16830 Federal Register / Vol. 87, No. 57 / Thursday, March 24, 2022 / Proposed Rules 

DEPARTMENT OF ENERGY 

10 CFR Parts 429 and 430 

[EERE–2021–BT–TP–0030] 

RIN 1904–AF29 

Energy Conservation Program: Test 

Procedure for Test Procedures for 

Central Air Conditioners and Heat 

Pumps 

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’’) proposes to amend the 

test procedures for central air 

conditioners and heat pumps that will 

be required for certification of 

compliance with applicable energy 

conservation standards starting January 

1, 2023 to address a limited number of 

specific issues. DOE is seeking comment 

from interested parties on the proposal. 

DATES: DOE will accept comments, data, 

and information regarding this proposal 

no later than May 23, 2022. See section 

V, ‘‘Public Participation,’’ for details. 

DOE will hold a webinar on Monday, 

April 18, 2022, from 1 p.m. to 4 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–0030 by 

any of the following methods: 

1. Federal eRulemaking Portal: 

www.regulations.gov. Follow the 

instructions for submitting comments. 

2. Email: to 

CentralACHeatPumps2021TP0030@

ee.doe.gov. Include docket number 

EERE–2021–BT–TP–0030 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. 

Although DOE has routinely accepted 

public comment submissions through a 

variety of mechanisms, including postal 

mail and 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 

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-0030. The docket web page 

contains instructions on how to access 

all documents, including public 

comments, in the docket. See section V 

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–2J, 1000 

Independence Avenue SW, Washington, 

DC 20585–0121. Telephone: (202) 586– 

7335. Email 

ApplianceStandardsQuestions@

ee.doe.gov. 

Mr. Pete Cochran, U.S. Department of 

Energy, Office of the General Counsel, 

GC–33, 1000 Independence Avenue SW, 

Washington, DC 20585–0121. 

Telephone: (202) 586–9496. Email: 

peter.cochran@hq.doe.gov. 

For further information on how to 

submit a comment, review other public 

comments and the docket, or participate 

in a public meeting, contact the 

Appliance and Equipment Standards 

Program staff at (202) 287–1445 or by 

email: ApplianceStandardsQuestions@

ee.doe.gov. 

SUPPLEMENTARY INFORMATION: DOE 

proposes to maintain the following 

previously approved incorporations by 

references in 10 CFR part 430: 

ANSI/AHRI 210/240–2008 with 

Addenda 1 and 2, 2008 Standard for 

Performance Rating of Unitary AirConditioning & Air-Source Heat Pump 

Equipment, ANSI approved October 27, 

2011; 

ANSI/AHRI 1230–2010 with 

Addendum 2, 2010 Standard for 

Performance Rating of Variable 

Refrigerant Flow (VRF) Multi-Split AirConditioning and Heat Pump 

Equipment, ANSI approved August 2, 

2010. 

Copies of AHRI 210/240–2008 and 

AHRI 1230–2010 can be obtained from 

the Air-Conditioning, Heating, and 

Refrigeration Institute, 2111 Wilson 

Boulevard, Suite 500, Arlington, VA 

22201, (703) 524–8800, or by going to 

www.ahrinet.org. 

ANSI/ASHRAE 23.1–2010, Methods 

of Testing for Rating the Performance of 

Positive Displacement Refrigerant 

Compressors and Condensing Units that 

Operate at Subcritical Temperatures of 

the Refrigerant, ANSI approved January 

28, 2010; 

ANSI/ASHRAE Standard 37–2009, 

Methods of Testing for Rating 

Electrically Driven Unitary AirConditioning and Heat Pump 

Equipment, ANSI approved June 25, 

2009; 

ANSI/ASHRAE 41.1–2013, Standard 

Method for Temperature Measurement, 

ANSI approved January 30, 2013; 

ANSI/ASHRAE 41.2–1987 

(Reaffirmed 1992), ‘‘Standard Methods 

for Laboratory Airflow Measurement,’’ 

ANSI approved April 20, 1992; 

ANSI/ASHRAE 41.6–2014, Standard 

Method for Humidity Measurement, 

ANSI approved July 3, 2014; 

ANSI/ASHRAE 41.9–2011, Standard 

Methods for Volatile-Refrigerant Mass 

Flow Measurements Using Calorimeters, 

ANSI approved February 3, 2011; 

ANSI/ASHRAE 116–2010, Methods of 

Testing for Rating Seasonal Efficiency of 

Unitary Air Conditioners and Heat 

Pumps, ANSI approved February 24, 

2010. 

Copies of ASHRAE 23.1–2010, ANSI/ 

ASHRAE 37–2009, ANSI/ASHRAE 

41.1–2013, ASHRAE 41.2–1987 (RA 

1992), ASHRAE 41.6–2014, ASHRAE 

41.9–2011, and ASHRAE 116–2010 can 

be purchased from www.ashrae.org/ 

resources--publications. 

ANSI/AMCA 210–2007, ANSI/ 

ASHRAE 51–2007, Laboratory Methods 

of Testing Fans for Certified 

Aerodynamic Performance Rating, 

Figure 2A and Figure 12, ANSI 

approved August 17, 2007. 

Copies of AMCA 210–2007 can be 

purchased from www.amca.org/store/ 

index.php. 

For a further discussion of these 

standards, see section IV.M of this 

document. 


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1All 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). 

2For editorial reasons, upon codification in the 

U.S. Code, Part B was redesignated Part A. 

3This rulemaking uses the term ‘‘CAC/HP’’ to 

refer specifically to central air conditioners (which 

include heat pumps) as defined by EPCA. (42 U.S.C. 

6291(21)) 

Table of Contents 

I. Authority and Background 

A. Authority 

B. Background 

C. Deviation From Appendix A 

II. Synopsis of the Notice of Proposed 

Rulemaking 

III. Discussion 

A. Scope of Applicability 

B. Topics Arising From Test Procedure 

Waivers 

1. Fan Power at Reduced Airflows for CoilOnly Systems 

2. Variable-Speed Coil-Only Test 

Procedure 

3. Space-Constrained Coil-Only CAC 

Ratings 

C. Other Test Procedure Revisions 

1. Air Volume Rate Changing With 

Outdoor Conditions 

2. Wet Bulb Temperature for H4 5 °F 

Heating Tests 

3. Hierarchy of Manufacturer Installation 

Instructions 

4. Adjusting Airflow Measurement 

Apparatus To Achieve Desired SCFM at 

Part-Load Conditions 

5. Revision of Equations Representing FullSpeed Variable-Speed Heat Pump 

Operation at and Above 45 °F Ambient 

Temperature 

6. Calculations for Triple-Capacity 

Northern Heat Pumps 

7. Heating Nominal Air Volume Rate for 

Variable-Speed Heat Pumps 

8. Clarifications for HSPF2 Calculation 

9. Distinguishing Central Air Conditioners 

and Heat Pumps From Commercial 

Equipment 

10. Additional Test Procedure Revisions 

D. Other Representation Proposed 

Revisions 

1. Required Represented Values for Models 

Certified Compliant With Regional 

Standards 

E. Test Procedure Costs and Impact 

F. Compliance Date and Waivers 

IV. Procedural Issues and Regulatory Review 

A. Review Under Executive Order 12866 

B. Review Under the Regulatory Flexibility 

Act 

C. Review Under the Paperwork Reduction 

Act of 1995 

D. Review Under the National 

Environmental Policy Act of 1969 

E. Review Under Executive Order 13132 

F. Review Under Executive Order 12988 

G. Review Under the Unfunded Mandates 

Reform Act of 1995 

H. Review Under the Treasury and General 

Government Appropriations Act, 1999 

I. Review Under Executive Order 12630 

J. Review Under Treasury and General 

Government Appropriations Act, 2001 

K. Review Under Executive Order 13211 

L. Review Under Section 32 of the Federal 

Energy Administration Act of 1974 

M. Description of Materials Incorporated 

by Reference 

V. Public Participation 

A. Submission of Comments 

B. Issues on Which DOE Seeks Comment 

C. Participation in the Webinar 

D. Conduct of the Webinar 

VI. Approval of the Office of the Secretary 

I. Authority and Background 

Central air conditioners (‘‘CACs’’) and 

central air conditioning heat pumps 

(‘‘HPs’’) (collectively, ‘‘CAC/HPs’’) are 

included in the list of ‘‘covered 

products’’ for which DOE is authorized 

to establish and amend energy 

conservation standards and test 

procedures (42 U.S.C. 6292(a)(3)). DOE’s 

energy conservation standards and test 

procedures for CAC/HPs are currently 

prescribed at title 10 of the Code of 

Federal Regulations (‘‘CFR’’), part 430 

section 32(c), and 10 CFR part 430 

subpart B appendices M (‘‘Appendix 

M’’) and M1 (‘‘Appendix M1’’). The 

following sections discuss DOE’s 

authority to establish test procedures for 

CAC/HPs and relevant background 

information regarding DOE’s 

consideration of test procedures for this 

product. 

A. Authority 

The Energy Policy and Conservation 

Act, as amended (‘‘EPCA’’),1 authorizes 

DOE to regulate the energy efficiency of 

a number of consumer products and 

certain industrial equipment. (42 U.S.C. 

6291–6317) Title III, Part B 2 of EPCA 

established the Energy Conservation 

Program for Consumer Products Other 

Than Automobiles, which sets forth a 

variety of provisions designed to 

improve energy efficiency. These 

products include CAC/HPs,3 the subject 

of this document. (42 U.S.C. 6292(a)(3)) 

The energy conservation program 

under EPCA consists essentially of four 

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

Federal energy conservation standards, 

and (4) certification and enforcement 

procedures. Relevant provisions of 

EPCA specifically include definitions 

(42 U.S.C. 6291), test procedures (42 

U.S.C. 6293), labeling provisions (42 

U.S.C. 6294), energy conservation 

standards (42 U.S.C. 6295), and the 

authority to require information and 

reports from manufacturers (42 U.S.C. 

6296). 

The Federal testing requirements 

consist of test procedures that 

manufacturers of covered products must 

use as the basis for: (1) Certifying to 

DOE that their products comply with 

the applicable energy conservation 

standards adopted pursuant to EPCA (42 

U.S.C. 6295(s)), and (2) making 

representations about the efficiency of 

those consumer products (42 U.S.C. 

6293(c)). Similarly, DOE must use these 

test procedures to determine whether 

the products comply with relevant 

standards promulgated under EPCA. (42 

U.S.C. 6295(s)) 

Federal energy efficiency 

requirements for covered products 

established under EPCA generally 

supersede State laws and regulations 

concerning energy conservation testing, 

labeling, and standards. (42 U.S.C. 6297) 

DOE may, however, grant waivers of 

Federal preemption for particular State 

laws or regulations, in accordance with 

the procedures and other provisions of 

EPCA. (42 U.S.C. 6297(d)) 

Under 42 U.S.C. 6293, EPCA sets forth 

the criteria and procedures DOE must 

follow when prescribing or amending 

test procedures for covered products. 

EPCA requires that any test procedures 

prescribed or amended under this 

section be reasonably designed to 

produce test results which measure 

energy efficiency, energy use or 

estimated annual operating cost of a 

covered product during a representative 

average use cycle or period of use and 

not be unduly burdensome to conduct. 

(42 U.S.C. 6293(b)(3)) 

If the Secretary determines, on her 

own behalf or in response to a petition 

by any interested person, that a test 

procedure should be prescribed or 

amended, the Secretary shall promptly 

publish in the Federal Register 

proposed test procedures and afford 

interested persons an opportunity to 

present oral and written data, views, 

and arguments with respect to such 

procedures. (42 U.S.C. 6293(b)(2)) The 

comment period on a proposed rule to 

amend a test procedure shall be at least 

60 days and may not exceed 270 days. 

Id. In prescribing or amending a test 

procedure, the Secretary shall take into 

account such information as the 

Secretary determines relevant to such 

procedure, including technological 

developments relating to energy use or 

energy efficiency of the type (or class) 

of covered products involved. (Id.) 

DOE’s regulations at 10 CFR 430.27 

provide that any interested person may 

seek a waiver from the test procedure 

requirements if certain conditions are 

met. A waiver allows manufacturers to 

use an alternate test procedure in 

situations in which the DOE test 

procedure cannot be used to test the 

product or equipment, or use of the DOE 

test procedure would generate 

unrepresentative results. 10 CFR 

430.27(a)(1). DOE’s regulations at 10 

CFR 430.27(l) require that as soon as 

practicable after the granting of any 

waiver, DOE will publish in the Federal 

Register a NOPR to amend its 


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4Waivers granted to GD Midea Heating and 

Ventilating Equipment Co., Ltd. (83 FR 56065), 

Johnson Controls, Inc. (83 FR 12735 and 84 FR 

52489), and TCL Air Conditioner (Zhongshan) Co., 

Ltd. (84 FR 11941);, interim waivers granted to 

National Comfort Products, Inc. (83 FR 24754), 

Aerosys Inc. (83 FR 24762), LG Electronics U.S.A., 

Inc. (85 FR 40272), and Goodman Manufacturing 

Company, L.P. (86 FR 40534). 

regulations so as to eliminate any need 

for the continuation of such waiver. As 

soon thereafter as practicable, DOE will 

publish in the Federal Register a final 

rule. 10 CFR 430.27(l). DOE is 

publishing this NOPR for the limited 

purpose of addressing its obligations 

under the waiver process regulations at 

10 CFR 430.27. 

B. Background 

As discussed, DOE’s existing test 

procedures for CAC/HPs appear at 

appendix M and appendix M1 (both 

titled ‘‘Uniform Test Method for 

Measuring the Energy Consumption of 

Central Air Conditioners and Heat 

Pumps’’). 

On January 5, 2017, DOE published a 

final rule regarding the Federal test 

procedure for CAC/HPs. 82 FR 1426 

(‘‘January 2017 Final Rule’’). The 

January 2017 Final Rule amended 

appendix M and established appendix 

M1, use of which is required beginning 

January 1, 2023 for any representations, 

including compliance certifications, 

made with respect to the energy use or 

efficiency of CAC/HPs. appendix M 

provides for the measurement of the 

cooling and heating performance of 

CAC/HPs using the seasonal energy 

efficiency ratio (‘‘SEER’’) metric and 

heating seasonal performance factor 

(‘‘HSPF’’) metric, respectively. appendix 

M1 specifies a revised SEER metric (i.e., 

SEER2) and a revised HSPF metric 

(‘‘HSPF2’’). 

Since the publication of the January 

2017 Final Rule, DOE has granted 

various petitions for waiver and interim 

waiver from certain provisions of 

appendix M and/or M1.4 Additionally, 

DOE has become aware of certain 

provisions in appendix M1 for which 

additional detail and direction may be 

needed to avoid potential confusion and 

reduce test burden. Therefore, DOE is 

proposing changes to improve the 

functionality of appendix M1 to address 

these issues. 

In addition, on May 8, 2019, AHRI 

submitted a comment responding to the 

notice of proposal to revise and adopt 

procedures, interpretations, and policies 

for consideration of new or revised 

energy conservation standards (2020 

Process Rule NOPR, 84 FR 3910, Feb. 

13, 2019). The comment included as 

Exhibit 2 a ‘‘List of Errors Found in both 

appendix M and appendix M1’’ (‘‘AHRI 

Exhibit 2’’, EERE–2017–BT–STD–0062– 

0117 at pp. 23–24). Many of the errors 

pointed out by AHRI regard 

typographical errors in appendix M and 

appendix M1. DOE is addressing these 

issues in this rulemaking. 

C. Deviation From Appendix A 

In accordance with section 3(a) of 10 

CFR part 430, subpart C, appendix A 

(‘‘Appendix A’’), DOE notes that it is 

deviating from the provision in 

appendix A regarding the early 

assessment process prior to the NOPR 

stage to notify stakeholders that DOE is 

considering a rulemaking to amend a 

test procedure and solicit comment on 

whether an amended test procedure 

would more accurately measure energy 

efficiency, energy use, water use (as 

specified in EPCA), or estimated annual 

operating cost of a covered product 

during a representative average use 

cycle or period of use without being 

unduly burdensome to conduct or 

reduce testing burden. DOE is opting to 

deviate from this provision by 

proposing changes to the test procedure 

in this proposed rule without first 

having gone through the early 

assessment process because DOE has 

already been made aware by 

stakeholders that the test procedure for 

CACs/HPs could be enhanced to 

improve repeatability, 

representativeness, and accuracy, and 

reduce testing burden, and the 

proposals in this document are aimed at 

addressing those issues. Additionally, 

resolution of these issues has some 

urgency because the test procedure the 

proposals address is required to be used 

for testing starting on January 1, 2023. 

Hence, because DOE is aware that the 

test procedure could be improved to be 

more repeatable and representative, and 

less burdensome, a general early 

assessment process of request of 

comments, data, and information prior 

to the NOPR stage is not considered 

necessary. 

II. Synopsis of the Notice of Proposed 

Rulemaking 

In this notice of proposed rulemaking 

(‘‘NOPR’’), DOE proposes to update 

appendix M1 to subpart B of part 430, 

‘‘Uniform Test Method for Measuring 

the Energy Consumption of Central Air 

Conditioners and Heat Pumps.’’ DOE 

has identified certain provisions of 

appendix M1 that may benefit from 

additional detail and/or instruction. The 

proposed updates are as follows: 

(1) Adjusting the default fan power for 

two-stage coil-only systems when 

testing at low stage with reduced air 

volume rate to be more representative of 

fan input power trends as air volume 

rate reduces; 

(2) Defining ‘‘Variable-speed 

Communicating Coil-only Central Air 

Conditioner or Heat Pump’’ and 

‘‘Variable-speed Non-communicating 

Coil-only Central Air Conditioner or 

Heat Pump’’ and establishing 

procedures specific for testing such 

systems; 

(3) Allowing the adjustment of the air 

volume rate as a function of outdoor air 

temperature during testing for blower 

coil systems with either multiple-speed 

or variable-speed indoor fans and with 

a control system capable of adjusting air 

volume rate as function of outdoor air 

temperature; 

(4) Adjusting the maximum wet bulb 

temperature from 3 °F to 4 °F for the H4 

test condition; 

(5) Specifying in section 2(B) of 

appendix M1, that the instructions 

presented in the labels attached to the 

unit take precedence over the 

installation manuals printed and 

shipped with a product; 

(6) Specifying in sections 3.1.4.1.1, 

3.1.4.1.2, and 3.1.4.4.3 of appendix M1 

that the airflow measurement apparatus 

fan must be adjusted if necessary to 

maintain the same air volume rate for 

different test conditions for systems not 

including multiple-speed or variablespeed indoor fans with control system 

capability to adjust air volume rate as 

function of operating conditions such as 

outdoor air temperature; and 

(7) Revising the equations 

representing full-capacity operation of 

variable-speed heat pumps at and above 

45 °F ambient temperature to be 

consistent with the intent for nominal 

capacity operation. 

Additionally, in this notice of 

proposed rulemaking (‘‘NOPR’’), DOE 

proposes to update 10 CFR part 429, 

‘‘Certification, Compliance, and 

Enforcement for Consumer Products and 

Commercial and Industrial Equipment’’. 

DOE has identified certain provisions of 

part 429 that may benefit from 

additional detail and/or instruction. The 

proposed updates are as follows: 

(1) Clarifying the language for 

required represented values for singlestage and two-stage coil-only CACs; and 

(2) Providing additional direction 

regarding the regional standard 

requirements in part 429. 

DOE’s proposed substantive actions 

are summarized in Table II.1 compared 

to the current test procedure as well as 

the reason for the proposed change 

(‘‘attribution’’). Additional proposed 


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incidental changes are summarized in Tables III–2 and III–3 in section III.C.10 

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 

Calculate indoor fan power of two-stage coil-only CACs 

and HPs using constant default fan power values that 

do not vary with air volume rate (441W/1000 scfm for 

most two-stage coil-only CACs and HPs and 406 W/ 

1000 scfm for mobile-home and space-constrained 

CACs and HPs).

Calculate indoor fan power of two-stage coil-only CACs 

and HPs for reduced air volume rate tests using new 

default fan power values air volume rate (360 W/ 

1000 scfm for most two-stage coil-only CACs and 

HPs and 331 W/1000 scfm for mobile-home and 

space-constrained CACs and HPs).

Improve representativeness. 

No test procedure provisions for variable-speed, coilonly CACs and HPs.Test procedures and requirements established for variable-speed coil-only systems, include new definitions 

for ‘‘Variable-speed Communicating Coil-only Central 

Air Conditioner or Heat Pump’’ and ‘‘Variable-speed 

Non-communicating Coil-only Central Air Conditioner 

or Heat Pump’’, for which the newly established test 

procedures have more flexibility.

Incorporate test procedures 

contained in test procedure waivers. 

Appendix M1 currently does not explicitly allow for variation of air volume rate as outdoor temperature 

changes when testing blower coil systems.

For blower coil systems with multiple-speed or variablespeed indoor fans and the control system capability 

to adjust air volume rate as a function of outdoor air 

temperature, allow such air volume rate variation during testing.

Improve representativeness 

for certain models. 

Appendix M1 contains provisions for conducting an optional H4 heating test at a 5 °F outdoor ambient drybulb temperature and, at a maximum, a 3 °F outdoor 

wet-bulb temperature.

Amend the wet bulb test condition for the H4 test to be 

4 °F maximum instead of the current condition of 3 °F 

maximum.

Reduce test burden by reducing the time needed 

to remove sufficient moisture to achieve the wet 

bulb requirement. 

Clarification regarding which form of installation instructions to use, if multiple forms are provided, only for 

VRF multisplit systems.

Add direction to prioritize the instructions presented in 

the label attached to the unit over the installation instructions shipped with the unit for all CAC/HP products.

Improve representativeness 

and repeatability. 

Appendix M1 currently is not clear about how to achieve 

the same air volume rate for different test conditions.

Add specific instruction to adjust the airflow measurement apparatus fan but not the fan of the unit under 

test to achieve the same air volume rate for different 

tests.

Improve representativeness 

and repeatability. 

The equations for full-capacity operation for variablespeed heat pumps at and above 45 °F ambient temperature are based on operating in this range with a 

compressor speed the same as its operation in 17 °F 

ambient temperature.

Revise the equations for full-capacity operation at and 

above 45 °F to be more consistent with compressor 

speed used in normal operation for this temperature 

range, represented by the nominal heating test condition, H1N.

