’’ or ‘‘It Is 

Recommended’’), 3.22 (Standard Air) and 

3.23 (Standard Airflow), 

(ii) Section 5. Test Requirements, 

(iii) The following sections of Section 6. 

Rating Requirements—6.1–6.3, 6.5 and 6.7, 

(iv) Appendix C. Standard 

Configurations—Normative, 

(v) Section D3 of Appendix D. NonStandard Indoor Fan Motors for CRAC units, 

(vi) Appendix E. Method of Testing 

Computer and Data Processing Room Air 

Conditioners—Normative, and 

(vii) Appendix F. Indoor and Outdoor Air 

Condition Measurement—Normative. 

(b) Included section of ANSI/ASHRAE 

127–2020 

(i) Figure A-1, Test duct for measuring air 

flow and static pressure on downflow units, 

(ii) [Reserved]. 

(c) Excepted sections of ANSI/ASHRAE 

37–2009: 

(i) Section 1. Purpose, 

(ii) Section 2. Scope, 

(iii) Section 4. Classifications. 

3. Test Conditions. 

3.1. Test Conditions for Certification. When 

testing to certify to the energy conservation 

standards in § 431.97, test use the ‘‘Indoor 

Return Air Temperature Standard Rating 

Conditions’’ and ‘‘Heat Rejection/Cooling 

Fluid Standard Rating Conditions’’ 

conditions, as specified in Tables 3 and 4 of 

AHRI 1360–202X Draft, respectively. 

4. Set-Up and Test Provisions for Specific 

Components. When testing a unit that 

includes any of the features listed in Table 

4.1 of this appendix, test in accordance with 

the set-up and test provisions specified in 

Table 4.1 of this appendix. 


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Federal Register / Vol. 87, No. 25 / Monday, February 7, 2022 / Proposed Rules 6981 

TABLE 4.1—TEST PROVISIONS FOR SPECIFIC COMPONENTS

Component Description Test provisions 

Air Economizers ................... An automatic system that enables a cooling system to 

supply outdoor air to reduce or eliminate the need for 

mechanical cooling during mid or cold weather.

For any air economizer that is factory-installed, place 

the economizer in the 100% return position and close 

and seal the outside air dampers for testing. For any 

modular air economizer shipped with the unit but not 

factory-installed, do not install the economizer for 

testing. 

Process Heat recovery/Reclaim Coils/Thermal Storage.A heat exchanger located inside the unit that conditions 

the equipment’s supply air using energy transferred 

from an external source using a vapor, gas, or liquid.

Disconnect the heat exchanger from its heat source for 

testing. 

Evaporative Pre-cooling of 

Condenser Intake Air.

Water is evaporated into the air entering the air-cooled 

condenser to lower the dry-bulb temperature and 

thereby increase efficiency of the refrigeration cycle.

Disconnect the unit from the water supply for testing 

(i.e., operate without active evaporative cooling). 

Steam/Hydronic Heat Coils .. Coils used to provide supplemental heat ....................... Test with steam/hydronic heat coils in place but providing no heat. 

Refrigerant Reheat Coils ..... A heat exchanger located downstream of the indoor 

coil that heats the supply air during cooling operation 

using high pressure refrigerant in order to increase 

the ratio of moisture removal to cooling capacity provided by the equipment.

De-activate refrigerant re-heat coils so as to provide the 

minimum (none if possible) reheat achievable by the 

system controls. 

Fire/Smoke/Isolation 

Dampers.

A damper assembly including means to open and close 

the damper mounted at the supply or return duct 

opening of the equipment.

For any fire/smoke/isolation dampers that are factoryinstalled, close and seal the dampers for testing. For 

any modular fire/smoke/isolation dampers shipped 

with the unit but not factory-installed, do not install 

the dampers for testing. 

Harmonic Distortion Mitigation Devices.A high voltage device that reduces harmonic distortion 

measured at the line connection of the equipment 

that is created by electronic equipment in the unit.

Remove harmonic distortion mitigation devices for testing. 

Humidifiers ........................... A device placed in the supply air stream for moisture 

evaporation and distribution. The device may require 

building steam or water, hot water, electricity, or gas 

to operate.

Test with humidifiers in place but providing no humidification. 

Electric Reheat Elements .... Electric reheat elements and controls that are located 

downstream of the cooling coil that may heat the air 

using electrical power during the dehumidification 

process.

Test with electric reheat elements in place but providing 

no heat. 

Non-standard Power Transformer.A device applied to a high voltage load that transforms 

input electrical voltage to that voltage necessary to 

operate the load.

Disable the non-standard power transformer during 

testing. 

Chilled Water Dual Cooling 

Coils.

A secondary chilled water coil added in the indoor air 

stream for use as the primary or secondary cooling 

circuit in conjunction with a separate chiller.

Test with chilled water dual cooling coils in place but 

providing no cooling. 

High-Effectiveness Indoor 

Air Filtration.

Indoor air filters with greater air filtration effectiveness 

than Minimum Efficiency Reporting Value (MERV) 8 

for ducted units and MERV 1 for non-ducted units.

Test with the filter offered by the manufacturer with the 

least air filtration effectiveness that meets or exceeds 

MERV 8 for ducted units and MERV 1 for non-ducted 

units. 

[FR Doc. 2022–02279 Filed 2–4–22; 8:45 am] 

BILLING CODE 6450–01–P 


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