Improve representativeness. 

10 CFR part 429 provides requirements regarding regional CAC/HP efficiency standards.Reinforce the language explaining regional requirements.Improve clarity. 

10 CFR 429.16(a)(1) provides requirements for represented values of single-stage and two-stage coilonly CACs that can lead to different interpretation.Modify the instructions in that section to improve clarity 

without changing meaning.

Improve repeatability. 

10 CFR 430.2 defines central air conditioner, excluding 

two commercial package air-conditioning and heating 

categories—packaged terminal air conditioners and 

packaged terminal heat pumps.

Add exclusions for additional commercial package airconditioning and heating categories that justifiably 

are not central air conditioners.

Improved representativeness. 

As mentioned previously, DOE is also 

fixing typographical errors in appendix 

M and appendix M1 that were 

commented upon by AHRI. DOE is 

addressing these issues in this 

rulemaking. 

Under 42 U.S.C. 6293(e)(1), DOE is 

required to determine whether an 

amended test procedure will alter the 

measured energy use of any covered 

product. If an amended test procedure 

does alter measured energy use, DOE is 

required to make a corresponding 

adjustment to the applicable energy 

conservation standard to ensure that 

minimally compliant covered products 

remain compliant. (42 U.S.C. 6293(e)(2)) 

DOE has tentatively determined that the 

proposed amendments described in 

section III of this NOPR would not alter 

the measured efficiency of CAC/HPs 

that are rated using the test procedure 

that is currently required for testing, i.e., 

appendix M. The proposals applicable 

for appendix M are simply fixing errors 

within the current test procedure. With 

respect to appendix M1, many of the 

proposals clarify test procedures rather 

than making changes that would affect 

the measurements. Variable-speed coilonly systems are not addressed 

currently in appendix M, so this 

proposal is establishing a method of test 

for those products. For two-stage coilonly systems, DOE is proposing to 

adjust the fan power to be more 

representative as further described in 

section X, which DOE believes will 

slightly improve the measured efficient 

of these combinations as compared to 

their current representative values. 

Given that two-sage combinations are 

not representative of minimally 

compliant combinations, DOE has 

tentatively determined that this 

proposal would not require an 

adjustment to the energy conservation 

standard for central air conditioners and 

heat pumps to ensure that minimally 

compliant central air conditioners and 

heat pumps would remain compliant. 

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 detail in section III of this NOPR. 


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5For example, for a CAC/HP test conducted at an 

airflow rate of 1640 scfm, the default fan power 

would be calculated as (365 W/1000 scfm × 1,640 

scfm = 599 W); and the default fan heat would be 

calculated as (1,250 Btu/1000 scfmh × 1,640 scfm 

= 2,050 Btu/h). 6Specifically, the indoor air volume rate to be 

used for testing at part-load (i.e., the ‘‘cooling 

minimum air volume rate’’) is the higher of (1) the 

rate specified by the installation instructions 

included with the unit by the manufacturer, or (2) 

75 percent of the cooling full-load air volume rate 

(see section 3.1.4.2.c of appendix M). 

7For example, for a two-stage coil-only system 

that has a cooling full-load air volume rate of 1,640 

scfm and a cooling minimum (i.e., part-load) air 

volume rate of 1,230, the default fan power at full 

load would be calculated as (365 W/1000 scfm × 

1,640 scfm = 599 W); and default fan power at partload would be calculated as (365 W/1000 scfm × 

1,230 scfm = 449 W). 

8As noted, appendix M1 is the test procedure 

applicable to CAC/HPs beginning January 1, 2023. 

III. Discussion 

A. Scope of Applicability 

DOE is proposing to amend the test 

procedures at appendix M1 for CAC/HP 

and to implement a few minor clerical 

revisions to the test procedures at 

appendix M. A Central air conditioner 

or central air conditioner heat pump is 

defined as a product, other than a 

packaged terminal air conditioner or 

packaged terminal heat pump, which is 

powered by single phase electric 

current, air cooled, rated below 65,000 

British thermal units per hour (‘‘Btu/ 

h’’), not contained within the same 

cabinet as a furnace, the rated capacity 

of which is above 225,000 Btu/h, and is 

a heat pump or a cooling unit only. A 

central air conditioner or central air 

conditioning heat pump may consist of: 

A single-package unit; an outdoor unit 

and one or more indoor units; an indoor 

unit only; or an outdoor unit with no 

match. In the case of an indoor unit only 

or an outdoor unit with no match, the 

unit must be tested and rated as a 

system (combination of both an indoor 

and an outdoor unit). 10 CFR 430.2. 

Appendix M1 applies to the following 

CACs/HPs: 

(a) Split-system air conditioners, 

including single-split, multi-head minisplit, multi-split (including VRF), and 

multi-circuit systems; 

(b) Split-system heat pumps, 

including single-split, multi-head minisplit, multi-split (including VRF), and 

multi-circuit systems; 

(c) Single-package air conditioners; 

(d) Single-package heat pumps; 

(e) Small-duct, high-velocity systems 

(including VRF); 

(f) Space-constrained products—air 

conditioners; and 

(g) Space-constrained products—heat 

pumps. 

See Section 1.1 of appendix M1. 

DOE is not proposing to change the 

scope of CACs/HPs covered by 

appendix M1. 

B. Topics Arising From Test Procedure 

Waivers 

1. Fan Power at Reduced Airflows for 

Coil-Only Systems 

Coil-only systems are indoor units 

that are distributed in commerce 

without an indoor blower or separate 

designated air mover. Such systems 

installed in the field rely on a separately 

installed furnace or a modular blower 

for indoor air movement. Because coilonly CAC/HPs do not include their own 

indoor fan to circulate air, the DOE test 

procedures prescribe equations that are 

used to calculate the assumed (i.e., 

‘‘default’’) power input and heat output 

of an average furnace fan with which 

the test procedure assumes the indoor 

coil is pared in a field installation. The 

resulting fan power input value is added 

to the electrical power consumption 

measured during testing. The resulting 

fan heat output value is subtracted from 

the measured cooling capacity of the 

CAC/HP for cooling mode tests and 

added to the measured heating capacity 

for heating mode tests. In appendix M1, 

separate fan power and fan heat 

equations are provided for different 

types of coil-only systems (i.e., the 

equations for mobile home or spaceconstrained are different than for 

‘‘conventional’’ non-mobile home and 

non-space-constrained). In each 

equation, the measured airflow rate (in 

cubic feet per minute of standard air 

(‘‘scfm’’)) is multiplied by a defined 

coefficient (expressed in Watts (‘‘W’’) 

per 1,000 scfm (‘‘W/1000 scfm’’) for fan 

power, and British Thermal Units 

(‘‘Btu’’) per hour (‘‘Btu/h’’) per 1,000 

scfm (‘‘Btu/h/1000 scfm’’) for fan heat), 

hereafter referred to as the ‘‘default fan 

power coefficient’’ and ‘‘default fan heat 

coefficient.’’ 

In appendix M, the default fan power 

coefficient is defined as 365 W/1000 

scfm, and the default fan heat 

coefficient is defined as 1,250 Btu/h/ 

1000 scfm.5 (appendix M, section 3.3.d). 

For testing of two-stage coil-only 

systems, appendix M requires testing at 

two load conditions: (1) Full-load, 

operating at full compressor stage, and 

(2) low-load (also referred to as partload), operating at the lower compressor 

stage. The test procedure defines the 

relative air volume rates to use for each 

test; in general, the part-load test has a 

lower air volume rate than the full-load 

test.6 For both the default fan power 

coefficient and default fan heat 

coefficient, the same coefficient is used 

for both the full-load and part-load 

tests.7

The January 2017 Final Rule adopted 

certain values in appendix M1 to be 

more representative of field conditions, 

as compared to appendix M (i.e., 

consistent with indoor fan power 

consumption at the increased minimum 

required external static pressures 

defined in appendix M1). 82 FR 1426, 

1451–1453. Specifically, appendix M1 

defines separate default fan power 

coefficients and default fan heat 

coefficients for coil-only systems 

intended for installation in mobilehome applications and for spaceconstrained systems, as opposed to 

those intended for all other 

‘‘conventional’’ applications. Id. 

Specifically, for coil-only units installed 

in mobile-home and space-constrained 

systems, appendix M1 defines a default 

fan power coefficient of 406 

W/1000 scfm and a default fan heat 

coefficient of 1,385 Btu/h/1000 scfm. 

For coil-only units installed in 

conventional (i.e., non-mobile-home 

and non-space-constrained) systems, 

appendix M1 defines a default fan 

power coefficient of 441 W/1000 scfm 

and a default fan heat coefficient of 

1,505 Btu/h/1000 scfm. (10 CFR part 

430, subpart B, appendix M1, section 

3.3.d). As with appendix M, in 

appendix M1, for both the default fan 

power coefficient and default fan heat 

coefficient, the same coefficient is used 

for both the full-load and part-load tests. 

In updating the default fan power 

coefficients and default fan heat 

coefficients for coil-only systems in 

appendix M1, DOE relied on indoor fan 

electrical power consumption data 

collected from product literature, 

testing, and exchanges with 

manufacturers during a previous 

furnace fan rulemaking (see 79 FR 500, 

506; Jan. 3, 2014) to determine 

appropriate values for these coefficients 

for coil-only products. 80 FR 69277, 

69318. 

By letter dated September 7, 2021, 

Nortek filed a petition for waiver and 

interim waiver from the test procedure 

for CAC/HPs set forth in appendix M1.8

Specifically, Nortek requested waivers 

for basic models of ducted, coil-only, 

two-stage CAC/HPs. Nortek asserted that 

appendix M1 contains errors in the 

calculations for capacity adjustment and 

power consumption for the indoor fan at 

part-load conditions resulting from a 

faulty assumption of default fan wattage 

at reduced airflows. (Nortek, EERE– 

2021–BT–WAV–0025, No. 1 at p. 1) 

Nortek asserted that by applying the 

same default fan power coefficient and 

default fan heat coefficient to both the 

full-load and part-load tests, appendix 

M1 incorrectly establishes a linear 


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9To ensure consistency across analyses, DOE 

aggregated the data by applying market weightings 

to each type and brand of furnace model, using the 

same market shares that were used in the previous 

analysis for the 2016 CAC TP Rulemaking. 

10For example, under DOE’s proposed changes to 

Appendix M1, for a two-stage coil-only system in 

a conventional application that has a cooling fullload air volume rate of 1,640 scfm and a cooling 

minimum (i.e., part-load) air volume rate of 1,230, 

the default fan power at full load would be 

calculated as (441 W/1000 scfm × 1,640 scfm = 723 

W); and default fan power at part-load would be 

calculated as (371 W/1000 scfm × 1,230 scfm = 456 

W). 

11For example, for non-mobile-home and nonspace-constrained systems, if a linear interpolation 

of the default fan power coefficient is required, it 

would be equal to 371 + 

(441¥371)*(%FLAVR¥75%)/(100%¥75%), where 

%FLAVR is the reduced air volume rate used for 

the test expressed as a percentage of the full load 

air volume rate. 

relationship between indoor airflow and 

fan power (and fan heat); whereas, 

according to Nortek, a cubic 

relationship should be applied instead, 

citing the theoretical fan affinity laws 

that describe the relationship between 

fan power and airflow. (Nortek, EERE– 

2021–BT–WAV–0025, No. 1 at p. 2) 

Nortek recommended an alternate test 

procedure that would define lower 

default fan power coefficients and 

default fan heat coefficients for the partload tests, instead of applying the same 

coefficients to both the full-load and 

part-load tests, as is done in appendix 

M1. (Nortek, EERE–2021–BT–WAV– 

0025, No. 1 at pp. 4–9) 

On November 16, 2021, DOE 

published a notification that announced 

its receipt of the petition for waiver and 

denial of Nortek’s petition for an interim 

waiver. 86 FR 63357 (‘‘Notification of 

Petition for Waiver’’). In the Notification 

of Petition for Waiver, DOE noted that 

applying the modified default fan power 

coefficients and default fan heat 

coefficients in appendix M1 to products 

such as those that are the subject of 

Nortek’s petition was determined to be 

representative of the systems’ 

performance and reflected the adoption 

of the recommendations of a working 

group formed to negotiate a notice of 

proposed rulemaking for energy 

conservation standards for CAC/HPs; 

and that the modified coefficients were 

subject to public comment during the 

2016 test procedure rulemaking for 

CAC/HPs. 82 FR 1426, 1452 (January 5, 

2017). DOE also noted that Nortek 

commented in support of the modified 

coefficients during the 2016 rulemaking. 

Id. 

In response to the issue raised by 

Nortek, DOE re-examined the furnace 

fan electrical power consumption data 

collected for the furnace fans 

rulemaking (see 79 FR 506, Jan. 3, 2014) 

that was used to develop the default fan 

power coefficients and default fan heat 

coefficients for coil-only products in 

appendix M1. In establishing the 

current coefficients, for each furnace fan 

in DOE’s furnace fan dataset, DOE 

developed correlations of airflow and 

power consumption as functions of 

external static pressure (‘‘ESP’’), and 

then applied those correlations to a 

reference ductwork system curve to 

predict the actual operating airflow and 

power consumption at each fan speed 

setting for the furnace fan. 

DOE has extended the prior analysis 

to examine both full-load and part-load 

air volume rates.9 DOE correlated the 

predicted power consumption with the 

predicted air volume rate for each 

furnace fan to determine adjusted values 

of the default fan power coefficients that 

may result in a more representative 

estimate of fan power and fan heat at 

reduced airflow conditions, compared 

to the coefficients currently defined in 

appendix M1. DOE’s analysis indicates 

that at a reduced air volume rate of 75 

percent, the average indoor fan power 

coefficient would be 360 W/1000 scfm 

for coil-only CAC/HPs in a conventional 

(i.e., non-mobile-home and non-spaceconstrained) installation. For mobilehome and space-constrained systems, to 

the average indoor fan power coefficient 

would be 331 W/1000 scfm. DOE also 

calculated the associated fan heat 

coefficients associated with these power 

input levels. The average indoor fan 

heat coefficients would be 1,228 Btu/hr/ 

1000 scfm and 1,130 Btu/h/1000 scfm 

for conventional (i.e., non-mobile-home 

and non-space-constrained) and mobilehome/space-constrained installations, 

respectively. 

The analysis conducted by DOE 

resulted in higher default fan power 

coefficients and default fan heat 

coefficients at the reduced 75 percent 

air volume rate than the values 

presented in the Nortek waiver petition. 

DOE tentatively concludes that its 

analysis is a more appropriate 

representation of average furnace fan 

power consumption than the results 

presented by Nortek for the following 

reasons: (1) DOE’s analysis relied on test 

and specification data from a collection 

of actual furnaces operating at reduced 

air volume rates, whereas the Nortek 

analysis derived default fan power 

values using a theoretical relationship 

between full-load and part-load 

conditions; (2) DOE’s analysis applied 

the same weighting factors that were 

used to develop the full-load default 

values during the 2016 CAC TP 

Rulemaking, whereas Nortek’s analysis 

introduced new weighting factors and 

motor efficiency data without indicating 

the source of the data; and (3) DOE’s 

analysis considered performance data 

from an additional type of fan motor not 

considered by Nortek (specifically, 

constant-torque brushless-permanentmagnet ‘‘X13’’ motors). Therefore, in 

this NOPR DOE proposes to amend the 

default fan power coefficients and 

default fan heat coefficients for coil-only 

fan power when operating at reduced air 

volume rates to reflect the results of its 

analysis. Specifically, when operating at 

75 percent air volume rate (or higher 

manufacturer-specified air volume rate 

that is between the 75 percent air 

volume rate and the full-load air volume 

rate as described in appendix M1, 

section 3.1.4.2.c), DOE proposes to 

specify for ducted two-capacity coilonly systems a default fan power 

coefficient of 360 W/1000 scfm and a 

default fan heat coefficient of 1,228 Btu/ 

h/1000 scfm for units installed in 

conventional systems; and a default fan 

power coefficient of 331 W/1000 scfm 

and a default fan heat coefficient of 

1,130 Btu/h/1000 scfm for mobile home 

and space-constrained systems.10

The reduced air volume rate used for 

low-stage operation of two-stage coilonly systems may be higher than 75 

percent of the full-load air volume rate, 

if the manufacturer’s instructions 

specify a higher part-load air volume 

rate. DOE is proposing that in such 

cases, the default fan power values 

associated with full-load air volume rate 

be used. However, the appropriate 

default fan power coefficient and 

default fan heat coefficient may be 

values between the reduced values 

discussed above and the values used for 

full-load air volume rate. For such cases, 

DOE could consider alternative options, 

other than requiring use of the full-load 

air volume default fan power and fan 

heat coefficients. Two alternative 

options include (1) allowing the 

reduced value up to a threshold value, 

e.g., 80 percent of full-load air volume 

rate, above which the full-load value 

would be required, and (2) requiring a 

linear interpolation of the default fan 

power coefficient between the reduced 

value at 75 percent of full-load air 

volume rate to the full-load value at 100 

percent.11 DOE seeks comment on 

whether one these alternate approaches 

should be adopted instead of the 

proposed use of the single reduced 

coefficients for the category discussed 

previously. 

DOE requests comment on its 

proposal to specify a reduced default 

fan power coefficient and default fan 

heat coefficient at part-load airflows in 

the calculations of SEER2 and HSPF2 


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16836 Federal Register / Vol. 87, No. 57 / Thursday, March 24, 2022 / Proposed Rules 

12Section 3.1.4.2 (cooling minimum air volume 

rate), section 3.1.4.3 (cooling intermediate air 

volume rate), and section 3.1.4.6 (heating 

intermediate air volume rate) of appendix M1. 

for ducted two-stage coil-only systems. 

DOE requests comment on the specific 

default fan power coefficients and 

default fan heat coefficients proposed. If 

the proposed values are not appropriate, 

DOE seeks data to support selection of 

alternative values. Additionally, DOE 

requests comment on whether a single 

default fan power coefficient (and 

default fan heat coefficient) should be 

used for each product class group 

regardless of the actual air volume rate 

used for low-stage tests, or whether one 

of the alternative approaches discussed 

in the NOPR should be considered, or 

any other alternative. DOE also requests 

comment on whether any two-stage 

systems use a part-load air volume rate 

higher than 75 percent of the full-load 

air volume rate, and if so, whether the 

ratio is a value less than 100 percent. 

2. Variable-Speed Coil-Only Test 

Procedure 

As discussed, appendix M1 contains 

provisions for testing split-system CAC/ 

HPs equipped with ‘‘coil only’’ indoor 

units that, in a field installation, are 

paired with an existing furnace or other 

air handler in order to circulate 

conditioned air through ductwork. 

These provisions apply to single-stage 

and two-stage systems.12 appendix M1 

does not include provisions for testing 

variable-speed systems equipped with 

coil-only indoor units. 

Since the publication of the January 

2017 Final Rule, DOE has granted test 

procedure waivers to GD Midea Heating 

& Ventilating Equipment Co., Ltd. (‘‘GD 

Midea’’) (83 FR 56065 (Nov. 9, 2018)) 

and TCL air conditioner (zhongshan) 

Co. Ltd. (‘‘TCL AC’’) (84 FR 11941 (Mar. 

29, 2019)), and an interim waiver for LG 

Electronics U.S.A., Inc. (‘‘LGE’’) (85 FR 

40272 (July 6, 2020)), for specified basic 

models of variable-speed, coil-only 

CAC/HPs. In each of these cases, the 

petitioners identified their variablespeed coil only systems as ‘‘noncommunicative’’ systems for which 

compressor speed varies based only on 

controls located on the outdoor unit, 

and for which the indoor unit maintains 

a constant indoor blower fan speed (see, 

e.g., 83 FR 24767, 24769 (May 30, 

2018)). As required under the specified 

alternate test procedures, the subject 

systems must be tested according to the 

appendix M provisions applicable to 

variable-speed systems (e.g., three 

different compressor speeds in the 

cooling mode), except that the subject 

systems must be tested using the fullload cooling air volume rate at all test 

conditions, commensurate with the 

constant indoor blower fan speed that 

these units would experience (GD 

Midea, EERE–2017–BT–WAV–0060, No. 

1, pp. 1–3; TCL, EERE–2018–BT–WAV– 

0013, No. 1, pp. 2–4; LG, EERE–2019– 

BT–WAV–0023, No. 1, pp 3–4). DOE 

notes that the waivers for these models 

were granted for appendix M only and 

will expire on Jan 1, 2023—the date 

when use of appendix M1 becomes 

required for any representations, 

including compliance certifications, 

made with respect to the energy use, 

power, or efficiency of CAC/HPs. 

DOE notes also that the waivers for 

‘‘non-communicative’’ variable-speed 

coil-only systems did not address 

comprehensively how the outdoor units 

are controlled to turn on or off in 

cooling mode or in heating mode, nor 

how the compressor speeds are set to 

match the internal building load. 

Regarding the latter, the waivers 

indicated only that ‘‘compressor speed 

varies based only on controls located on 

the outdoor unit’’ (GD Midea, EERE– 

2017–BT–WAV–0060, No. 1, p. 6; TCL, 

EERE–2018–BT–WAV–0013, No. 1, p. 4; 

LG, EERE–2019–BT–WAV–0023, No. 1, 

pp 2). DOE did not receive information 

in the waiver petitions regarding, nor 

has it evaluated, the compressor speed 

selections used for different test 

conditions specified in appendix M or 

appendix M1. Further, DOE has not 

compared these speed selections with 

those used by blower-coil variable speed 

systems for the same test conditions. 

Based on the information received and 

evaluated, DOE has yet to receive 

sufficient evidence that can be relied on 

to conclude that the alternate test 

procedures specified in the waivers are 

representative of average use cycles of 

CAC/HPs other than those subject to the 

granted waivers, as required by EPCA 

for DOE test procedures. 

DOE has also granted an interim test 

procedure waiver to Goodman 

Manufacturing Company, L.P. 

(‘‘Goodman’’) (86 FR 40534 (July 28, 

2021)) for their basic models of variablespeed, coil-only CAC/HPs. Unlike the 

aforementioned test procedure waivers, 

Goodman represented, and supported in 

their petition, that their systems have 

communicative controls, where both the 

outdoor unit and indoor coil 

communicate with each other to control 

both the variable-speed compressor and 

multi-speed indoor fan. 86 FR 40534, 

40539. As a result, the alternate test 

procedure prescribed under the interim 

waiver requires use of two different 

indoor air volume rates during testing to 

simulate the impacts of communicative 

control that would be realized in a 

typical field installation. 86 FR 40534, 

40538. Specifically, the Goodman 

waiver requires use of the cooling fullload air volume rate for the full-load 

cooling and full-load heating tests; and 

the cooling minimum air volume rate 

for the cooling minimum, heating 

minimum, cooling intermediate, and 

heating intermediate tests. Id. 

In response to the notice of petition 

for waiver, Rheem questioned the 

approach of the alternate test procedure 

in specifying two different indoor air 

volume rates during testing of these 

basic models. (Rheem, EERE–2021–BT– 

WAV–0001, No. 7 at p. 1). Rheem 

expressed concern that the alternate test 

procedure would allow Goodman an 

unfair competitive advantage, (i.e., by 

allowing reduced airflow rates at lowload test conditions while other 

variable-speed coil-only products would 

be required to test at full-load cooling 

air volume rate for all test conditions), 

that it would be unlikely that installers 

would correctly install the 

communicative products to enable the 

indoor fan control requested in 

Goodman’s proposed alternate test 

procedure, and that most furnace fans 

currently installed are not capable of 

adding controls to set multiple airflow 

rates. In response to the Rheem 

comment, Goodman stated that almost 

all two-stage coil-only ratings today 

utilize a lower indoor air volume rate 

for low-stage compressor operation, and 

highlighted training procedures and 

other best-practices put in place to 

ensure proper installation of 

communicating systems. (Goodman, 

EERE–2021–BT–WAV–0001, No. 8 at 

pp. 1–4) 

As stated in a final rule published in 

2005, use of a lower air volume rate for 

low-stage operation is based on the 

assumption that the two-capacity coilonly unit would most often be used 

with an existing multi-tap furnace 

blower (i.e., a furnace fan capable of 

multiple speeds). 70 FR 59122, 59128 

(October 11, 2005). The two-stage coilonly test provisions in the DOE test 

procedure are premised on the 

installation location having two-stage 

thermostat wiring (Final Rule Technical 

Supporting Document, EERE–2014–BT– 

STD–0048, No. 98, p. 8–25). DOE 

similarly assumes the presence of the 

necessary wiring for the installation of 

variable-speed systems. 

As mentioned in the notification of 

the interim waiver issued in response to 

the Goodman petition, DOE reviewed 

numerous materials relevant to the 

control of the Goodman variable-speed 

coil-only system, including additional 

materials Goodman provided in support 

of the petition. 86 FR 40534, 40537 (July 


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28, 2021). These materials included 

installation manuals and other 

information that confirmed similarities 

between the system’s control and the 

control of more conventional variablespeed blower-coil systems (including 

the use of communicating controls), 

providing justification for claims that 

the alternate test procedure specified in 

the waiver would be representative of 

average use. 

DOE notes that Goodman’s interim 

waiver was granted for both appendix M 

and appendix M1. The waiver for 

appendix M will expire on the date 

representations are required to be based 

on testing according to appendix M1 

(Jan 1, 2023), and the waiver for 

appendix M1 will expire on the date on 

which use of an amended test procedure 

that addresses the issues presented in 

the Goodman waiver is required to 

demonstrate compliance. 10 CFR 

430.27(h)(3). 

In this NOPR, DOE proposes to add 

testing provisions addressing variablespeed coil-only systems in appendix 

M1. DOE also proposes to define 

‘‘communicating control’’ in the context 

of variable-speed, coil-only CAC/HPs in 

order to differentiate between the test 

procedure provisions that would be 

applicable to communicating systems 

from those applicable to noncommunicating systems. 

DOE is proposing provisions as 

generally prescribed in the relevant 

waivers, except that DOE is proposing to 

require that all variable-speed coil-only 

systems, regardless of communicative 

capability, would be tested using the 

cooling minimum air volume rate for 

the cooling minimum, heating 

minimum, cooling intermediate, and 

heating intermediate tests. This 

proposal is consistent with the 

conditions specified in the interim 

waiver granted to Goodman. DOE 

further proposes to require that noncommunicative variable-speed coil-only 

systems be tested using the newly 

proposed provisions for variable-speed 

compressor with non-communicating 

coil-only systems (i.e., eliminating the 

EV test for cooling and H2V for heating 

as well as including H22, H21 and H31

for heating), whereas systems that meet 

the newly proposed criteria for 

‘‘communicating’’ control would follow 

the existing variable-speed test 

procedure. 

Regarding indoor air volume rate, the 

proposed test procedure would utilize 

the same procedure as for ducted twocapacity coil-only units. As discussed 

previously, the two-stage coil-only test 

procedure is premised on the capability 

of controlling an existing multi-tap 

furnace fan at two air volume rates for 

cooling operation. DOE is not proposing 

to amend this approach. DOE is 

proposing to apply a similar approach to 

the testing of variable-speed coil-only 

systems. As such, DOE proposes to align 

the requirements for minimum air 

volume rate between two-capacity and 

variable-speed coil-only indoor units, 

regardless of communicating 

capabilities. This includes adopting the 

reduced default fan power and default 

fan heat coefficients at reduced air 

volume rates discussed in section I.B.1. 

However, if the system does not include 

the capability to control an existing 

furnace fan at two air volume rates, the 

manufacturer has the option of 

specifying minimum/intermediate air 

volume rates equal to the full-load air 

volume rate. Regarding compressor 

speed, the proposed test procedure 

would limit use of the variable-speed 

testing provisions to those systems 

meeting the newly proposed criteria for 

communicating control. 

As previously stated, the test 

procedure for two-stage coil-only 

systems is premised on the system using 

a two-stage thermostat and associated 

wiring that responds to indoor 

temperature measurements and sends 

voltage signals that enable two-stage 

control of both the compressor speed 

and the indoor fan speed. A more 

sophisticated control approach is 

required to enable a variable speed 

system to modulate compressor speed 

control (e.g., proprietary thermostat, 

serial communication wiring, and/or 

electronic sensors at the indoor coil). 

DOE proposes to define 

‘‘Communicating Variable-speed Coilonly Central Air Conditioner or Heat 

Pump’’ in section 1.2 of appendix M1 to 

distinguish variable-speed coil-only 

systems with such control as the 

following: 

Variable-Speed Communicating CoilOnly Central Air Conditioner or Heat 

Pump means a variable-speed 

compressor system having a coil-only 

indoor unit that is installed with a 

control system that (a) communicates 

the difference in space temperature and 

space setpoint temperature (not a 

setpoint value inferred from on/off 

thermostat signals) to the control that 

sets compressor speed; (b) provides a 

signal to the indoor fan to set fan speed 

appropriate for compressor staging and 

air volume rate; and (c) has installation 

instructions indicating that the required 

control system meeting both (a) and (b) 

must be installed. 

DOE also proposes to define variablespeed systems that do not have this 

communicating feature as the following: 

Variable-Speed Non-communicating 

Coil-Only Central Air Conditioner or 

Heat Pump means a variable-speed 

compressor system having a coil-only 

indoor unit that does not meet the 

definition of variable-speed 

communicating coil-only central air 

conditioner or heat pump. 

Variable-speed coil-only systems that 

meet the ‘‘communicating’’ definition 

would be tested like any other variablespeed system, except that the heating 

full-load air volume rate would be equal 

to the cooling full-load air volume rate, 

and the intermediate and minimum 

cooling and heating air volume rates 

would all be the higher of (1) the rate 

specified by the installation instructions 

included with the unit by the 

manufacturer, and (2) 75 percent of the 

full-load cooling air volume rate. 

DOE proposes that those variablespeed coil-only systems that are not 

‘‘communicating’’ as defined above 

would be tested with additional 

limitations as if they have some 

variable-speed system characteristics 

and some two-stage coil-only system 

characteristics. Specifically, (a) the 

outdoor unit and/or the indoor unit 

would be provided with a control signal 

indicating operation at high or low 

stage, rather than testing with 

compressor speed fixed at specified 

speeds, and (b) air volume rates would 

be determined consistent with the 

requirement for two-stage coil-only 

systems. A key implication of (a) is that 

there would be no intermediate 

compressor speed operation. Many of 

the requirements associated with 

variable-speed operation would, 

however, be retained. For example, such 

systems would be allowed to have 

‘‘minimum speed-limiting’’ control for 

heat pump mode (see the alternative 

calculations representing minimumspeed operation in appendix M1, 

section 4.2.4.b). The test method for 

non-communicating variable-speed coilonly systems would include requiring 

tests for minimum-speed operation for 

both the 35 °F and 17 °F heating test 

conditions so that the HSPF2 

calculations utilize test results for 

appropriate compressor speeds. Also, 

the full compressor speed during 

heating mode operation would be 

allowed to vary with outdoor 

temperature, there would be an H1N test 

to represent the nominal capacity, and 

the same provisions for calculation of 

full-speed capacity and power applied 

to conventional variable-speed systems 

would be used (see, e.g., the 

calculations in appendix M1, sections 

3.6.4, 4.2.4.c, and 4.2.4.d). If a 

manufacturer chooses to run the 

optional H12 test (i.e. if compressor 

speed for the H1N test is different than 

compressor speed for the H32 test, and 


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the manufacturer chooses to run the H12

test rather than use the standardized 

slope factors described in appendix M1 

section 3.6.4.b), then the test would be 

run with over-ride of compressor speed 

using the same speed as used for the 

H32 test—this is the only test for which 

such over-ride would be allowed. 

To ensure consistency of testing, it 

may be necessary for manufacturers to 

certify whether a variable-speed coilonly rating is based on noncommunicating or communicating 

control. However, this change is not 

being proposed in this NOPR and may 

be considered in a separate rulemaking. 

DOE requests comment on its 

proposals related to test procedures for 

variable-speed coil-only CAC/HPs and 

on its proposed definitions for variablespeed communicating and noncommunicating coil-only CAC/HPs. 

DOE recognizes that there may be 

variable-speed control technology that 

cannot be tested according to the 

proposed test approach described 

previously for non-communicating 

variable-speed coil-only systems. 

Specifically, the test approach may not 

result in tests that meet the stability 

requirements for testing (i.e., the 

measurements might not meet the 

tolerance requirements in Table 2 of 

ANSI/ASHRAE 37–2009, ‘‘Methods of 

Testing for Rating Electrically Driven 

Unitary Air-Conditioning and Heat 

Pump Equipment,’’ (‘‘ASHRAE 37– 

2009’’), which is incorporated by 

reference by the DOE test procedure). Or 

the proposed test procedure might 

evaluate such a basic model in a manner 

so unrepresentative of its true energy 

consumption characteristics as to 

provide materially inaccurate 

comparative data. In this case, the 

manufacturer may petition DOE for a 

waiver and include a suggested alternate 

test procedure. See 10 CFR 430.27. As 

part of its review of such a waiver and 

alternate test procedure, DOE would 

consider the correlation between results 

of a suggested alternate test procedure 

and results of testing when using the 

two-stage two-wire controls expected to 

be available in a general coil-only 

system installation, recognizing that the 

latter testing may involve dynamics that 

exceed the measurement tolerances 

discussed above. DOE would also 

consider the control hardware involved 

in achieving appropriate control for 

indoor and outdoor conditions and 

some understanding of how the control 

works. 

DOE is aware that installations using 

non-communicating controls may not be 

limited only to variable-speed coil-only 

systems, but could also occur with 

variable-speed blower-coil systems. 

DOE’s proposal makes a distinction 

between the testing approach used for 

coil-only configurations and the testing 

approach used for blower-coil 

configurations. As coil-only 

installations are much more likely than 

blower-coil installations to involve use 

of both the existing furnace fan and 

existing controls, the test procedure 

should be reflective of coil-only 

installations because they are more 

representative than blower coil 

installations. 

DOE has considered whether the 

current test procedures for variablespeed systems generally give 

manufacturers too much flexibility in 

specifying fixed settings of the 

compressor and indoor fan for testing 

without requiring the selected settings 

to be demonstrated using native control 

testing. DOE is well aware that there is 

ongoing work addressing questions 

about whether the current DOE test 

procedure for variable-speed systems is 

fully representative of native control 

operation. However, DOE has initiated 

this rulemaking not as a comprehensive 

revision that will satisfy the 7-year 

lookback requirements (see 42 U.S.C. 

6293(b)(1)(A)), but instead as an action 

that will address a focused group of 

known issues, including those that have 

been raised through the test procedure 

waiver process. Thus, DOE is limiting 

its proposals addressing potential 

concerns about variable-speed systems 

to coil-only systems, for which there are 

clear differences in system controls 

architecture, particularly when using 

non-communicating controls, which 

impact the performance of these systems 

in the field. However, DOE may more 

comprehensively address these issues 

for all variable-speed systems in a future 

rulemaking. 

Coil-Only Variable-Speed System 

Representations and Testing 

Coil-only testing approaches for 

variable-speed systems address the 

installation of variable-speed technology 

in which the newly-installed system 

uses existing components, for example 

an existing furnace fan. For singlecapacity and two-capacity airconditioners, certification requirements 

anticipate this potential gap by 

requiring that such models include 

performance representations with a coilonly combination representative of the 

least-efficient combination in which the 

outdoor unit is sold (see 10 CFR 

429.16(a)(1)). DOE considered whether 

such a requirement may be appropriate 

for variable-speed systems. 

A review of manufacturing materials, 

such as product datasheets and 

installation instructions, indicates that 

there is a wide range of instruction 

provided regarding the need to pair a 

variable-speed outdoor unit with 

specific models of indoor units and/or 

air movers (e.g., furnaces) whose 

controls can be coordinated with those 

of the outdoor unit to optimize 

performance. Some literature is very 

clear that achieving the rated 

performance requires installation with 

specific models of mating components 

with variable-speed indoor fans and 

communicating controls. However, 

other models have literature that does 

not mention the need for such pairing 

of components. The latter group is not 

limited to brands that have received test 

procedure waivers or interim waivers 

for variable-speed coil-only systems. 

Thus, it is possible that variable-speed 

systems are being installed in coil-only 

applications for which the system 

representations may not be 

representative of actual performance 

because the representations are blowercoil based. Realizing this possibility, 

DOE considered the approaches that 

could be applied to address this issue. 

Currently, every single-split system 

AC with other than single-stage and 

two-stage compressors must represent 

every individual combination 

distributed in commerce, including all 

coil-only and blower coil combinations. 

10 CFR 429.16(a)(1). These regulations, 

when combined with the test procedure 

proposals in this NOPR, would require 

manufacturers to represent variablespeed ACs based on how they distribute 

them in commerce, which includes 

whether they are coil-only 

communicating, coil-only 

noncommunicating, or blower coil, as 

applicable to a given model of outdoor 

unit. DOE would evaluate how 

manufacturers distribute models of 

outdoor units based on review of 

product datasheets, installation and 

operation manuals, product marketing, 

relevant databases (including the AHRI 

database), manufacturer websites, and 

other related materials that help inform 

the consumer how the outdoor unit 

should be installed. 

As noted previously, representations 

of efficiency for single-split air 

conditioners with a single-stage or twostage compressor must include at least 

one coil-only combination 

representative of the least-efficient 

combination distributed in commerce 

with that outdoor unit. 10 CFR 

429.16(a)(1). As part of this rulemaking, 

DOE considered adopting such an 

approach for all single-split outdoor 

units, including variable speed models, 

to ensure that representations include 

all installations that may occur in the 

field. However, based on the 


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13For example, there are roughly 27,000 

combinations listed in the AHRI Database for which 

a non-zero intermediate indoor air volume rate is 

listed, indicating that the combination is a variablespeed model. DOE reviewed the current 

certifications in the certification compliance 

management system and found that there are 

approximately 400 variable-speed coil-only 

combinations, representing roughly 1.5 percent of 

the total variable speed combinations certified to 

the Department. 

14https://www.trane.com/residential/en/ 

resources/glossary/dual-fuel-heat-pump/(last 

accessed 2/4/2022). 

information DOE has from the previous 

energy conservation standards 

rulemaking pertaining to central air 

conditioners and heat pumps, less than 

5 percent of variable-speed system 

installations are coil-only installations. 

82 FR 1786. Further, the number of 

certified combinations of variable-speed 

coil-only systems is a small percentage 

of all of the variable-speed system 

certifications.13 Based on this 

information, DOE concludes that 

installations of variable-speed systems 

in coil-only applications are not likely 

to be representative of variable-speed 

system operation as a whole. For this 

reason, DOE is not proposing a blanket 

coil-only representation requirement for 

variable-speed systems. However, DOE 

may revisit this possibility if it 

determines that there is significant 

distribution in commerce of coil-only 

variable-speed systems using outdoor 

units that do not include a coil-only 

representation. 

In order improve representativeness 

of the representations of variable-speed 

systems used in coil-only combinations, 

DOE proposes to require a coil-only 

tested combination for any variablespeed outdoor unit distributed in 

commerce in a coil-only combination. In 

addition, DOE proposes to require that, 

if a manufacturer distributes in 

commerce an outdoor unit basic model 

with other than a single-stage or twostage compressor in non-communicating 

coil-only combinations, the combination 

selected for testing be a noncommunicating coil-only combination. 

If a manufacturer distributes in 

commerce an outdoor unit basic model 

with other than a single-stage or twostage compressor only in 

communicating coil-only combinations, 

then the combination selected for 

testing that outdoor model would be a 

communicating coil-only combination. 

Finally, if the manufacturer does not 

distribute in commerce any coil-only 

combinations, then the individual 

combination selected for testing for 

split-system AC and HP with other than 

a single-stage or two-stage compressor 

would be a blower-coil combination. 

DOE notes that the variable-speed 

coil-only waiver petitions addressed 

both air-conditioners and heat pumps. 

Thus, DOE’s considered whether the 

coil-only tested combination 

requirement should apply to variable 

speed heat pumps and/or to single-stage 

and/or two-stage heat pumps. DOE 

notes that coil-only heat pumps allow 

the heating system to provide heat 

either using the furnace or the heat 

pump. There has been greater interest in 

such systems in recent years, since they 

provide heating with a furnace in 

extreme cold conditions for which a 

heat pump may have limited capacity 

and/or reduced efficiency.14 DOE is 

proposing in this NOPR to require coilonly tested combinations for variablespeed heat pumps, but not for singleand two-stage heat pumps, because DOE 

expects that the representativeness of 

blower-coil tests would deviate more 

from coil-only tests for variable-speed 

systems, due to the use of a variablespeed indoor fan and use of an 

intermediate air volume rate used for 

intermediate-speed testing for variablespeed systems. The test procedures for 

single-stage and two-stage heat pumps 

are more restrictive with regard to 

allowed air volume rates and thus 

performance differences between 

blower-coil and coil-only operation 

would be less. 

Regarding variable-speed coil-only 

systems using indoor units 

manufactured by independent coil 

manufacturers (‘‘ICMs’’), the regulations 

require certification of the performance 

of any variable-speed coil-only 

combinations distribution in commerce, 

and whether any given combination is 

coil-only (see 10 CFR 429.16(a)(1)). 

However, DOE notes that a tested 

combination for an ICM indoor unit 

must include the least-efficient outdoor 

unit with which the indoor unit is 

distributed in commerce (see 10 CFR 

429.6(b)(2)(i)). DOE does not believe any 

changes are needed to this proposal 

with respect to ICM certifications as the 

current regulations already encompass 

representing all combinations 

distributed in commerce, including 

noncommunicating and communicating 

variable-speed coil only systems. 

DOE requests comment on its 

approach for variable speed coil-only 

systems. More specifically, DOE seeks 

comment on its proposal to require coilonly tested combinations for variablespeed systems, both air-conditioners 

and heat pumps, that are distributed in 

commerce with coil-only combinations. 

DOE also requests comment on the 

proposal to require that the tested 

combination be a non-communicating 

coil-only combination, if the outdoor 

unit is distributed in commerce in a 

non-communicating coil-only 

combination. 

3. Space-Constrained Coil-Only CAC 

Ratings 

DOE’s regulations at 10 CFR 429.16 

prescribe certification requirements for 

CAC/HPs. Paragraph (a)(1) of that 

section includes a table specifying the 

required represented values for each 

‘‘tested combination’’ of CAC/HPs. 

Table III–1 is an excerpt from the table 

in 10 CFR 429.16(a)(1) showing 

represented value requirements for 

different varieties of split-system CAC/ 

HPs. 

TABLE III–1—REQUIRED REPRESENTED VALUES FOR SPLIT-SYSTEM CAC/HPS

[Excerpted from 429.16(a)(1)] 

Category Equipment subcategory Required represented values 

Outdoor Unit and Indoor Unit 

(Distributed in Commerce by 

OUM).

Single-Split-System AC with Single-Stage or 

Two-Stage Compressor (including SpaceConstrained and Small-Duct, High Velocity 

Systems (SDHV)).

Every individual combination distributed in commerce must be 

rated as a coil-only combination. For each model of outdoor unit, this must include at least one coil-only value that 

is representative of the least efficient combination distributed in commerce with that particular model of outdoor unit. 

Additional blower-coil representations are allowed for any 

applicable individual combinations, if distributed in commerce. 

Single-Split-System AC with Other Than Single-Stage or Two-Stage Compressor (including Space-Constrained and SDHV).Every individual combination distributed in commerce, including all coil-only and blower coil combinations. 


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15 DOE’s proposed clarifications would require 

every single-stage and two-stage outdoor unit of 

single-split CAC to have a compliant rating with a 

coil-only combination that is distributed in 

commerce and representative of the least efficient 

combination distributed in commerce for that 

particular model of outdoor unit 

TABLE III–1—REQUIRED REPRESENTED VALUES FOR SPLIT-SYSTEM CAC/HPS—Continued 

[Excerpted from 429.16(a)(1)] 

Category Equipment subcategory Required represented values 

Single-Split-System HP (including Space-Constrained and SDHV).Every individual combination distributed in commerce. 

Multi-Split, Multi-Circuit, or Multi-Head MiniSplit Split System—non-SDHV (including 

Space-Constrained).

For each model of outdoor unit, at a minimum, a non-ducted 

‘‘tested combination.’’ For any model of outdoor unit also 

sold with models of ducted indoor units, a ducted ‘‘tested 

combination.’’ When determining represented values on or 

after January 1, 2023, the ducted ‘‘tested combination’’ 

must comprise the highest static variety of ducted indoor 

unit distributed in commerce (i.e., conventional, mid-static, 

or low-static). Additional representations are allowed, as 

described in paragraph (c)(3)(i) of this section. 

Multi-Split, Multi-Circuit, or Multi-Head MiniSplit Split System—SDHV.For each model of outdoor unit, an SDHV ‘‘tested combination.’’ Additional representations are allowed, as described 

in paragraph (c)(3)(ii) of this section. 

As presented in Table III–1, singlesplit CACs with single-stage or twostage compressors are required to 

provide represented values for every 

individual combination distributed in 

commerce, each rated as a coil-only 

combination. For each model of outdoor 

unit, this must include at least one coilonly value that is representative of the 

least efficient combination distributed 

in commerce with that model of outdoor 

unit. Additional blower-coil ratings are 

allowed (i.e., optional) for any 

applicable individual combinations, if 

distributed in commerce. DOE has 

become aware that these provisions may 

contain ambiguity over the precise 

rating requirements for single-split 

CACs. For example, if the least efficient 

combination distributed in commerce 

for a given basic model includes a 

blower-coil indoor unit (as opposed to 

the assumption that a coil-only 

combination would be least efficient), 

the existing provisions are unclear on 

which combination would be used to 

rate the basic model. Accordingly, DOE 

is proposing to amend the language in 

the table found in 10 CFR 429.16(a)(1) 

to clarify the rating requirements 

pertaining to single-split CACs with 

single-stage or two-stage compressors.15

DOE requests comment on its 

proposal to clarify the language for 

required represented values of coil-only 

CACs found in the table at 10 CFR 

429.16(a)(1) 

The requirement to provide coil-only 

ratings for each basic model also applies 

to single split CACs designed for spaceconstrained applications (‘‘SC–CAC’’). 

DOE has received three petitions for test 

procedure waivers related to the 

represented value requirements for SC– 

CACs. The first was a petition from 

National Comfort Products, Inc. (‘‘NCP’’) 

dated March 20, 2017 (Docket No. 

EERE–2017–BT–WAV–0030–0001); the 

second was a petition from AeroSys, 

Inc. (‘‘AeroSys’’) dated May 29, 2017 

(Docket No. EERE–2017–BT–WAV– 

0042–0001); and the third was a petition 

from First Company (‘‘First Co.’’) dated 

May 25, 2018 (Docket No. EERE–2018– 

BT–WAV–0012–0002). Each petitioner 

claimed that specified basic models of 

SC–CAC outdoor units listed in their 

respective petitions are designed and 

intended to be sold only with 

proprietary blower-coil indoor units 

equipped with high-efficiency 

electronically commutated (‘‘ECM’’) fan 

motors, and not as a coil-only 

combination (NCP, EERE–2017–BT– 

WAV–0030, No. 1 at p. 1; AeroSys, 

EERE–2017–BT–WAV–0042; No. 1 at p. 

1, First Co., EERE–2018–BT–WAV– 

0012, No. 2 at p. 1) Each petitioner also 

claimed that the identified blower-coil 

indoor units operate at a much lower 

wattage than the default fan power 

required by appendix M for coil-only 

combinations and asserted that 

appendix M would not result in a 

representative rating for the specified 

basic models (NCP, Id. at p. 2; AeroSys, 

Id. at p. 1, First Co., Id. at pp. 2–3) Each 

petitioner requested waivers requiring 

that the specified basic models be tested 

according to appendix M and that 

representations be determined by 

pairing models only with blower-coil 

indoor units (i.e., requesting exemption 

from the requirement in 10 CFR 

429.16(a)(1) to provide represented 

values based on a coil-only 

combination). (NCP, Id. at p. 3; AeroSys, 

Id. at p. 6, First Co., Id. at p. 6) These 

waiver requests were predicated on the 

premise that the basic models of 

outdoor units identified by NCP, 

AeroSys, and First Co. are not intended 

to be sold with a coil-only indoor unit 

pairing and are designed to be sold with 

only the specified blower-coil indoor 

units containing high-efficiency ECM 

fans. 

In a notice published May 30, 2021, 

DOE granted AeroSys’s petition for 

interim waiver. Since that time, AeroSys 

filed for bankruptcy and thus DOE 

stopped further evaluation of the 

AeroSys test procedure waiver request. 

With respect to First Co.’s petition, 

DOE has concluded that statements 

provided in product specification sheets 

and installation instructions for the 

subject basic models appear 

inconsistent with First Co.’s assertion 

that the subject basic models are 

distributed in commerce exclusively for 

use with blower-coil indoor units. For 

example, installation instructions for 

affected models include language 

describing these units as replacements 

for R–22 systems, and the existing 

indoor units are unlikely to have the 

high-efficiency motors used in the 

described blower-coil indoor units. 

Additionally, some spec sheets include 

additional language indicating that 

installation is intended with existing 

indoor units that are unlikely to have 

high efficiency motors. 

As NCP’s waiver petition and the 

prescribed alternate test procedure are 

specific to appendix M, the interim 

waiver will terminate on the date on 

which testing is required under 

appendix M1 (i.e., January 1, 2023); 

there is no need for continuation of the 

waiver once testing is required under 

appendix M1. Moreover, as discussed in 

the following paragraphs, DOE has 

tentatively determined that it would be 

inappropriate to amend appendix M1 to 

provide for the testing of split-system 


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16 DOE based its life-cycle analysis on the 

assumption that the year of product purchase date 

would be 2021, which at the time was the assumed 

effective date of energy conservation standards for 

CACs and HPs. Accordingly, all installation figures 

were forecast through the year 2021. 

17www.ferguson.com/product/national-comfortproducts-3000-series-25-tons-12-seer-r-410a-27200- 

btuh-room-air-conditioner-nncpe4303010/_/R4397660. 

CACs as requested in the waiver 

petitions. 

DOE is required per EPCA to 

prescribe test procedures that are 

reasonably designed to produce test 

results which measure energy efficiency 

during a representative average use 

cycle or period of use, as determined by 

the Secretary. (42 U.S.C. 6293(b)(3)) For 

split-system central air conditioner and 

heat pump outdoor units, determination 

of what constitutes a representative 

average use cycle or period of use must 

include consideration of combinations 

in which a unit is paired in field 

installations. DOE published an energy 

conservation standard final rule to set 

new standards for central air 

conditioners and heat pumps on January 

6, 2017. 82 FR 1786. In the rulemaking 

that culminated in this final rule, DOE 

examined the typical installations for 

split-system CACs and HPs as part of its 

assessment of life-cycle costs. DOE 

determined that 39 percent of splitsystem CAC installations in 2021 16

would be full-system replacements 

including a blower-coil indoor unit. Of 

the 61 percent remaining CAC 

installations, DOE’s determined that 75 

percent of these would require 

replacement of the entire system (i.e., 

both outdoor unit and coil-only indoor 

unit) and 25 percent would involve 

solely replacement of the outdoor unit 

(i.e., leaving the existing coil-only 

indoor unit and refrigerant line-sets 

intact). (Docket No. EERE–2014–BT– 

STD–0048–0098, p. 8–8). 

DOE’s analysis indicates that 

installations involving blower-coil 

indoor units are in the minority for 

split-system CACs. While DOE does not 

have data showing the installation 

breakdown specifically for spaceconstrained systems, DOE assumes in 

the absence of such data that the general 

installation trends would apply to 

equally to space-constrained systems. 

Additionally, DOE has observed 

instances for which outdoor units 

designed for space-constrained 

applications are being distributed in 

commerce without a corresponding 

blower-coil indoor unit,17 indicating the 

potential for pairing a replacement 

outdoor unit with an existing indoor 

unit using a legacy fan that would not 

likely be comparable to the ECM fan of 

the blower-coil indoor unit on which 

the system rating is based. DOE notes 

that the cited example is for sale of an 

NCP outdoor unit, which indicates that 

it is impossible to ensure that 

installations are of systems with blowercoil indoor units, as suggested by NCP’s 

waiver petition. 

Consequently, DOE tentatively 

concludes that measuring the 

performance of space-constrained 

systems exclusively with high-efficiency 

blower-coil combinations, as requested 

in the NCP, AeroSys, and First Co. 

waiver petitions, is not generally 

representative of field operation. Based 

on this tentative conclusion, 

amendment to the existing requirements 

for represented values in 10 CFR 429.16 

to allow manufacturers to avoid the coilonly test requirement for single-speed 

and two-stage space-constrained CACs 

would provide test results that are not 

representative of an average use cycle or 

period of use. DOE is not proposing 

amendments to appendix M1 regarding 

the test procedure waiver granted to 

NCP. 

DOE requests comment on its planned 

approach not to propose waiving the 

coil-only rating requirement for spaceconstrained air conditioners and heat 

pumps. To support any comments 

suggesting that DOE reverse this 

decision, DOE requests shipment and/or 

installation data for space-constrained 

systems to clarify the characteristics of 

representative installations. 

C. Other Test Procedure Revisions 

1. Air Volume Rate Changing With 

Outdoor Conditions 

When testing CAC/HP systems under 

appendix M1, section 3.1.4 requires 

determining airflow setting(s) before 

testing begins; unless otherwise 

specified, no changes are to be made to 

the airflow setting(s) after initiation of 

testing. The subsections of section 3.1.4 

provide instructions for establishing air 

volume rates for the following test 

conditions: Cooling full-load (section 

3.1.4.1), cooling minimum (section 

3.1.4.2), cooling intermediate (section 

3.1.4.3), heating full-load (section 

3.1.4.4), heating minimum (section 

3.1.4.5), heating intermediate (section 

3.1.4.6), and heating nominal (section 

3.1.4.7). 

For example, section 3.1.4.1.1.a of 

appendix M1 provides instructions for 

determining the cooling full-load air 

volume rate for ducted blower coil 

systems other than those having a 

constant-air-volume-rate indoor blower. 

Within that section, a seven-step 

process is followed to determine the 

final fan speed or control settings to be 

used for testing. Step (7) of the process 

specifies using the measured air volume 

rate as the cooling full-load air volume 

rate, and to use the final fan speed or 

control settings for all tests that use the 

cooling full-load air volume rate. 

Sections 3.1.4.2.a and 3.1.4.4.3.a specify 

a similar process for determining 

cooling minimum air volume rate and 

heating full-load air volume rate, 

respectively. These sections similarly 

specify using use the measured air 

volume rate and final fan speed or 

control settings for all tests that use the 

cooling minimum air volume rate or 

heating full-load air volume rate, 

respectively. 

As noted, sections 3.1.4.1.1.a, 

3.1.4.2.a, and 3.1.4.3.a of appendix M1 

specify using the air volume rates 

determined in those respective sections 

for all tests. By contrast, sections 3.2.2.2, 

3.2.3.b, and 3.2.4.b specify using air 

volume rates that represent a ‘‘normal 

installation’’ when testing units having 

a single-speed compressor where the 

indoor section uses a single variablespeed variable-air-volume rate indoor 

blower or multiple indoor blowers 

(3.2.2.2), when testing units having a 

two-capacity compressor (3.2.3.b), and 

when testing units having a variablespeed compressor (3.2.4.b). In some 

cases, reference to ‘‘air volume rates that 

represent a normal installation’’ could 

conflict with the air volume rates 

determined in sections 3.1.4.1.1.a, 

3.1.4.2.a, and 3.1.4.3.a. 

For example, many modern blowercoil systems have multiple-speed or 

variable-speed indoor fans and control 

systems (i.e. the type of units covered 

under section 3.2.2.2) that may have the 

capability to vary fan speed in response 

to operating conditions in order to 

optimize performance. Under ‘‘normal 

installation’’ for such units, air volume 

rate changes in response to operating 

conditions such as outdoor air 

temperature. For these types of systems, 

the instructions in sections 3.1.4.1.1.a, 

3.1.4.2.a, and 3.1.4.3.a to use a fixed 

(constant) air volume rate for all tests 

conflict with the instructions in sections 

3.2.2.2, 3.2.3.b, and 3.2.4.b to use air 

volume rates that represent a normal 

installation. 

For units with multiple-speed or 

variable-speed indoor fans and control 

systems that have the capability to vary 

fan speed in response to operating 

conditions, requiring air volume rate to 

remain constant as outdoor air 

temperature changes during testing may 

not provide test results that are 

representative of field operation. 

To address this issue, DOE proposes 

to explicitly state in Step 7 of sections 

3.1.4.1.1.a, 3.1.4.2.a, and 3.1.4.3.a that, 


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18The tests at this condition are optional for heat 

pumps, except for Triple-Capacity Northern heat 

pumps. 

19 DOE also notes that as initially proposed, 

installation instructions that are shipped with the 

unit were to take precedence over installation 

instructions that appear in the labels applied to the 

unit, but this hierarchy was reversed in the final 

rule. 81 FR 36992, 37060. 

for blower coil systems in which the 

indoor blower capacity modulation 

correlates with outdoor dry bulb 

temperature or sensible to total cooling 

capacity ratio, use an air volume rate 

that represents a normal operation. To 

ensure consistency of testing, it may be 

necessary for manufacturers to certify 

whether the system varies blower 

speeds with outdoor air conditions. 

However, this change is not being 

proposed in this notice and may be 

addressed in a separate rulemaking. 

DOE requests comments on its 

proposal to add language clarifying how 

to implement variation of blower speed 

for different ambient temperature test 

conditions. 

2. Wet Bulb Temperature for H4 5 °F 

Heating Tests 

Appendix M1 specifies required and 

optional heating mode test conditions 

for heat pumps, designated as ‘‘H’’ 

conditions. See Tables 11 through 15 of 

appendix M1. appendix M1 provides for 

conducting optional ‘‘H4’’ heating tests 

at a 5 °F outdoor ambient dry-bulb 

temperature and, at a maximum, a 3 °F 

outdoor wet-bulb temperature.18 DOE 

initially proposed a target wet-bulb 

temperature for the H4 test of 3.5 °F in 

an SNOPR published in August 2016 

(‘‘August 2016 SNOPR’’). 81 FR 58164, 

58193. ACEEE, NRDC, and ASAP agreed 

with DOE’s proposal of a target wet bulb 

temperature of 3.5 °F for the optional 

5 °F test. (ACEEE, NRDC, and ASAP, 

EERE–2016–BT–TP–0029, No. 33 at p. 

8) Carrier/UTC, Lennox, JCI, Ingersoll 

Rand, Goodman, Nortek, NEEA, Rheem, 

the CA IOUs, AHRI, and Mitsubishi all 

recommended that the target wet bulb 

temperature for the 5 °F test should be 

3 °F or less, rather than the proposed 

3.5 °F target. The commenters indicated 

that holding tight tolerances on the wet 

bulb temperature at such low 

temperatures is very challenging, but 

the frost loading for this temperature is 

so low that the variation in the wet bulb 

temperature level would not affect the 

test significantly. Unico made a similar 

recommendation but suggested a 

maximum of 4 °F wet bulb temperature. 

(Carrier/UTC, No. 36 at p. 12; Lennox, 

EERE–2016–BT–TP–0029, No. 25 at p. 

15; JCI, EERE–2016–BT–TP–0029, No. 

24 at p. 17; Ingersoll Rand, EERE–2016– 

BT–TP–0029, No. 38 at p. 7, Goodman 

No. 39 at p. 11; Nortek, EERE–2016–BT– 

TP–0029, No. 22 at p. 16; Unico, EERE– 

2016–BT–TP–0029, No. 30 at p. 7; 

NEEA, EERE–2016–BT–TP–0029, No. 35 

at p. 3; Rheem, EERE–2016–BT–TP– 

0029, No. 37 at p. 6; CA IOU, EERE– 

2016–BT–TP–0029, No.32 at p.4; AHRI, 

EERE–2016–BT–TP–0029, No. 27 at 

p.19; Mitsubishi, No. 29 at p.4). 

In the January 2017 TP Final Rule, 

DOE agreed that the amount of moisture 

in 5 °F air would be sufficiently low that 

imposing a maximum wet bulb 

temperature of 3 °F would be adequate 

to ensure test repeatability; hence DOE 

adopted the suggestion to require a 3 °F 

maximum wet bulb temperature in the 

January 2017 TP Final Rule (82 FR 

1426). Since the publication of the 2017 

Final Rule, DOE and other stakeholders 

have gained additional experience 

testing to the new appendix M1, 

including testing at the 5 °F H4 heating 

condition. DOE has received informal 

comments and has independently 

observed that holding the wet-bulb 

tolerance of maximum 3 °F is difficult 

for some test labs, especially for 

extended periods of time, and that even 

if this low humidity level can be 

attained, the additional 0.5 to 1.0 °F wet 

bulb reduction adds significant time to 

testing (as compared to maximum wet 

bulb requirements of 3.5 °F and 4 °F, 

respectively). 

The 3 °F wet bulb condition 

represents an extremely dry air 

condition, which is difficult to attain 

and maintain due to issues with 

infiltration and ground moisture passing 

through the floor in some laboratory 

setups. Accordingly, DOE is proposing 

to amend the wet bulb test condition for 

all H4 tests to be 4 °F maximum instead 

of the current condition of 3 °F 

maximum. Because, as previously 

identified in comments, there is very 

little moisture content in the air at 5 °F 

dry-bulb temperature, DOE does not 

expect that the change in wet bulb 

temperature condition will have a 

significant impact on test results. 

DOE seeks comment on its proposal to 

amend the wet bulb temperature 

condition for the H4 heating tests from 

the existing 3 °F maximum temperature 

to a maximum temperature of 4 °F. 

3. Hierarchy of Manufacturer 

Installation Instructions 

Instructions for installation of CAC/ 

HP products can take multiple forms, 

including documents shipped with the 

product, labels affixed to the outdoor 

unit and/or indoor unit, and online 

documents. 

Section 2(A) of appendix M1 provides 

requirements regarding the installation 

instructions to be used and their order 

of precedence (i.e., installation 

instruction hierarchy) for variable 

refrigerant flow (‘‘VRF’’) multi-split 

systems. Section 2(A) specifies that 

installation instructions that appear in 

the labels applied to the unit take 

precedence over installation 

instructions that are shipped with the 

unit. Further, Section 2(A) specifies that 

the term ‘‘manufacturer’s installation 

instructions’’ does not include online 

manuals. Appendix M1 does not specify 

installation instruction hierarchy for 

any other types of CAC/HP products. 

Throughout appendix M1, references 

to manufacturer’s installation 

instructions are made regarding 

refrigerant charging requirements 

(section 2.2.5), installation of an air 

supply plenum adapter accessory for 

testing small-duct, high-velocity 

systems (section 2.4.1.c), and control 

circuit connections between the furnace 

and the outdoor unit for coil-only 

systems (section 3.13.1.a). 

DOE notes that it initially proposed in 

a supplemental NOPR published 

November 9, 2015 (‘‘November 2015 

SNOPR’’) that the hierarchy of 

installation instructions be located in 

proposed section 2.2.5.1 of appendix 

M1, which pertains to refrigerant 

charging requirements. See 80 FR 

69278, 69350.19 However, as finalized 

in the June 2016 Final Rule, the 

installation instruction hierarchy 

provision was located within section 

2(A) of appendix M1, and therefore 

applies only to testing of VRF multisplit systems. 81 FR 36992, 37060. The 

June 2016 Final Rule did not provide a 

discussion of this change. 

The requirements regarding 

installation instruction would be 

equally applicable to classes of CAC/HP 

other than VRF multi-split systems. As 

noted, manufacturer’s installation 

instructions are referenced in a number 

of provisions in appendix M1. 

Therefore, DOE is proposing to add in 

section 2(B) of appendix M1, ‘‘Testing 

Overview and Conditions for Systems 

Other than VRF,’’ the same 

requirements associated with 

installation instructions that are in 

section 2(A), i.e. what instructions can 

be used and what instructions take 

precedence. This proposal would align 

the approach for all classes of CAC/HP 

with the current approach for VRF CAC. 

DOE requests comment on the 

proposed alignment of the VRF and 

non-VRF test procedures when it comes 

to instruction precedence. 


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20When operating in cooling mode, water vapor 

in the return air may condense and collect and flow 

down the coil into the indoor unit’s drain pan. This 

removal of water vapor is called dehumidification— 

it occurs only in cooling mode and its magnitude 

depends on the test conditions. 

4. Adjusting Airflow Measurement 

Apparatus To Achieve Desired SCFM at 

Part-Load Conditions 

DOE is aware that the specifications 

for cooling full-load air volume rates for 

both ducted and non-ducted units may 

require additional detail to provide 

improved repeatability. Sections 

3.1.4.1.1, 3.1.4.2, and 3.1.4.4.3 of 

appendix M1 each specify seven steps 

for achieving the correct air volume rate 

to be used for testing (cooling full-load 

air volume rate, cooling minimum air 

volume rate, and heating full-load air 

volume rate, respectively). In each 

section, Step 7 mentions ‘‘fan speed’’ 

and ‘‘control settings’’ without 

indicating whether they are the speed 

and settings of the unit under test, of the 

airflow measurement apparatus, or both. 

DOE notes that cooling full-load air 

volume rate, cooling minimum air 

volume rate, and heating full-load air 

volume rate may each be used for 

multiple test conditions. However, 

when using this same air-volume rate at 

different test conditions, it may be 

necessary to adjust one of the fans to 

achieve the same air-volume rate, due to 

differences in air density and/or loading 

of condensate on the indoor coil.20 In 

sections 3.1.4.1.1, 3.1.4.2, and 3.1.4.4.3 

of appendix M1, Step 7 identifies the air 

volume rate (cooling full-load, cooling 

minimum, and heating full-load, 

respectively) to be used for all test 

conditions that use the same air volume 

rate, but it does not indicate what 

adjustments are allowed or required to 

obtain it. 

These sections may be misinterpreted 

to indicate that both the fan speed of the 

unit under test and the airflow 

measurement apparatus fan speed 

should not be adjusted during testing. 

As previously described, if both the test 

unit fan speed and the measurement 

apparatus fan speed are fixed, 

differences in air density and/or loading 

of condensate could cause differences in 

measured air volume rate at different 

test conditions, with no recourse for 

correction. This interpretation could 

then cause tests to be conducted at 

different air volume rates across test 

conditions, whereas the test procedure 

at sections 3.1.4.1.1, 3.1.4.2, and 

3.1.4.4.3 of appendix M1 requires the 

tests to be conducted at the same air 

volume rate across different conditions. 

To minimize the potential for 

misinterpretation, DOE is proposing to 

explicitly require that the airflow 

measurement apparatus fan be adjusted 

if needed to maintain constant air 

volume rate for all tests using the same 

air volume rate. Similarly, the section 

would explicitly state that the speed 

and settings of the fan of the unit under 

test are not to be adjusted. 

DOE requests comment on its 

proposal to add more specific direction 

to step 7 of sections 3.1.4.1.1, 3.1.4.2, 

and 3.1.4.4.3. 

5. Revision of Equations Representing 

Full-Speed Variable-Speed Heat Pump 

Operation at and Above 45 °F Ambient 

Temperature 

A compressor’s speed at full speed 

may change as the outdoor temperature 

changes. While the compressor speed at 

full speed may differ at different 

outdoor temperatures, accuracy of 

predictions using the test results from 

two temperature conditions to calculate 

the performance for a third temperature 

condition is maximized when the same 

compressor speed is used for the tests at 

the two different ambient temperature 

conditions (see, e.g., 81 FR 58164, 58178 

(August 24, 2016)). 

For calculation of full-compressor 

performance in the temperature ranges 

less than 17 °F and greater than or equal 

to 45 °F, the test procedure determines 

performance based on the H32 and H12

tests, which are conducted at 17 °F and 

47 °F, respectively (see appendix M1, 

sections 4.2.4.c, which refers to 

equations 4.2.2–3 and 4.2.2–4 in Section 

4.2.2). As indicated in appendix M1 in 

the Table 14 footnotes, the H12 test is 

run with the compressor speed that 

represents normal operation at 17 °F 

conditions. However, for many variablespeed heat pumps, this is a higher 

compressor speed than would be normal 

for operation at 47 °F conditions. 

The H1N test represents normal 47 °F 

operation, as indicated in the Table 14 

footnotes. For heat pumps with different 

normal speeds for 17 °F and 47 °F 

conditions, the full-compressor 

performance equation is not 

appropriately representative for 

temperatures greater than or equal to 

45 °F. For example, at 47 °F, the 

equation would indicate that the 

capacity is equal to the H12 capacity, 

even though the H1N test is specifically 

intended to represent capacity at 47 °F. 

To rectify this issue, DOE proposes to 

amend the portion of the equations 

representing performance in conditions 

warmer than 45 °F. Specifically, the 

capacity equation for this temperature 

range would be multiplied by the ratio 

of the capacities of the H1N and H12

tests. Similarly, the power input 

equation for this range would be 

multiplied by the ratio of the power 

inputs measured in the H1N and H12

tests. This would change the calculated 

capacity and power input for the range 

of temperature above 45 °F to be 

consistent with the compressor speed of 

the H1N test (which is intended to 

represent performance in this range), 

rather than with the compressor speed 

of the H32 test, which is conducted in 

a 17 °F ambient temperature. 

While DOE believes that the proposed 

amendments would provide more 

representative results, DOE does not 

expect that such changes would 

significantly affect heat pump HSPF2 

measurements. This is because the fullcapacity performance would affect 

HSPF2 only when the calculated 

building load exceeds the calculated 

intermediate capacity of a variablespeed heat pump, which DOE believes 

to be a rare occurrence in the ambient 

temperature range above 45 °F. In the 

cases that would affect HSPF2, the 

change would increase the measured 

efficiency, since H1N COP is expected to 

be higher than H12 COP due to its lower 

compressor speed. 

DOE requests comment on the 

proposed change to the full-capacity 

performance equations for variablespeed heat pumps in the ambient 

temperature range above 45 °F, adjusting 

the equations for capacity and power by 

the ratio of capacity and power, 

respectively, associated with H1N and 

H12 operation. 

6. Calculations for Triple-Capacity 

Northern Heat Pumps 

Section 4.2.6 of appendix M1 

includes additional steps for calculating 

HSPF2 of a heat pump having a triplecapacity compressor. Heat pumps with 

triple-capacity compressors respond to 

building heating load by operating at 

low (k=1), high (k=2), or booster (k=3) 

capacity or by cycling on and off at one 

or more of those stages. Section 4.2.6.5 

covers the scenario where the heat 

pump alternates between high (k=2) and 

booster (k=3) compressor capacity to 

satisfy the building load. In this 

scenario, the total electrical power 

consumption is determined by 

calculating the fraction of time the 

system spends operating in the high and 

booster stage, respectively, and then 

weighting the steady-state power 

consumption at each operating state 

accordingly. Section 4.2.6.5 gives 

equations for calculating the fraction of 

load addressed by the high compressor 

stage, denoted as ‘‘Xk=2(Tj)’’, as well as 

the fraction of load addressed by the 

booster compressor stage ‘‘Xk=3(Tj)’’. 

These proportions should, by definition, 

be complementary because the system is 


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either operating in high compressor 

stage or boost compressor stage. 

However, the equation for the booster 

capacity load factor ‘‘Xk=3(Tj)’’ is 

erroneously set equal to the highcapacity load factor ‘‘Xk=2(Tj)’’ as 

opposed to the complementary value ‘‘1 

Xk=2(Tj).’’ Therefore, DOE is proposing 

to correct the booster capacity load 

factor equation to be defined as Xk=3(Tj) 

= 1 ¥ Xk=2(Tj). 

DOE seeks comment on its proposal to 

revise the calculation for booster 

capacity load factor equation for triplecapacity northern heat pumps. 

7. Heating Nominal Air Volume Rate for 

Variable-Speed Heat Pumps 

Appendix M1 includes procedures for 

calculating the heating capacity and 

power input for variable-speed heat 

pumps at various test conditions. The 

H1N test is used to calculate the nominal 

heating capacity of the system at 47 °F 

ambient temperature, whereas the H12

test is used to calculate maximum 

heating capacity at 47 °F and the H11

test is used to calculate minimum 

heating capacity at 47 °F. Section 3.1.4.7 

of appendix M1 requires that 

manufacturers must specify a heating 

nominal air volume rate for each 

variable-speed heat pump system and 

must provide instructions for setting the 

fan speed or controls. The heating fullload air volume rate is defined in 

section 3.1.4.4 of appendix M1, which 

ties the heating full-load air volume rate 

to the cooling full-load air volume rate 

and denotes static pressure 

requirements. However, in Table 14 to 

appendix M1 (which specifies heating 

mode test conditions for units having a 

variable-speed compressor), the H1N test 

(used for calculating nominal heating 

capacity at 47 °F) is erroneously 

specified as using the ‘‘Heating Fullload’’ air volume rate instead of the 

heating nominal air volume rate. 

Because the H1N test is intended to 

represent nominal heating capacity, 

DOE is proposing to amend Table 14 to 

specify the ‘‘heating nominal air volume 

rate’’ as defined in section 3.1.4.7 of 

appendix M1 as opposed to the ‘‘heating 

full-load air volume rate’’. As discussed 

in section I.B.2 of this NOPR, DOE is 

also proposing to amend the test 

provisions for variable-speed 

compressor systems with coil-only 

indoor units. The proposal mentioned 

in this section would only apply to 

variable-speed systems equipped with 

blower-coil indoor units, while variablespeed coil-only systems would be 

required to test using the heating fullload air volume rate at the H1N test 

condition. 

DOE requests comment on its 

proposal to specify heating nominal air 

volume rate as the air volume rate to be 

used for the H1N heating test for 

variable-speed heat pumps. 

8. Clarifications for HSPF2 Calculation 

Section 4.2 of appendix M1 contains 

methodologies for calculating HSPF2 for 

all heat pumps. DOE has identified an 

instance where additional instruction 

may be warranted to make clear the 

calculation procedure across different 

types of heat pump systems. DOE 

proposes to clarify the appropriate slope 

adjustment factor to be used in the 

calculation for building heating load 

(Equation 4.2–2). 

As written, Equation 4.2–2 refers to 

the heating load line slope adjustment 

factor ‘‘C’’, which varies by climate 

region according to Table 20. However, 

Table 20 includes both the ‘‘C’’ factor as 

well as a factor denoted ‘‘CVS’’—the 

variable-speed slope factor, which 

includes different coefficients that 

impact calculation of HSPF2. CVS is not 

explicitly referenced in the definitions 

surrounding Equation 4.2–2, therefor 

DOE is proposing to amend the language 

of that paragraph to indicate that the 

slope adjustment factor ‘‘C’’ should be 

used when calculating building heating 

load except for variable-speed 

compressor systems, where the variablespeed slope adjustment factor ‘‘CVS’’ 

should be used instead. 

DOE seeks comment on its proposal to 

clarify the calculation process for 

heating load line slope factor as it 

pertains to variable-speed heat pumps. 

9. Distinguishing Central Air 

Conditioners and Heat Pumps From 

Commercial Equipment 

EPCA defines ‘‘industrial equipment’’ 

as equipment of a type which, among 

other requirements, is not a covered 

product under section 6291(a)(2), i.e., 

not a covered consumer product. (42 

U.S.C.6311(2)(A)) Small, large, and very 

large commercial package air 

conditioning and heating equipment are 

included as types of covered industrial 

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

EPCA defines ‘‘central air 

conditioner’’ as a product, other than a 

packaged terminal air conditioner, 

which is powered by single phase 

electric current, is air-cooled, is rated 

below 65,000 Btu per hour, is not 

contained within the same cabinet as a 

furnace the rated capacity of which is 

above 225,000 Btu per hour, and is a 

heat pump or a cooling only unit. DOE 

understands that there are basic models 

that exists on the market that meet the 

central air conditioner definition but are 

exclusively distributed in commerce for 

commercial and industrial applications. 

In DOE’s view, there are certain types of 

equipment that meet the definition of 

CAC but that EPCA was not intended to 

regulate as consumer products. To 

clarify that any such model is not a 

central air conditioner, DOE proposes to 

revise the central air conditioner 

definition so that it explicitly excludes 

these equipment categories, similar to 

the way the definition excludes 

packaged terminal air conditioners and 

packaged terminal heat pumps. The 

exclusion for single-package vertical airconditioners and heat pumps would 

refer specifically to those models that 

could be confused with central air 

conditioners, i.e., those that are singlephase with capacity less than 65,000 

Btu/h, for which the test procedure 

notice of proposed rulemaking for 

single-package vertical air conditioners 

and heat pumps has proposed new 

definitions. 87 FR 2490, 2518 (January 

14, 2022). 

DOE emphasizes that the exclusion 

from the central air conditioner 

definition for a given model depends on 

whether it meets the definition for one 

of the excluded categories. For example, 

a model must meet the packaged 

terminal air conditioner definition to be 

considered to be a packaged terminal air 

conditioner. Suppose a model meets the 

characteristics listed in the central air 

conditioner definition, but otherwise 

has similarities to packaged terminal air 

conditioners. If such a model is not 

‘‘intended for mounting through the 

wall,’’ it would be missing a key 

characteristic of the packaged terminal 

air conditioner definition (see 10 CFR 

431.92), and, unless it met the definition 

for one of the other categories proposed 

to be excluded, it is considered a central 

air conditioner irrespective of whether it 

gets installed in a consumer or 

commercial building. 

10. Additional Test Procedure Revisions 

On May 8, 2019, AHRI submitted a 

comment responding to the notice of 

proposal to revise and adopt 

procedures, interpretations, and policies 

for consideration of new or revised 

energy conservation standards (2020 

Process Rule NOPR, 84 FR 3910, Feb. 

13, 2019). The comment included as 

Exhibit 2 a ‘‘List of Errors Found in 

appendix M and appendix M1’’ (‘‘AHRI 

Exhibit 2’’, EERE–2017–BT–STD–0062– 

0117 at pp. 23–24). Many of the errors 

pointed out by AHRI regard 

typographical errors in appendix M and 

appendix M1. DOE published a notice 

of corrections to appendices M and M1 

on December 2, 2021 (‘‘December 2021 

Corrections Notice’’). 86 FR 68389. The 

December 2021 Corrections Notice 


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addressed some of the ‘‘Errors’’ 

identified in AHRI Exhibit 2, but not all 

of them. DOE is proposing to address 

additional ‘‘Errors’’ identified in AHRI 

Exhibit 2 in this NOPR to improve 

accuracy and representativeness of the 

test procedures. 

a. Revisions Specific to Appendix M 

AHRI’s comment identified three 

areas of appendix M where they 

requested changes. These are detailed in 

Table III–2. Additionally, DOE has 

identified one transcription error in the 

December 2021 Corrections Notice 

related to changes made in section 3.6.4 

of appendix M. DOE is making 

corresponding revisions in this NOPR to 

correct that transcription error. 

TABLE III–2—AHRI-IDENTIFIED ERRORS TO APPENDIX M 

Section Original appendix M language AHRI comment summary Proposed change 

1.2 ...................... ‘‘Nominal cooling capacity is approximate to the air conditioner cooling capacity tested at A or A2 condition. 

Nominal heating capacity is approximate to the heat pump heating capacity tested in H12 test (or the optional H1N test)’’.

The H1N test is required in section 

3.6.4, and section 3.6.4 designates 

the H1N test—not the H12 test.

Remove the ‘‘Optional H1N test’’ and replace the ‘‘H12’’ with ‘‘H1N’’. 

4.1.4.2 ................ ................................................................ The EERk=1(Tj) should be EERk=2(Tj) 

because the coefficient ‘‘A’’ only utilizes the maximum speed temperature, T2.

Revise the formula to implement this 

change to EERk=2(Tj). 

4.2.c ................... ‘‘For a variable-speed heat pump, 

Qh

k(47) = Qhk=N(47), the space heating capacity determined from the H1N

test’’.

2017 and later versions of appendix M 

use Hk=2calc for all conditions, as explained in 3.6.4. This should not be 

an exception for the rest of the calculations.

Accurately implement the change intended by the December 2021 Corrections Notice. 

The following sections discuss 

proposed changes to the language of 

appendix M that DOE believes will 

improve clarity regarding how tests and 

calculations are to be conducted to 

determine capacity levels and efficiency 

metrics. 

i. Definition of Nominal Cooling 

Capacity 

AHRI commented that the definition 

of Nominal Cooling Capacity in Section 

1.2 of appendix M incorrectly references 

the H1N test as ‘‘optional.’’ AHRI 

claimed that, on the contrary, the H1N

test is required for heat pumps. DOE 

agrees with the AHRI comment, since 

Section 3.6.4, ‘‘Tests for a Heat Pump 

Having a Variable-Speed Compressor,’’ 

requires the H1N test. Therefore, DOE is 

proposing to revise the definition of 

‘‘Nominal Capacity’’ to remove the 

references to the H12 test in its entirety. 

Referring to the H1N test will avoid 

confusion. 

ii. Revising Energy Efficiency Ratio 

Equation at Intermediate Compressor 

Speed 

In section 4.1.4.2 of appendix M, 

there are a series of equations used to 

calculate EERk=i(Tj), the steady-state 

energy efficiency ratio of the test unit 

when operating at an intermediate 

compressor speed (k=i) for outdoor 

temperature Tj. This value is calculated 

using a quadratic equation: EERk=i(Tj) = 

A + B*Tj + C*Tj

2. These coefficients (A, 

B and C) are calculated by their own 

respective formulae. 

AHRI commented that the formula for 

the ‘‘A’’ coefficient has an error. 

Specifically, EERk=1(T2) in the equation 

should be EERk=2(T2) because the 

coefficient ‘‘A’’ only utilizes maximumspeed temperature T2. As described 

further in this section, DOE is proposing 

to revise this calculation such that it 

uses the intended ‘‘k=2’’. The use of 

‘‘k=2’’ is supported both by its 

appearance in ASHRAE 116–2010, 

‘‘Methods for Testing for Rating 

Seasonal Efficiency of Unitary Air 

Conditioners and Heat Pumps’’ (see 

page 25) and also in the DOE test 

procedure final rule that first 

established test methods for variablespeed systems. 49 FR 8304, 8316 (March 

14, 1987). 

iii. Clarification of Compressor Speed 

Limits in Heating Tests for Heat Pumps 

Having a Variable-Speed Compressor 

In the December 2021 Corrections 

Notice, DOE discussed corrections to 

the compressor speed limitations for the 

H1N heating mode test for both 

appendix M and appendix M1. 86 FR 

68389, 68390. However, when setting 

out the correcting language in the 

amendatory instruction for appendix M, 

the instructions erroneously directed to 

revise the fifth sentence of paragraph a 

to section 3.6.4, when the instructions 

were intended to revise the seventh 

sentence of the same paragraph. As 

currently printed, the text in paragraph 

a of section 3.6.4 to appendix M 

includes two sentences starting with 

‘‘for a cooling/heating heat pump . . .’’ 

that give conflicting instructions. 

Accordingly, DOE is proposing to revise 

this paragraph to reflect the intent of the 

December 2021 Corrections Notice and, 

by extension, the January 2017 Final 

Rule. 

b. Revisions Specific to Appendix M1 

AHRI’s comment identified one area 

of appendix M1 where they requested 

changes. This requested change is 

detailed in Table III–2. 


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TABLE III–3—AHRI-IDENTIFIED ERRORS TO APPENDIX M1 

Section Original appendix M1 language AHRI comment summary Proposed change 

4.2 ...................... Qh(47 °F): the heating capacity at 47 °F 

determined from the H2 H12 or H1N

test, Btu/h..

For variable speed heat pumps, the language should be clarified to Hk=2 calc..Revise the language to be clearer about 

what capacity to use for different 

types of heating-only heat pumps. 

The following sections discuss 

proposed changes to the language of 

appendix M1 that DOE believes will 

improve clarity regarding how tests and 

calculations are to be conducted to 

determine capacity levels and efficiency 

metrics. 

i. Detailed Descriptions of Capacity for 

Different Subcategories 

AHRI commented that in Section 4.2 

of appendix M1, which describes the 

calculation for HSPF2 for different 

subcategories of heat pumps, there is a 

lack of clarity in the term for heating 

capacity measured at 47 °F, ‘‘Qh(47 °F),’’ 

in Equation 2–2, the building load, 

‘‘BL(Tj),’’ equation. Currently, the 

description of Qh(47 °F) says that it is 

‘‘determined from the H, H12 or H1N

test.’’ Additionally, the first ‘‘H’’ is 

missing an additional character to 

specify the appropriate test point. DOE 

agrees with AHRI’s assessment of this 

description, and DOE is proposing to 

revise this description to include 

specific instructions for which test point 

is appropriate for different heat pump 

subcategories. DOE is proposing to 

specify that the H1 test is for a heat 

pump with a single-speed compressor, 

the H12 test is for a heat pump with a 

two-speed compressor, and the H1N test 

is for a heat pump with a variable-speed 

compressor. 

However, AHRI commented regarding 

a ‘‘Hk=2calc’’ term. DOE notes that this 

term does not exist in this section of 

appendix M1. While DOE is revising 

this section to add clarity in light of 

AHRI’s general comment, DOE will not 

be proposing to make the exact edit 

AHRI proposes. 

c. Revisions to Both Appendix M and 

Appendix M1 

AHRI’s comment claimed that there 

are two sections in both appendix M 

and appendix M1 that contain similar 

errors. These errors are detailed below 

in Table III–4. 

The following sections discuss 

proposed changes to the language of 

both appendix M and appendix M1 that 

DOE believes will improve clarity 

regarding how tests and calculations are 

to be conducted to determine capacity 

levels and efficiency metrics. 

i. Revising Part Load Factor Equation for 

Heat Pumps in Section 4.2.3.3 

AHRI’s comment claims that the part 

load factor (PLF) equation in section 

4.2.3.3 of both appendix M and 

appendix M1 contain two errors. The 

first error is that the equation is missing 

a closing square bracket, and the second 

is that the heating mode low-capacity 

load factor, ‘‘Xk=1(Tj),’’ is incorrectly 

referenced instead of the high-capacity 

load factor, ‘‘Xk=2(Tj).’’ DOE notes that 

this equation is actually correct in 

appendix M1. The high-capacity load 

factor is appropriate in this equation 

because section 4.2.3.3 applies to heat 

pumps that only operate at high (k=2) 

compressor capacity. Therefore, the 

high-capacity load factor should be used 

in this case for the part load factor. DOE 

is proposing to revise this formula in 

appendix M to include the closing 

square bracket and to use the highcapacity load factor. 

ii. Revising the Ratio of Electrical 

Energy Used for Resistive Space Heating 

Equation in Section 4.2.3.4 

AHRI has identified an error in the 

equation for electrical energy consumed 

by the heat pump for electric resistance 

auxiliary heating for bin temperature, Tj

divided by the total number of hours in 

the heating season, ‘‘RH(Tj)/N,’’ used in 

section 4.2.3.4 of both appendix M and 

appendix M1. AHRI indicated that the 

equation used in section 4.2.3.4 


khammond on DSKJM1Z7X2PROD with PROPOSALS2EP24MR22.000</GPH>

T a e bl III -4 : AHRI -Id en ff' 11e d E rrors m ' B 0 th A ,ppen d' 1x M an dA ,nnen d' 1x Ml 

Section Original Appendix M and AHRI Comment Proposed Change 

Appendix M 1 Language Summary 

4.2.3.3 PLFj = 1 - Coh(k= 2) * [1 The trailing square Add the square 

- xk=l(Tj) bracket"]" is bracket and revise 

missing and the equation in 

"xk=1(Tj)" should appendix M. 1 

be "xk=2(Tj)" 

4.2.3.4 RH(Tj) ( ) [Q~=2 (1⁄2) * 8'(1⁄2)] nj The multiplication Revise the equation --=(BLT-* *-

N 1 3.413:~ N operator between to have the 

BL(Tj) and the subtraction 

square bracket 

should be 

subtraction 

1The equation is correct in section 4.2.3.3 of appendix Ml. 
Federal Register / Vol. 87, No. 57 / Thursday, March 24, 2022 / Proposed Rules 16847 

includes a multiplication operator 

where it should have subtraction. The 

subtraction operator is consistent with 

all other instances of RH(Tj)/N in both 

appendix M and appendix M1. DOE 

agrees that the equation for RH(Tj)/N in 

section 4.2.3.4 of both appendix M and 

appendix M1 is incorrect, and therefore 

DOE is proposing to revise this equation 

to include the subtraction operator 

rather than a multiplication operator. 

DOE requests comments on the 

proposals to implement the correcting 

revisions described in this section. 

D. Other Representation Proposed 

Revisions 

Manufacturers, including importers, 

must use product-specific certification 

templates to certify compliance to DOE. 

For CAC/HPs, the certification template 

reflects the general certification 

requirements specified at 10 CFR 429.12 

and the product-specific requirements 

specified at 10 CFR 429.16. As 

discussed in the previous paragraphs, 

DOE is not making any proposals 

related to certification requirements in 

this rulemaking and any such changes 

may be addressed in a future 

rulemaking. 

1. Required Represented Values for 

Models Certified Compliant With 

Regional Standards 

DOE’s standards for CAC at 10 CFR 

430.32(c) include both amended 

national standards with which 

compliance is required for models 

manufactured on or after January 1, 

2023, and amended regional standards 

with which compliance is required for 

units installed on or after January 1, 

2023. See 10 CFR 430.32(c)(5)–(6). In 

addition, as discussed in section III.B.3, 

DOE’s regulations at 10 CFR 429.16 

describe certification requirements for 

central air conditioners and central air 

conditioning heat pumps, and 

paragraph (a)(1) of this section requires 

single-split CACs with single-stage or 

two-stage compressors, at a minimum, 

to rate each outdoor model as part of a 

coil-only combination representative of 

the least efficient combination 

distributed in commerce with that 

particular outdoor unit. 

On December 16, 2021, DOE issued 

final guidance regarding whether a 

model of outdoor unit for a single-splitsystem AC with single-stage or twostage compressor whose coil-only rating 

under M1 does not meet regional 

standards, but where certain blower-coil 

combinations that include the outdoor 

model do meet regional standards, can 

be installed in the SE or SW region. 

DOE’s guidance states that ‘‘In order to 

be installed in the SE or SW region, the 

outdoor unit must have at least one coilonly combination that is compliant with 

the regional standard applicable at the 

time of installation.’’ 

As background, DOE notes that it 

finalized provisions related to this issue 

in a June 2016 Test Procedure Final 

Rule (81 FR 36992, June 8, 2016) with 

minor revisions in a January 2017 Test 

Procedure Final Rule (82 FR 1426, 

January 5, 2017); a July 2016 

Enforcement Final Rule (81 FR 45387, 

July 14, 2016); and a January 2017 

Energy Conservation Standards Direct 

Final Rule (82 FR 1786, January 6, 

2017). These provisions were based on 

consensus recommendations by two 

ASRAC Working Groups—a Regional 

Standards Enforcement Working Group 

(‘‘Enforcement WG’’) that concluded on 

October 24, 2014 (See final report: 

Docket No. EERE–2011–BT–CE–0077, 

No. 70), and a Central Air Conditioner 

and Heat Pump Energy Conservation 

Standards Working Group (‘‘ECS WG’’) 

that concluded on January 19, 2016 (See 

term sheet: Docket No. EERE–2014–BT– 

STD–0048, No. 76). 

The July 2016 Enforcement Final Rule 

adopted several provisions of relevance 

here, with a focus on enforcement of the 

existing energy conservation standards: 

• 10 CFR 429.102(c)(4) contains 

provisions regarding what a ‘‘product 

installed in violation’’ includes, 

specifying, among other things: ‘‘(i) A 

complete central air conditioning 

system that is not certified as a complete 

system that meets the applicable 

standard. Combinations that were 

previously validly certified may be 

installed after the manufacturer has 

discontinued the combination, provided 

the combination meets the currently 

applicable standard. . . . [and] (iii) An 

outdoor unit that is part of a certified 

combination rated less than the 

standard applicable in the region in 

which it is installed.’’ 81 FR 45387, 

45393–45394. 

• 10 CFR 429.158(a) specifies that if 

DOE determines a model of outdoor unit 

fails to meet the applicable regional 

standard(s) when tested in a 

combination certified by the same 

manufacturer, then the outdoor unit 

basic model will be deemed 

noncompliant with the regional 

standard(s). 81 FR 45387, 45397. 

• 10 CFR 430.32(c)(3)–(4) provides 

that any outdoor unit model that has a 

certified combination with a rating 

below 14 SEER cannot be installed in 

either the southern or southwest region. 

81 FR 45387, 45391. 

The June 2016 TP Final Rule adopted 

several certification provisions of 

relevance here, with a focus on the 

amended energy conservation standards 

recommended by the ECS WG. In 

particular, the June 2016 TP Final Rule 

noted that the ECS WG recommended 

energy conservation standards for 

central air conditioners based on coilonly ratings. 81 FR 36992, 37002. (June 

8, 2016). The recommended standard 

levels for split system air conditioners 

may very well have been higher if they 

had been based on blower-coil ratings. 

For example, the recommended 

standard levels for split system heat 

pumps, which are based on blower-coil 

ratings, are approximately one point 

higher than those for split system air 

conditioners. 

In addition, the ECS WG 

recommended that DOE implement the 

requirement that every single-split air 

conditioner combination distributed in 

commerce must be rated, and that every 

single-stage and two-stage condensing 

(outdoor) unit distributed in commerce 

(other than a condensing unit for a 1-to1 mini split) must have at least 1 coilonly rating that is representative of the 

least efficient coil distributed in 

commerce with a particular condensing 

unit. Every condensing unit distributed 

in commerce must have at least 1 tested 

combination, and for single-stage and 

two-stage condensing units (other than 

condensing units for a 1-to-1 mini split) 

this must be a coil-only combination. 

(Docket No. EERE–2014–BT–STD–0048, 

No. 76, Recommendation #7) In the June 

2016 Final Rule, DOE adopted these 

recommendations along with regional 

limitations for represented values of 

individual combinations: 

• 10 CFR 429.16(a)(1) contains 

provisions for required represented 

values, stating that for single-split 

system AC with single-stage or twostage compressor, every individual 

combination distributed in commerce 

must be rated as a coil-only 

combination. For each model of outdoor 

unit, this must include at least one coilonly value that is representative of the 

least efficient combination distributed 

in commerce with that particular model 

of outdoor unit. Additional blower-coil 

representations are allowed for any 

applicable individual combinations, if 

distributed in commerce. 81 FR 36992, 

37002. 

• 10 CFR 429.16(b)(2)(i) specifies that 

for each basic model of single-split 

system AC with single-stage or twostage compressor, the model of outdoor 

unit must be tested with a model of coilonly indoor unit. 81 FR 36992, 37002. 

• 10 CFR 429.16(a)(4)(i) [as modified 

in the January 2017 TP Final Rule] 

states that a basic model may only be 

certified as compliant with a regional 

standard if all individual combinations 

within that basic model meet the 


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16848 Federal Register / Vol. 87, No. 57 / Thursday, March 24, 2022 / Proposed Rules 

regional standard for which it is 

certified, and that a model of outdoor 

unit that is certified below a regional 

standard can only be rated and certified 

as compliant with a regional standard if 

the model of outdoor unit has a unique 

model number and has been certified as 

a different basic model for distribution 

in each region. 81 FR 36992, 37012 [as 

10 CFR 429.16(a)(3)(i)]; 82 FR 1426. 

DOE notes that the July 2016 

Enforcement Final Rule stated that the 

adopted provisions in 10 CFR 

430.32(c)(3)–(4) were meant to be 

complementary to the regional 

limitations adopted in the June 2016 TP 

Final Rule at 10 CFR 429.16(a)(3)(i) 

[now 10 CFR 429.16(a)(4)(i)]. 81 FR 

45387, 45391. In the January 2017 CAC 

DFR, DOE adopted additional language 

in 10 CFR 430.32 relevant to the 

amended standards: 

• 10 CFR 430.32(c)(6)(ii) provides 

that any outdoor unit model that has a 

certified combination with a rating 

below the applicable standard level(s) 

for a region cannot be installed in that 

region. The least-efficient combination 

of each basic model must comply with 

this standard. 82 FR 1786, 1857. 

Finally, DOE notes that the general 

enforcement provisions in Subpart C to 

part 429 also apply to CAC standards 

(both national and regional), including: 

• 10 CFR 429.102(a)(1), specifying 

that the failure of a manufacturer to 

properly certify covered products in 

accordance with 10 CFR 429.12 and 

429.14 through 429.62 is a prohibited 

act subject to enforcement action. 

Taken together, the regional 

standards, certification, and 

enforcement provisions require that, in 

order to comply with a regional 

standard, the least efficient combination 

of each basic model must comply. 10 

CFR 430.32(c)(6)(ii). Further, each basic 

model of single-split system AC with 

single-stage or two-stage compressor 

must include a represented value for a 

coil-only combination representative of 

the least efficient combination 

distributed in commerce with the model 

of outdoor unit, and each model of 

outdoor unit must be tested with a 

model of coil-only indoor unit. (10 CFR 

429.16(a)(1) and 429.16(b)(2)(i)). While 

manufacturers can create a regionalspecific basic model under 10 CFR 

429.16(a)(4)(i), such a basic model must 

still be certified properly according to 

the other provisions in that section. As 

such, in order to comply with a regional 

standard, a regional-specific basic 

model of single-split system AC with 

single-stage or two-stage compressor 

must include at least one coil-only 

combination that complies with the 

regional standard. Failure to certify a 

regional-specific basic model according 

to the provisions in 10 CFR 429.16(a)(1) 

and 429.16(b)(2)(i) is a prohibited act 

under 10 CFR 429.102(a)(1). 

Similarly, while 10 CFR 

429.102(c)(4)(i) states that combinations 

that were previously validly certified 

may be installed after the manufacturer 

has discontinued the combination, 

provided the combination meets the 

currently applicable standard. The 

provision at 10 CFR 429.102(c)(4)(i) was 

designed to allow sell-through of 

inventory that manufacturers had 

discontinued for reasons other than 

non-compliance with a regional 

standard. 81 FR 45387, 45393. It was not 

intended, nor in the light of all other 

provisions can it be read, as allowing 

installation of models of outdoor unit 

that do not comply with the applicable 

regional standard at the time of 

installation (i.e., have no combinations 

of coil-only units that comply with the 

amended regional standards, which, as 

stated previously, were developed based 

on coil-only ratings). 

Based on this background, the CAC 

regional guidance states in part: 

In general, a basic model may be 

certified as compliant with a regional 

standard (and, as of January 1, 2023, 

meets the applicable amended regional 

standard) only if all individual 

combinations within that basic model 

meet the regional standard for which it 

is certified. All individual model 

combinations within a basic model must 

include, for single-split-system AC with 

single-stage or two-stage compressor 

(including space-constrained and SDHV 

systems), a coil-only combination 

representative of the least-efficient 

combination in which the specific 

outdoor unit is distributed in commerce. 

See 10 CFR 429.16(a)(1); 429.16(a)(4)(i); 

430.32(c)(6). 

A manufacturer may sell an outdoor 

unit of identical design in the SE and 

SW regions, if the manufacturer 

separates the basic model (i.e. outdoor 

unit model) into different basic models 

with unique model numbers for 

distribution in each region, provided 

that the basic models for the SE and SW 

regions: (1) Do not include any 

individual combinations that are not 

compliant with the regional standard 

applicable at the time of installation; 

and (2) include at least one coil-only 

combination that is representative of the 

least-efficient combination in which the 

specific outdoor unit is distributed in 

commerce. Id. 

DOE notes that the install-through 

provisions in 10 CFR 429.102(c)(4)(i) 

allows existing stock of discontinued 

basic model combinations to be 

installed in the SE or SW regions as long 

as they were previously validly certified 

as compliant to the regional standards 

applicable at the time of installation. 

DOE further notes that the term 

‘‘previously validly certified’’ means 

that all combinations within the basic 

model must show compliance with the 

regional standard applicable at the time 

of installation, including, for singlesplit-system AC with single-stage or 

two-stage compressor (including spaceconstrained and SDHV systems), a coilonly combination representative of the 

least-efficient combination in which the 

specific outdoor unit is distributed in 

commerce, in order for the installthrough provisions to apply. 

DOE proposes to add additional 

direction to the regulatory text in 10 

CFR 429.16(a)(1) and (a)(4)(i), 10 CFR 

429.102(c)(4)(i) and (iii), and 10 CFR 

430.32(c)(6)(ii) to more explicitly crossreference the existing regulatory text to 

clarify the interplay of the existing 

requirements and reinforce the 

guidance. 

In addition, DOE notes that the table 

in 10 CFR 429.16(a)(1) states that the 

required coil-only value must be 

‘‘representative of the least efficient 

combination distributed in commerce 

with that particular model of outdoor 

unit’’ (emphasis added). Sections 

429.140 through 429.158 provide 

enforcement procedures specific to 

regional standards, 10 CFR 429.142 

includes records retention of 

information regarding sales of outdoor 

units, indoor units, and single-package 

units, and 10 CFR 429.144 specifies 

requirements for records requests. When 

determining if a model of indoor unit is 

distributed in commerce with a 

particular model of outdoor unit, DOE 

may review catalogs, product literature, 

installation instructions, and 

advertisements, and may also request 

sales records. 

Finally, 10 CFR 429.158 discusses 

products determined noncompliant 

with regional standards. Paragraphs (a) 

and (b) cross-reference 10 CFR 

429.102(c), stating that the certifying 

manufacturer is liable for distribution of 

noncompliant units in commerce. DOE 

notes that 10 CFR 429.102(c) refers to 

distributors, contractors, and dealers, 

while 10 CFR 429.102(a)(10) states that 

it is prohibited ‘‘for any manufacturer or 

private labeler to knowingly sell a 

product to a distributor, contractor, or 

dealer with knowledge that the entity 

routinely violates any regional standard 

applicable to the product.’’ Therefore, 

DOE proposes that 10 CFR 429.158(a)– 

(b) cross-reference 10 CFR 

429.102(a)(10) rather than 10 CFR 

429.102(c). 


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DOE requests comment on its 

proposals to the regulatory text in 10 

CFR part 429, and in particular, whether 

they clarify the requirements and align 

with DOE’s issued guidance or whether 

additional clarification is needed. 

E. Test Procedure Costs and Impact 

As discussed, DOE’s existing test 

procedures for CAC/HPs appear at 

appendix M and appendix M1 (both 

titled ‘‘Uniform Test Method for 

Measuring the Energy Consumption of 

Central Air Conditioners and Heat 

Pumps’’). In this NOPR, DOE proposes 

to amend the existing test procedure for 

CACs and HPs to provide additional 

detail and instruction to ensure the 

representativeness of the test procedure 

and to reduce potential burden. As 

discussed, DOE is proposing limited 

amendments to appendix M1, which is 

the required test procedure beginning 

January 1, 2023. 

DOE has tentatively determined that 

the proposed amendments in this NOPR 

would improve the representativeness, 

accuracy, and reproducibility of the test 

results, and they would not be unduly 

burdensome for manufacturers to 

conduct or result in increased testing 

cost as compared to the current test 

procedure. 

The proposed amendment to the wet 

bulb temperature maximum for the 5 °F 

ambient temperature condition, 

discussed in section III.C.2, would 

amend the condition from 3 °F to 4 °F. 

This change is proposed based, in part, 

on feedback from manufacturers that the 

proposed change to 4 °F would be easier 

to achieve than 3 °F. As such, DOE does 

not anticipate that this provision would 

increase the burden of conducting 

testing under appendix M1. 

With regards to the additional test 

procedure proposals introduced in 

sections III.B and III.C of this NOPR, 

DOE does not believe that these will 

cause manufacturers to incur any 

additional test procedure costs. The 

proposals to (a) define revised fan 

wattages for low-stage testing of twostage coil-only units, and (b) revise the 

equations for full-capacity operation of 

variable-speed heat pumps at and above 

45 °F affect calculations rather than 

testing. The proposals for variable-speed 

coil-only air conditioners and heat 

pumps provide instructions for testing 

such models that are currently the 

subject of test procedure waivers. The 

proposals to (a) revise text regarding 

variation of fan speed with ambient 

temperature, (b) explicitly indicate that 

the airflow measurement apparatus fan 

should be adjusted to maintain constant 

airflow for certain models, and (c) 

clarify that the instructions on a label 

affixed to the unit take precedence over 

the instructions shipped with the unit 

provide additional instruction to 

improve consistency of testing but 

would not increase either the number of 

tests or the duration of tests. Finally, the 

proposed changes in 10 CFR part 429 

neither modify the test procedure nor 

increase the number of units that would 

be required to be tested. Thus, DOE does 

not anticipate these additional 

procedures would cause any increased 

test procedure costs. 

F. Compliance Date and Waivers 

EPCA prescribes that, if DOE amends 

a test procedure, all representations of 

energy efficiency and energy use, 

including those made on marketing 

materials and product labels, must be 

made in accordance with that amended 

test procedure, beginning 180 days after 

publication of such a test procedure 

final rule in the Federal Register. (42 

U.S.C. 6293(c)(2)) 

If DOE were to publish an amended 

test procedure EPCA provides an 

allowance for individual manufacturers 

to petition DOE for an extension of the 

180-day period if the manufacturer may 

experience undue hardship in meeting 

the deadline. (42 U.S.C. 6293(c)(3)) To 

receive such an extension, petitions 

must be filed with DOE no later than 60 

days before the end of the 180-day 

period and must detail how the 

manufacturer will experience undue 

hardship. (Id.) 

Upon the compliance date of test 

procedure provisions of an amended 

test procedure, should DOE issue a such 

an amendment, any waivers that had 

been previously issued and are in effect 

that pertain to issues addressed by such 

provisions are terminated. 10 CFR 

430.27(h)(3). Recipients of any such 

waivers would be required to test the 

products subject to the waiver according 

to the amended test procedure as of the 

compliance date of the amended test 

procedure. The amendments proposed 

in this document pertain to issues 

addressed by waivers granted to GD 

Midea Heating and Ventilating 

Equipment Co., (83 FR 56065, Case No. 

2017–013), and TCL AC (84 FR 11941, 

Case No. 2018–009); and interim 

waivers granted to Aerosys (83 FR 

24762, Case No. 2017–008), LG 

Electronics (85 FR 40272, Case No. 

2019–008), and Goodman (86 FR 40534, 

Case No. 2021–001). To the extent such 

waivers and interim waivers permit the 

petitioner to test according to an 

alternate test procedure to appendix M, 

such waivers and interim waivers will 

terminate on the date testing is required 

according to appendix M1 (i.e., January 

1, 2023), independent of this 

rulemaking. To the extent that such 

waivers and interim waivers permit the 

petitioner to test according to an 

alternate test procedure to appendix M1 

at such time as testing is required 

according to appendix M1, such waivers 

and interim waivers would terminate on 

January 1, 2023, if the amendments in 

this NOPR are adopted as proposed. 

DOE notes that the waiver issued to 

Johnson Controls (83 FR 12735, Case 

No. CAC–051; 84 FR 52489, Case No. 

CAC–050) and interim waiver granted to 

National Comfort Products (83 FR 

24754, Case No. 2017–008) will 

terminate on January 1, 2023, the date 

beginning which testing according to 

appendix M1 is required, independent 

of this NOPR. 

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 (‘‘E.O.’’) 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 procedures and 

policies published on February 19, 

2003. DOE certifies that the proposed 

rule, if adopted, would not have 

significant economic impact on a 

substantial number of small entities. 


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16850 Federal Register / Vol. 87, No. 57 / Thursday, March 24, 2022 / Proposed Rules 

21The size standards are listed by NAICS code 

and industry description and are available at: 

www.sba.gov/document/support—table-sizestandards (Last accessed on October 1, 2021). 22 DOE’s Compliance Certification Database is 

available at: www.regulations.doe.gov/ccms (last 

accessed October 11, 2021). 23The AHRI Database is available at: 

www.ahridirectory.org/ (last accessed October 1, 

2021). 

24California Energy Commission’s MAEDbS is 

available at cacertappliances.energy.ca.gov/Pages/ 

ApplianceSearch.aspx (last accessed October 1, 

2021). 

25The ENERGY STAR Product Finder database is 

available at energystar.gov/productfinder/ (last 

accessed September 22, 2021). 

26 app.dnbhoovers.com. 

The factual basis of this certification is 

set forth in the following paragraphs. 

Under 42 U.S.C. 6293, the statute sets 

forth the criteria and procedures DOE 

must follow when prescribing or 

amending test procedures for covered 

products. EPCA requires that any test 

procedures prescribed or amended 

under this section must be reasonably 

designed to produce test results which 

measure energy efficiency, energy use or 

estimated annual operating cost of a 

covered product during a representative 

average use cycle or period of use and 

not be unduly burdensome to conduct. 

(42 U.S.C. 6293(b)(3)) 

DOE is proposing a limited number of 

amendments to the test procedure for 

central air conditioners and heat pumps 

(‘‘CAC/HPs’’) to address specific issues 

that have been raised in test procedure 

waivers regarding appendix M1 to 

subpart B of 10 CFR part 430. 

In this NOPR, DOE proposes the 

following updates to the test procedure 

for CACs/HPs: 

1. Update default fan power for coilonly CACs and HPs that can utilize 

different fan speeds and the 75% 

intermediate airflow. 

2. Define ‘‘Communicating Variablespeed Coil-only Central Air Conditioner 

or Heat Pump’’ and prescribing an 

appropriate test procedure. 

3. Add the control system capability 

to adjust air volume rate as a function 

of outdoor air temperature for blower 

coil systems with multiple-speed or 

variable-speed indoor fans. 

4. Amend the wet bulb test condition 

for the 5 °F dry, outdoor ambient test to 

have a 4 °F maximum. 

5. Add direction to prioritize the 

instructions presented in the label 

attached to the unit over the 

instructions included in the installation 

instructions shipped with the unit. 

6. Add specific instruction to adjust 

the exhaust fan speed to achieve a 

constant cooling full-load air volume 

rate through the airflow measurement 

apparatus. 

7. Revise the equations representing 

full-capacity performance of variablespeed heat pumps for the temperature 

range above 45 °F to be more consistent 

with field operation. 

8. Providing additional direction 

regarding the regional standard 

requirements in 10 CFR part 429. 

For manufacturers of CACs/HPs, the 

Small Business Administration (‘‘SBA’’) 

has set a size threshold, which defines 

those entities classified as ‘‘small 

businesses’’ for the purposes of the 

statute. DOE used the SBA’s small 

business size standards to determine 

whether any small entities would be 

subject to the requirements of the rule. 

See 13 CFR part 121. The equipment 

covered by this rule is classified under 

North American Industry Classification 

System (‘‘NAICS’’) code 333415,21 ‘‘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 identified manufacturers using 

DOE’s Compliance Certification 

Database (‘‘CCD’’),22 the AHRI 

database,23 the California Energy 

Commission’s Modernized Appliance 

Efficiency Database System 

(‘‘MAEDbS’’),24 the ENERGY STAR 

Product Finder database,25 and the prior 

CAC/HP rulemakings. DOE used the 

publicly available information and 

subscription-based market research 

tools (e.g., reports from Dun & 

Bradstreet 26) to identify 33 original 

equipment manufacturers (‘‘OEMs’’) of 

the covered equipment. Of the 33 OEMs, 

DOE identified eight domestic 

manufacturers of CACs/HPs that meet 

the SBA definition of a ‘‘small 

business.’’ 

This NOPR proposes amendments to 

the test procedure for CAC/HP for 

which compliance is not required until 

January 1, 2023. As discussed in more 

detail in section III.E of this document, 

DOE has initially determined that the 

proposed amendments to the test 

procedure would not require retesting or 

re-rating, with the potential exception of 

variable-speed coil-only units. While 

DOE believes the variable-speed coilonly units will be isolated to a very 

small fraction of models distributed in 

commerce (i.e., less than 1 percent 

based on manufacturer representations 

in DOE’s current Compliance 

Management Database), a manufacturer 

will have need to ensure their 

representations are made in accordance 

with these amendments if finalized. 

DOE notes that none of the variablespeed coil-only basic models certified 

currently with DOE are manufactured 

by small manufacturers. Additionally, 

the test procedure amendments would 

not result in any change in burden 

associated the DOE test procedure for 

CACs/HP. Therefore, DOE initially 

concludes that the test procedure 

amendments proposed in this NOPR 

would not have a ‘‘significant economic 

impact on a substantial number of small 

entities,’’ and that the preparation of an 

IRFA is not warranted. DOE will 

transmit the certification and supporting 

statement of factual basis to the Chief 

Counsel for Advocacy of the Small 

Business Administration for review 

under 5 U.S.C. 605(b). DOE welcomes 

comment on the Regulatory Flexibility 

certification conclusion. 

C. Review Under the Paperwork 

Reduction Act of 1995 

Manufacturers of CAC/HP 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 CACs/HPs. (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. 

D. Review Under the National 

Environmental Policy Act of 1969 

In this NOPR, DOE proposes test 

procedure amendments that it expects 

will be used to develop and implement 

future energy conservation standards for 

CAC/HP. DOE has determined that this 

proposed rule falls into a class of 

actions that are categorically excluded 

from review under the National 


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Environmental Policy Act of 1969 (42 

U.S.C. 4321 et seq.) and DOE’s 

implementing regulations at 10 CFR part 

1021. Specifically, DOE has determined 

that adopting test procedures for 

measuring energy efficiency of 

consumer products and industrial 

equipment is consistent with activities 

identified in 10 CFR part 1021, 

appendix A to subpart D, A5 and A6. 

Accordingly, neither an environmental 

assessment nor an environmental 

impact statement is required. 

E. Review Under Executive Order 13132 

Executive Order 13132, ‘‘Federalism,’’ 

64 FR 43255 (Aug. 4, 1999) imposes 

certain requirements on agencies 

formulating and implementing policies 

or regulations that preempt State law or 

that have federalism implications. The 

Executive order requires agencies to 

examine the constitutional and statutory 

authority supporting any action that 

would limit the policymaking discretion 

of the States and to carefully assess the 

necessity for such actions. The 

Executive order also requires agencies to 

have an accountable process to ensure 

meaningful and timely input by State 

and local officials in the development of 

regulatory policies that have federalism 

implications. On March 14, 2000, DOE 

published a statement of policy 

describing the intergovernmental 

consultation process it will follow in the 

development of such regulations. 65 FR 

13735. DOE 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 

http://energy.gov/gc/office-generalcounsel. 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 proposed 

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). Pursuant to OMB 

Memorandum M–19–15, Improving 

Implementation of the Information 

Quality Act (April 24, 2019), DOE 

published updated guidelines which are 

available at www.energy.gov/sites/prod/ 

files/2019/12/f70/DOE%20Final%

20Updated%20IQA%

20Guidelines%20Dec%.pdf. 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 

Statement of Energy Effects for any 

proposed significant energy action. A 


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27 DOE has historically provided a 75-day 

comment period for test procedure NOPRs pursuant 

to the North American Free Trade Agreement, U.S.- 

Canada-Mexico (‘‘NAFTA’’), Dec. 17, 1992, 32 

I.L.M. 289 (1993); the North American Free Trade 

Agreement Implementation Act, Public Law 103– 

182, 107 Stat. 2057 (1993) (codified as amended at 

10 U.S.C.A. 2576) (1993) (‘‘NAFTA Implementation 

Act’’); and Executive Order 12889, ‘‘Implementation 

of the North American Free Trade Agreement,’’ 58 

FR 69681 (Dec. 30, 1993). However, on July 1, 2020, 

the Agreement between the United States of 

America, the United Mexican States, and the United 

Canadian States (‘‘USMCA’’), Nov. 30, 2018, 134 

Stat. 11 (i.e., the successor to NAFTA), went into 

effect, and Congress’s action in replacing NAFTA 

through the USMCA Implementation Act, 19 U.S.C. 

4501 et seq. (2020), implies the repeal of E.O. 12889 

and its 75-day comment period requirement for 

technical regulations. Thus, the controlling laws are 

EPCA and the USMCA Implementation Act. 

Consistent with EPCA’s public comment period 

requirements for consumer products, the USMCA 

only requires a minimum comment period of 60 

days. Consequently, DOE now provides a 60-day 

public comment period for test procedure NOPRs. 

‘‘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 CAC/HPs 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 modifications to the 

test procedure for CACs/HPs would 

maintain the incorporation of testing 

methods contained in certain sections of 

the following commercial standards: 

ANSI/AHRI 210/240–2008 with 

Addenda 1 and 2, (‘‘AHRI 210/240– 

2008’’): 2008 Standard for Performance 

Rating of Unitary Air-Conditioning & 

Air-Source Heat Pump Equipment, 

ANSI approved October 27, 2011; ANSI/ 

AHRI 1230–2010 with Addendum 2, 

(‘‘AHRI 1230–2010’’): 2010 Standard for 

Performance Rating of Variable 

Refrigerant Flow (VRF) Multi-Split AirConditioning and Heat Pump 

Equipment, ANSI approved August 2, 

2010; ANSI/ASHRAE 23.1–2010, 

(‘‘ASHRAE 23.1–2010’’): Methods of 

Testing for Rating the Performance of 

Positive Displacement Refrigerant 

Compressors and Condensing Units that 

Operate at Subcritical Temperatures of 

the Refrigerant, ANSI approved January 

28, 2010; ANSI/ASHRAE Standard 37– 

2009, (‘‘ANSI/ASHRAE 37–2009’’), 

Methods of Testing for Rating 

Electrically Driven Unitary AirConditioning and Heat Pump 

Equipment, ANSI approved June 25, 

2009; ANSI/ASHRAE 41.1–2013, 

(‘‘ANSI/ASHRAE 41.1–2013’’): Standard 

Method for Temperature Measurement, 

ANSI approved January 30, 2013; ANSI/ 

ASHRAE 41.6–2014, (‘‘ASHRAE 41.6– 

2014’’): Standard Method for Humidity 

Measurement, ANSI approved July 3, 

2014; ANSI/ASHRAE 41.9–2011, 

(‘‘ASHRAE 41.9–2011’’): Standard 

Methods for Volatile-Refrigerant Mass 

Flow Measurements Using Calorimeters, 

ANSI approved February 3, 2011; ANSI/ 

ASHRAE 116–2010, (‘‘ASHRAE 116– 

2010’’): Methods of Testing for Rating 

Seasonal Efficiency of Unitary Air 

Conditioners and Heat Pumps, ANSI 

approved February 24, 2010; ANSI/ 

ASHRAE 41.2–1987 (Reaffirmed 1992), 

(‘‘ASHRAE 41.2–1987 (RA 1992)’’): 

‘‘Standard Methods for Laboratory 

Airflow Measurement’’, ANSI approved 

April 20, 1992; and ANSI/AMCA 210– 

2007, ANSI/ASHRAE 51–2007, (‘‘AMCA 

210–2007’’) Laboratory Methods of 

Testing Fans for Certified Aerodynamic 

Performance Rating, ANSI approved 

August 17, 2007. 

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 

it was 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 

The following standard was 

previously approved for incorporation 

by reference in appendix M1 where it 

appears and no change is proposed: 

ANSI/ASHRAE Standard 37–2009, 

Methods of Testing for Rating 

Electrically Driven Unitary AirConditioning and Heat Pump 

Equipment, ANSI approved June 25, 

2009; 

V. Public Participation 

A. 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.27 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 


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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 on 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 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). 

B. 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: 

(1) DOE requests comment on its 

proposal to specify a reduced default 

fan power coefficient and default fan 

heat coefficient at part-load airflows in 

the calculations of SEER2 and HSPF2 

for ducted two-stage coil-only systems. 

DOE requests comment on the specific 

default fan power coefficients and 

default fan heat coefficients proposed. If 

the proposed values are not appropriate, 

DOE seeks data to support selection of 

alternative values. Additionally, DOE 

requests comment on whether a single 

default fan power coefficient (and 

default fan heat coefficient) should be 

used for each product class group 

regardless of the actual air volume rate 

used for low-stage tests, or whether one 

of the alternative approaches discussed 

in the NOPR should be considered, or 

any other alternative. If an alternative 

approach should be used, DOE requests 

details indicating how such an 

alternative should be implemented, and 

justification for its use rather than the 

proposed approach. See section III.B.1. 

(2) DOE requests comment on its 

proposals related to test procedures for 

variable-speed coil-only CAC/HPs and 

on its proposed definitions for variablespeed communicating and noncommunicating coil-only CAC/HPs. See 

section III.B.2. 

(3) DOE requests comment on its 

proposal to clarify the language for 

required represented values of coil-only 

CACs found in the table at 10 CFR 

429.16(a)(1). See section III.B.3. 

(4) DOE requests comment on its 

planned approach to require the coilonly rating requirement for spaceconstrained air conditioners and heat 

pumps. DOE requests shipment and/or 

installation data for space-constrained 

systems to clarify the characteristics of 

representative installations. See section 

III.B.3. 

(5) DOE requests comments on its 

proposal to add language clarifying how 

to implement variation of blower speed 

for different ambient temperature test 

conditions. See section III.C.1. 

(6) DOE seeks comment on its 

proposal to amend the wet bulb 

temperature condition for the H4 

heating tests from the existing 3 °F 

maximum temperature to a maximum 

temperature of 4 °F. See section III.C.2. 

(7) DOE requests comment on the 

proposed alignment of the VRF and 

non-VRF test procedures when it comes 

to instruction precedence. See section 

III.C.3. 

(8) DOE requests comment on its 

proposal to add more specific direction 

to step 7 of sections 3.1.4.1.1, 3.1.4.2, 

and 3.1.4.4.3. See section III.C.4. 

(9) DOE requests comment on the 

proposed change to the full-capacity 

performance equations for variablespeed heat pumps in the ambient 

temperature range above 45 °F, adjusting 

the equations for capacity and power by 

the ratio of capacity and power, 

respectively, associated with H1N and 

H12 operation. See section III.C.5. 

(10) DOE requests comment on its 

proposals to the regulatory text in 10 

CFR part 429. See section III.D.1. 

C. Participation in the Webinar 

The time and date of the webinar are 

listed in the DATES section at the 

beginning of this document. If no 

participants register for the webinar, it 

will be cancelled. 

Webinar registration information, 

participant instructions, and 

information about the capabilities 

available to webinar participants will be 

published on DOE’s website: https://

www1.eere.energy.gov/buildings/ 

appliance_standards/ 

standards.aspx?productid=

48&action=viewlive. Participants are 

responsible for ensuring their systems 

are compatible with the webinar 

software. Procedure for Submitting 

Prepared General Statements for 

Distribution. Any person who has an 

interest in the topics addressed in this 

notice, 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. Such 

persons may submit to 

ApplianceStandardsQuestions@

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 


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topics they wish to discuss. Such 

persons should also provide a daytime 

telephone number where they can be 

reached. 

Persons requesting to speak should 

briefly describe the nature of their 

interest in this rulemaking and provide 

a telephone number for contact. DOE 

requests persons selected to make an 

oral presentation to submit an advance 

copy of their statements at least two 

weeks before the webinar. 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. 

D. Conduct of the Webinar 

DOE will designate a DOE official to 

preside at the webinar/public meeting 

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 prepare a 

transcript. DOE reserves the 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/public 

meeting 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/public meeting 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 permit, 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. 

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/public meeting 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/public meeting. 

A transcript of the webinar/public 

meeting will be included in the docket, 

which can be viewed as described in the 

Docket section at the beginning of this 

document. In addition, any person may 

buy a copy of the transcript from the 

transcribing reporter. 

VI. Approval of the Office of the 

Secretary 

The Secretary of Energy has approved 

publication of this proposed rule. 

List of Subjects 

10 CFR Part 429 

Administrative practice and 

procedure, Confidential business 

information, Energy conservation, 

Household appliances, Imports, 

Intergovernmental relations, Reporting 

and recordkeeping requirements, Small 

businesses. 

10 CFR Part 430 

Administrative practice and 

procedure, Confidential business 

information, Energy conservation, 

Household appliances, Imports, 

Incorporation by reference, 

Intergovernmental relations, Small 

businesses. 

Signing Authority 

This document of the Department of 

Energy was signed on February 22, 

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 February 24, 

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 430 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. Section 429.16 is amended by: 

■ a. Revising the table 1 to paragraph 

(a)(1); 

■ b. Revising paragraph (a)(4)(i); and 

■ c. Revising the table in paragraph 

(b)(2)(i). 

The revisions read as follows: 

§ 429.16 Central air conditioners and 

central air conditioning heat pumps. 

(a) * * * 

(1) * * * 

TABLE 1 TO PARAGRAPH (a)(1) 

Category Equipment subcategory Required represented values 

Single-Package Unit ........................ Single-Package AC (including 

space-constrained).

Every individual model distributed in commerce. 

Single-Package HP (including 

space-constrained).


khammond on DSKJM1Z7X2PROD with PROPOSALS2
Federal Register / Vol. 87, No. 57 / Thursday, March 24, 2022 / Proposed Rules 16855 

TABLE 1 TO PARAGRAPH (a)(1)—Continued 

Category Equipment subcategory Required represented values 

Outdoor Unit and Indoor Unit (Distributed in Commerce by OUM).Single-Split-System AC with Single-Stage or Two-Stage Compressor (including Space-Constrained and Small-Duct, High 

Velocity Systems (SDHV)).

Every individual combination distributed in commerce. Each model of 

outdoor unit must include a represented value for at least one coilonly individual combination that is distributed in commerce and 

which is representative of the least efficient combination distributed 

in commerce with that particular model of outdoor unit. For that 

particular model of outdoor unit, additional represented values for 

coil-only and blower-coil individual combinations are allowed, if distributed in commerce. 

Single-Split System AC with Other 

Than Single-Stage or TwoStage Compressor (including 

Space-Constrained and SDHV).

Every individual combination distributed in commerce, including all 

coil-only and blower-coil combinations. 

Single-Split-System HP (including 

Space-Constrained and SDHV).

Every individual combination distributed in commerce. 

Multi-Split, Multi-Circuit, or MultiHead Mini-Split Split System— 

non-SDHV (including SpaceConstrained).

For each model of outdoor unit, at a minimum, a non-ducted ‘‘tested 

combination.’’ For any model of outdoor unit also sold with models 

of ducted indoor units, a ducted ‘‘tested combination.’’ When determining represented values on or after January 1, 2023, the ducted 

‘‘tested combination’’ must comprise the highest static variety of 

ducted indoor unit distributed in commerce (i.e., conventional, midstatic, or low-static). Additional representations are allowed, as described in paragraphs (c)(3)(i) and (c)(3)(ii) of this section, respectively. 

Multi-Split, Multi-Circuit, or MultiHead Mini-Split Split System— 

SDHV.

For each model of outdoor unit, an SDHV ‘‘tested combination.’’ Additional representations are allowed, as described in paragraph 

(c)(3)(iii) of this section. 

Indoor Unit Only Distributed in 

Commerce by ICM.

Single-Split-System Air Conditioner (including Space-Constrained and SDHV).Every individual combination distributed in commerce. 

Single-Split-System Heat Pump 

(including Space-Constrained 

and SDHV).

Multi-Split, Multi-Circuit, or MultiHead Mini-Split Split System— 

SDHV.

For a model of indoor unit within each basic model, an SDHV ‘‘tested 

combination.’’ Additional representations are allowed, as described 

in section (c)(3)(iii) of this section. 

Outdoor Unit with no Match Every model of outdoor unit distributed in commerce (tested with a 

model of coil-only indoor unit as specified in paragraph (b)(2)(i) of 

this section). 

* * * * * 

(4) * * * 

(i) Regional. A basic model (model of 

outdoor unit) may only be certified as 

compliant with a regional standard if all 

individual combinations within that 

basic model meet the regional standard 

for which it is certified, including the 

coil-only combination as specified in 

paragraph (a)(1) of this section, as 

applicable. A model of outdoor unit that 

is certified below a regional standard 

can only be rated and certified as 

compliant with a regional standard if 

the model of outdoor unit has a unique 

model number and has been certified as 

a different basic model for distribution 

in each region, where the basic model(s) 

certified as compliant with a regional 

standard meet the requirements of the 

first sentence. An ICM cannot certify an 

individual combination with a rating 

that is compliant with a regional 

standard if the individual combination 

includes a model of outdoor unit that 

the OUM has certified with a rating that 

is not compliant with a regional 

standard. Conversely, an ICM cannot 

certify an individual combination with 

a rating that is not compliant with a 

regional standard if the individual 

combination includes a model of 

outdoor unit that an OUM has certified 

with a rating that is compliant with a 

regional standard. 

* * * * * 

(b) * * * 

(2) * * * 

(i) * * * 

TABLE 2 TO PARAGRAPH (B)(2)(I) 

Category Equipment subcategory Must test: With: 

Single-Package Unit ........................ Single-Package AC (including 

Space-Constrained).

Single-Package HP (including 

Space-Constrained).

The individual model with the lowest SEER (when testing in accordance with appendix M to 

subpart B of part 430) or 

SEER2 (when testing in accordance with appendix M1 to 

subpart B of part 430).

N/A. 


khammond on DSKJM1Z7X2PROD with PROPOSALS2
16856 Federal Register / Vol. 87, No. 57 / Thursday, March 24, 2022 / Proposed Rules 

TABLE 2 TO PARAGRAPH (B)(2)(I)—Continued 

Category Equipment subcategory Must test: With: 

Outdoor Unit and Indoor Unit (Distributed in Commerce by OUM).Single-Split-System AC with Single-Stage or Two-Stage Compressor (including Space-Constrained and Small- Duct, High 

Velocity Systems (SDHV)).

The model of outdoor unit ............ A model of coil-only indoor unit. 

Single-Split-System HP with Single-Stage or Two-Stage Compressor (including Space-Constrained and SDHV).The model of outdoor unit ............ A model of indoor unit. 

Single-Split System AC or HP 

with Other Than Single-Stage 

or Two-Stage Compressor having a coil-only individual combination (including Space-Constrained and SDHV).

The model of outdoor unit ............ A model of coil-only indoor unit. If 

the outdoor unit is distributed in 

commerce in a non-communicating variable-speed coilonly combination, the tested 

combination must be non-communicating. 

Single-Split System AC or HP 

with Other Than Single-Stage 

or Two-Stage Compressor without a coil-only individual combination (including Space-Constrained and SDHV).

The model of outdoor unit ............ A model of indoor unit. 

Multi-Split, Multi-Circuit, or MultiHead Mini-Split Split System— 

non-SDHV (including SpaceConstrained).

The model of outdoor unit ............ At a minimum, a ‘‘tested combination’’ composed entirely of 

non-ducted indoor units. For 

any models of outdoor units 

also sold with models of ducted 

indoor units, test a second 

‘‘tested combination’’ composed 

entirely of ducted indoor units 

(in addition to the non-ducted 

combination). If testing under 

appendix M1 to subpart B of 

part 430, the ducted ‘‘tested 

combination’’ must comprise 

the highest static variety of 

ducted indoor unit distributed in 

commerce (i.e., conventional, 

mid-static, or low-static). 

Multi-Split, Multi-Circuit, or MultiHead Mini-Split Split System— 

SDHV.

The model of outdoor unit ............ A ‘‘tested combination’’ composed 

entirely of SDHV indoor units. 

Indoor Unit Only (Distributed in 

Commerce by ICM).

Single-Split-System Air Conditioner (including Space-Constrained and SDHV).A model of indoor unit .................. The least efficient model of outdoor unit with which it will be 

paired where the least efficient 

model of outdoor unit is the 

model of outdoor unit in the 

lowest SEER combination 

(when testing under appendix 

M to subpart B of part 430) or 

SEER2 combination (when 

testing under appendix M1 to 

subpart B of part 430) as certified by the OUM. If there are 

multiple models of outdoor unit 

with the same lowest SEER 

(when testing under appendix 

M to subpart B of part 430) or 

SEER2 (when testing under appendix M1 to subpart B of part 

430) represented value, the 

ICM may select one for testing 

purposes. 

Single-Split-System Heat Pump 

(including Space-Constrained 

and SDHV).

Nothing, as long as an equivalent 

air conditioner basic model has 

been tested. If an equivalent air 

conditioner basic model has not 

been tested, must test a model 

of indoor unit.


khammond on DSKJM1Z7X2PROD with PROPOSALS2
Federal Register / Vol. 87, No. 57 / Thursday, March 24, 2022 / Proposed Rules 16857 

TABLE 2 TO PARAGRAPH (B)(2)(I)—Continued 

Category Equipment subcategory Must test: With: 

Multi-Split, Multi-Circuit, or MultiHead Mini-Split Split System— 

SDHV.

A model of indoor unit .................. A ‘‘tested combination’’ composed 

entirely of SDHV indoor units, 

where the outdoor unit is the 

least efficient model of outdoor 

unit with which the SDHV indoor unit will be paired. The 

least efficient model of outdoor 

unit is the model of outdoor unit 

in the lowest SEER combination (when testing under appendix M to subpart B of part 430) 

or SEER2 combination (when 

testing under appendix M1 to 

subpart B of part 430) as certified by the OUM. If there are 

multiple models of outdoor unit 

with the same lowest SEER 

represented value (when testing under appendix M to subpart B of part 430) or SEER2 

represented value (when testing under appendix M1 to subpart B of part 430), the ICM 

may select one for testing purposes. 

Outdoor Unit with No Match ........... ....................................................... The model of outdoor unit ............ A model of coil-only indoor unit 

meeting the requirements of 

section 2.2e of appendix M or 

M1 to subpart B of part 430. 

■ 3. Section 429.102 is amended by 

revising paragraphs (c)(4)(i) and (iii) to 

read as follows: 

§ 429.102 Prohibited acts subjecting 

persons to enforcement action. 

* * * * * 

(c) * * * 

(4) * * * 

(i) A complete central air conditioning 

system that is not certified as a complete 

system that meets the applicable 

standard. Combinations that were 

previously validly certified may be 

installed after the manufacturer has 

discontinued the combination, provided 

all combinations within the basic 

model, including for single-split-system 

AC with single-stage or two-stage 

compressor at least one coil-only 

combination as specified in paragraph 

(a)(1) of this section, comply with the 

regional standard applicable at the time 

of installation. 

* * * * * 

(iii) An outdoor unit that is part of a 

certified combination rated less than the 

standard applicable in the region in 

which it is installed or, where 

applicable, an outdoor unit with no 

certified coil-only combination as 

specified in paragraph (a)(1) of this 

section that meets the standard 

applicable in the region in which it is 

installed. 

§ 429.158 [Amended] 

■ 4. Section 429.158 is amended by 

removing ‘‘§ 429.102(c)’’ in paragraphs 

(a) and (b) and adding in its place 

‘‘§ 429.102(b)(10)’’. 

PART 430—ENERGY CONSERVATION 

PROGRAM FOR CONSUMER 

PRODUCTS 

■ 5. The authority citation for part 430 

continues to read as follows: 

Authority: 42 U.S.C. 6291–6309; 28 U.S.C. 

2461 note. 

■ 6. Section 430.2 is amended by 

revising the definition for ‘‘Central air 

conditioner or central air conditioning 

heat pump’’ to read as follows: 

§ 430. 2 Definitions. 

* * * * * 

Central air conditioner or central air 

conditioning heat pump means a 

product, other than a packaged terminal 

air conditioner, packaged terminal heat 

pump, single-phase single-package 

vertical air conditioner with cooling 

capacity less than 65,000 Btu/h, singlephase single-package vertical heat pump 

with cooling capacity less than 65,000 

Btu/h, computer room air conditioner, 

or unitary dedicated outdoor air system 

as these equipment categories are 

defined at 10 CFR 431.92, which is 

powered by single phase electric 

current, air cooled, rated below 65,000 

Btu per hour, not contained within the 

same cabinet as a furnace, the rated 

capacity of which is above 225,000 Btu 

per hour, and is a heat pump or a 

cooling unit only. A central air 

conditioner or central air conditioning 

heat pump may consist of: A singlepackage unit; an outdoor unit and one 

or more indoor units; an indoor unit 

only; or an outdoor unit with no match. 

In the case of an indoor unit only or an 

outdoor unit with no match, the unit 

must be tested and rated as a system 

(combination of both an indoor and an 

outdoor unit). For all central air 

conditioner and central air conditioning 

heat pump-related definitions, see 

appendix M or M1 of subpart B of this 

part. 

* * * * * 

■ 7. Section 430.32 is amended by 

revising paragraph (c)(6)(ii) to read as 

follows: 

§ 430.32 Energy and water conservation 

standards and their compliance dates. 

* * * * * 

(c) * * * 

(6) * * * 

(ii) Any model of outdoor unit that 

has a certified combination with a rating 

below the applicable standard level(s) 

for a region cannot be installed in that 

region. The least-efficient combination 

of each basic model, which for singlesplit-system AC with single-stage or 


khammond on DSKJM1Z7X2PROD with PROPOSALS2
16858 Federal Register / Vol. 87, No. 57 / Thursday, March 24, 2022 / Proposed Rules 

two-stage compressor (including SpaceConstrained and Small-Duct High 

Velocity Systems (SDHV)) must be a 

coil-only combination, must comply 

with the applicable standard. See 10 

CFR 429.16(a)(1) and (a)(4)(i) of this 

chapter. 

* * * * * 

■ 8. Appendix M to subpart B of part 

430 is amended by: 

■ a. Revising the definition of ‘‘Nominal 

Capacity’’ in section 1.2; 

■ b. Revising paragraph a of section 

3.6.4; 

■ c. Revising section 4.1.4.2; 

■ d. Revising the introductory text to 

section 4.2.3; 

■ e. Revising the equation following the 

word ‘‘Where:’’ in section 4.2.3.3; and 

■ f. Revising section 4.2.3.4. 

The revisions read as follows: 

Appendix M to Subpart B of Part 430— 

Uniform Test Method for Measuring the 

Energy Consumption of Central Air 

Conditioners and Heat Pumps 

* * * * * 

1. * * * 

1.2 * * * 

Nominal Cooling Capacity is 

approximate to the air conditioner 

cooling capacity tested at A or A2

condition. Nominal heating capacity is 

approximate to the heat pump heating 

capacity tested in H1N test. 

* * * * * 

3. * * * 

3.6.4 * * * 

a. Conduct one maximum temperature 

test (H01), two high temperature tests 

(H1N and H11), one frost accumulation 

test (H2V), and one low temperature test 

(H32). Conducting one or both of the 

following tests is optional: An 

additional high temperature test (H12) 

and an additional frost accumulation 

test (H22). If desired, conduct the 

optional maximum temperature cyclic 

(H0C1) test to determine the heating 

mode cyclic-degradation coefficient, 

CDh. If this optional test is conducted 

but yields a tested CDh that exceeds the 

default CDh or if the optional test is not 

conducted, assign CDh the default value 

of 0.25. Test conditions for the eight 

tests are specified in Table 14. The 

compressor shall operate at the same 

heating full speed, measured by RPM or 

power input frequency (Hz), for the H12, 

H22 and H32 tests. For a cooling/heating 

heat pump, the compressor shall operate 

for the H1N test at a speed, measured by 

RPM or power input frequency (Hz), no 

lower than the speed used in the A2 test 

if the tested H1N heating capacity is less 

than the tested A2 cooling capacity. The 

compressor shall operate at the same 

heating minimum speed, measured by 

RPM or power input frequency (Hz), for 

the H01, H1C1, and H11 tests. Determine 

the heating intermediate compressor 

speed cited in Table 14 using the 

heating mode full and minimum 

compressors speeds and: 

Where a tolerance on speed of plus 5 

percent or the next higher inverter 

frequency step from the calculated value 

is allowed. 

* * * * * 

4. * * * 

4.1.4.2 Unit Operates at an 

Intermediate Compressor Speed (k=i) 

In Order To Match the Building Cooling 

Load at Temperature Tj,Q ̇ c

k=1(Tj) < 

BL(Tj) < Q ̇ c

k=2(Tj). 

where: Q ̇ c

k=i

(Tj) = BL(Tj), the space cooling capacity 

delivered by the unit in matching the 

building load at temperature Tj, Btu/h. 

The matching occurs with the unit 

operating at compressor speed k=i. 

EERk=i(Tj) = the steady-state energy efficiency 

ratio of the test unit when operating at 

a compressor speed of k=i and 

temperature Tj, Btu/h per W. 

Obtain the fractional bin hours for the 

cooling season, nj/N, from Table 19. For 

each temperature bin where the unit 

operates at an intermediate compressor 

speed, determine the energy efficiency 

ratio EERk=i

(Tj) using, 

EERk=i(Tj) = A + B * Tj + C * Tj

2. 

For each unit, determine the 

coefficients A, B, and C by conducting 

the following calculations once: 

A = EERk=2(T2)¥(B * T2)¥(C * T2

2) 


khammond on DSKJM1Z7X2PROD with PROPOSALS2EP24MR22.001</GPH> EP24MR22.002</GPH> EP24MR22.003</GPH>

Heating full speed - Heating minimum speed Heating intermediate speed = Heating minimum speed+ 3 

Ef=i('I'j) = E~!:~\~fj)' the electrical power input required by the test unit when operating 

at a compressor speed ofk=i and temperature Tj, W. 
Federal Register / Vol. 87, No. 57 / Thursday, March 24, 2022 / Proposed Rules 16859 

where: 

T1 = the outdoor temperature at which the 

unit, when operating at minimum 

compressor speed, provides a space 

cooling capacity that is equal to the 

building load (Q ̇ c

k=1(T1) = BL(T1)), °F. 

Determine T1 by equating Equations 

4.1.3–1 and 4.1–2 and solving for 

outdoor temperature. 

Tv = the outdoor temperature at which the 

unit, when operating at the intermediate 

compressor speed used during the 

section 3.2.4 Ev test of this appendix, 

provides a space cooling capacity that is 

equal to the building load (Q ̇ c

k=v(Tv) = 

BL(Tv)), °F. Determine Tv by equating 

Equations 4.1.4–3 and 4.1–2 and solving 

for outdoor temperature. 

T2 = the outdoor temperature at which the 

unit, when operating at full compressor 

speed, provides a space cooling capacity 

that is equal to the building load 

(Q ̇ c

k=2(T2) = BL(T2)), °F. Determine T2 by 

equating Equations 4.1.3–3 and 4.1–2 

and solving for outdoor temperature. 

* * * * * 

4.2 * * * 

4.2.3 

Additional Steps for Calculating the 

HSPF of a Heat Pump Having a TwoCapacity Compressor 

The calculation of the Equation 4.2– 

1 quantities differ depending upon 

whether the heat pump would operate 

at low capacity (section 4.2.3.1 of this 

appendix), cycle between low and high 

capacity (section 4.2.3.2 of this 

appendix), or operate at high capacity 

(sections 4.2.3.3 and 4.2.3.4 of this 

appendix) in responding to the building 

load. For heat pumps that lock out low 

capacity operation at low outdoor 

temperatures, the outdoor temperature 

at which the unit locks out must be that 

specified by the manufacturer in the 

certification report so that the 

appropriate equations can be selected. 

* * * * * 

4.2.3.3 Heat Pump Only Operates at 

High (k=2) Compressor Capacity at 

Temperature Tj and Its Capacity Is 

Greater Than the Building Heating 

Load, BL(Tj) < Qhk=2(Tj) 

* * * * * 

Xk=2(Tj) = BL(Tj)/Q ̇ h

k=2(Tj); and 

PLFj = 1¥CDh (k=2) * [1¥Xk=2(Tj)]. 

* * * * * 

4.2.3.4 Heat Pump Must Operate 

Continuously at High (k=2) Compressor 

Capacity at Temperature Tj, BL(Tj) ≥ 

Q ̇ hk=2(Tj) 

where: 


khammond on DSKJM1Z7X2PROD with PROPOSALS2EP24MR22.004</GPH> EP24MR22.005</GPH> EP24MR22.006</GPH>

B = EERk=1(T1) - EERk=2(T2) - D * [EERk=1(T1) - EERk=v(Tv)] 

T1 - T2 - D * (T1 - Tv) 

T2 -T2 

D = 2 1 r.2 _ T2 

V 1 

EERk=l(T) = Qg=1(T1)[Equation4.l.4-1, substitutingT1forTj] /h 

1 · k-1c ) [ . . . ]' Btu per W Ee - T1 Equation 4.1.4-2, substituting T1 for Tj 

RH(Tj) = BL(Ij) - [Q~=2 (1j) * o'(Ij)] * nj 

N 3.413:~ N 
16860 Federal Register / Vol. 87, No. 57 / Thursday, March 24, 2022 / Proposed Rules 

* * * * * 

■ 9. Appendix M1 to subpart B of part 

430 is amended by: 

■ a. Adding in alphabetical order 

definitions for ‘‘Variable-speed 

Communicating Coil-only Central Air 

Conditioner or Heat Pump’’ and 

‘‘Variable-speed Non-communicating 

Coil-only Central Air Conditioner or 

Heat Pump’’ in section 1.2; 

■ b. Revising paragraph (B) and the 

undesignated paragraph following it in 

section 2; 

■ c. Revising section 3.1.2; 

■ d. Revising paragraphs a. and b. in 

section 3.1.4.1.1; 

■ e. Revising paragraphs a. and b. and 

adding paragraph f in section 3.1.4.2: 

■ f. Revising paragraph b. and adding 

paragraph d. in section 3.1.4.3; 

■ g. Revising paragraph a. in section 

3.1.4.4.3; 

■ h. Adding paragraph d. in section 

3.1.4.6; 

■ i. Revising section 3.1.4.7; 

■ j. Revising paragraph a., adding 

paragraph d., and revising Table 8 in 

section 3.2.4; 

■ k. Revising paragraph d., 

redesignating paragraph e. as paragraph 

f., and adding a new paragraph e. in 

section 3.3; 

■ l. Revising the introductory text, 

redesignating paragraphs a. and b. as c. 

and d., respectively, adding new 

paragraphs a. and b., and revising newly 

redesignated paragraph c. in section 

3.5.1; 

■ m. Revising Table 11 in section 3.6.1; 

■ n. Revising Table 12 in section 3.6.2; 

■ o. Revising Table 13 in section 3.6.3 

■ p. Revising section 3.6.4 and adding 

sections 3.6.4.1 and 3.6.4.2.; 

■ q. Revising Table 15 in section 3.6.6; 

■ r. Revising paragraph c., redesignating 

paragraphs d. and e. as e. and f., 

respectively, and adding new paragraph 

d. in section 3.7; 

■ s. Revising paragraph b. in section 3.8; 

■ t. Revising paragraph b. in section 

3.9.1; 

■ u. Revising section 4.1.4; 

■ v. Adding sections 4.1.4.2.1 and 

4.1.4.2.2; 

■ w. Revising the language after ‘‘Table 

20’’ and before paragraph a., including 

Equation 4.2–2, in section 4.2; 

■ x. Revising the introductory text for 

section 4.2.3.; 

■ y. Revising section 4.2.3.4; 

■ z. Revising paragraphs a., b., c., and e., 

in section 4.2.4; 

■ aa. Revising sections 4.2.4.1 and 

4.2.4.2; and 

■ bb. Removing the language ‘‘and 

Xk=3(Tj) = Xk=2(Tj)’’ and adding in its 

place ‘‘and Xk=3(Tj) = 1 ¥ Xk=2(Tj),’’ in 

section 4.2.6.5. 

The revisions and additions read as 

follows: 

Appendix M1 to Subpart B of Part 

430—Uniform Test Method for 

Measuring the Energy Consumption of 

Central Air Conditioners and Heat 

Pumps 

* * * * * 

1.2 * * * 

Variable-speed Communicating Coil-only 

Central Air Conditioner or Heat Pump means 

a variable-speed compressor system having a 

coil-only indoor unit that is installed with a 

control system that: 

(a) Communicates the difference in space 

temperature and space setpoint temperature 

(not a setpoint value inferred from on/off 

thermostat signals) to the control that sets 

compressor speed; 

(b) Provides a signal to the indoor fan to 

set fan speed appropriate for compressor 

staging; and 

(c) Has installation instructions indicating 

that the control system having these 

capabilities must be installed. 

* * * * * 

Variable-speed Non-communicating Coilonly Central Air Conditioner or Heat Pump 

means a variable-speed compressor system 

having a coil-only indoor unit that is does 

not meet the definition of variable-speed 

communicating coil-only central air 

conditioner or heat pump. 

* * * * * 

2 * * * 

(B) For systems other than VRF, only a 

subset of the sections listed in this test 

procedure apply when testing and 

determining represented values for a 

particular unit. Table 1 shows the sections of 

the test procedure that apply to each system. 

This table is meant to assist manufacturers in 

finding the appropriate sections of the test 

procedure. Manufacturers are responsible for 

determining which sections apply to each 

unit tested based on the model 

characteristics. The appendix sections 

provide the specific requirements for testing. 

To use Table 1, first refer to the sections 

listed under ‘‘all units’’. Then refer to 

additional requirements based on: 

(1) System configuration(s), 

(2) The compressor staging or modulation 

capability, and 

(3) Any special features. 

Testing requirements for space-constrained 

products do not differ from similar products 

that are not space-constrained, and thus 

space-constrained products are not listed 

separately in this table. Air conditioners and 

heat pumps are not listed separately in this 

table, but heating procedures and 

calculations apply only to heat pumps. 

The ‘‘manufacturer’s published 

instructions,’’ as stated in section 8.2 of 

ASHRAE Standard 37–2009 (incorporated by 

reference, see § 430.3) and ‘‘manufacturer’s 

installation instructions’’ discussed in this 

appendix mean the manufacturer’s 

installation instructions that come packaged 

with the unit or appear in the labels applied 

to the unit. Manufacturer’s installation 

instructions do not include online manuals. 

Installation instructions that appear in the 

labels applied to the unit shall take 

precedence over installation instructions that 

come packaged with the unit. 

* * * * * 

3.1.2 Manufacturer-Provided Equipment 

Overrides 

Where needed, the manufacturer must 

provide a means for overriding the controls 

of the test unit so that the compressor(s) 

operates at the specified speed or capacity 

and the indoor blower operates at the 

specified speed or delivers the specified air 

volume rate. For variable-speed noncommunicating coil-only air conditioners 

and heat pumps, the control system shall be 

provided with a control signal indicating 

operation at high or low stage, rather than 

testing with the compressor speed fixed at 

specific speeds, with the exception that 

compressor speed override may be used for 

heating mode test H12. 

* * * * * 

3.1.4.1.1 * * * 

a. For all ducted blower coil systems, 

except those having a constant-air-volumerate indoor blower: 

Step (1) Operate the unit under conditions 

specified for the A test (for single-stage units) 

or A2 test (for non-single-stage units) using 

the certified fan speed or controls settings, 

and adjust the exhaust fan of the airflow 


khammond on DSKJM1Z7X2PROD with PROPOSALS2EP24MR22.007</GPH>

0'(11) = 

0, 

1 

2' 

1, 
Federal Register / Vol. 87, No. 57 / Thursday, March 24, 2022 / Proposed Rules 16861 

measuring apparatus to achieve the certified 

Cooling full-load air volume rate; 

Step (2) Measure the external static 

pressure; 

Step (3) If this external static pressure is 

equal to or greater than the applicable 

minimum external static pressure cited in 

Table 4, the pressure requirement is satisfied; 

proceed to step 7 of this section. If this 

external static pressure is not equal to or 

greater than the applicable minimum 

external static pressure cited in Table 4, 

proceed to step 4 of this section; 

Step (4) Increase the external static 

pressure by adjusting the exhaust fan of the 

airflow measuring apparatus until the first to 

occur of: 

(i) The applicable Table 4 minimum is 

equaled or 

(ii) The measured air volume rate equals 90 

percent or less of the Cooling full-load air 

volume rate; 

Step (5) If the conditions of step 4 (i) of this 

section occur first, the pressure requirement 

is satisfied; proceed to step 7 of this section. 

If the conditions of step 4 (ii) of this section 

occur first, proceed to step 6 of this section; 

Step (6) Make an incremental change to the 

setup of the indoor blower (e.g., next highest 

fan motor pin setting, next highest fan motor 

speed) and repeat the evaluation process 

beginning above, at step 1 of this section. If 

the indoor blower setup cannot be further 

changed, increase the external static pressure 

by adjusting the exhaust fan of the airflow 

measuring apparatus until the applicable 

Table 4 minimum is equaled; proceed to step 

7 of this section; 

Step (7) The airflow constraints have been 

satisfied. Use the measured air volume rate 

as the Cooling full-load air volume rate. Use 

the final indoor fan speed or control settings 

of the unit under test for all tests that use the 

Cooling full-load air volume rate. Adjust the 

fan of the airflow measurement apparatus if 

needed to obtain the same full-load air 

volume rate (in scfm) for all such tests, 

unless the system modulates indoor blower 

speed with outdoor dry bulb temperature or 

to adjust the sensible to total cooling capacity 

ratio—in this case, use an air volume rate 

that represents a normal installation and 

calculate the target external static pressure as 

described in section 3.1.4.2 of this appendix. 

b. For ducted blower coil systems with a 

constant-air-volume-rate indoor blower. For 

all tests that specify the Cooling full-load air 

volume rate, obtain an external static 

pressure as close to (but not less than) the 

applicable Table 4 value that does not cause 

either automatic shutdown of the indoor 

blower or a value of air volume rate variation 

QVar, defined as follows, that is greater than 

10 percent. 

Where: 

Qmax = maximum measured airflow value 

Qmin = minimum measured airflow value 

QVar = airflow variance, percent 

Additional test steps as described in 

section 3.3.f of this appendix are 

required if the measured external static 

pressure exceeds the target value by 

more than 0.03 inches of water. 

* * * * * 

3.1.4.2 * * * 

a. For a ducted blower coil system 

without a constant-air-volume indoor 

blower, adjust for external static 

pressure as follows: 

Step (1) Operate the unit under 

conditions specified for the B1 test using 

the certified fan speed or controls 

settings, and adjust the exhaust fan of 

the airflow measuring apparatus to 

achieve the certified cooling minimum 

air volume rate; 

Step (2) Measure the external static 

pressure; 

Step (3) If this pressure is equal to or 

greater than the minimum external 

static pressure computed above, the 

pressure requirement is satisfied; 

proceed to step 7 of this section. If this 

pressure is not equal to or greater than 

the minimum external static pressure 

computed above, proceed to step 4 of 

this section; 

Step (4) Increase the external static 

pressure by adjusting the exhaust fan of 

the airflow measuring apparatus until 

either: 

(i) The pressure is equal to the 

minimum external static pressure, 

DPst_i, computed above or 

(ii) The measured air volume rate 

equals 90 percent or less of the cooling 

minimum air volume rate, whichever 

occurs first; 

Step (5) If the conditions of step 4 (i) 

of this section occur first, the pressure 

requirement is satisfied; proceed to step 

7 of this section. If the conditions of 

step 4 (ii) of this section occur first, 

proceed to step 6 of this section; 

Step (6) Make an incremental change 

to the setup of the indoor blower (e.g., 

next highest fan motor pin setting, next 

highest fan motor speed) and repeat the 

evaluation process beginning above, at 

step 1 of this section. If the indoor 

blower setup cannot be further changed, 

increase the external static pressure by 

adjusting the exhaust fan of the airflow 

measuring apparatus until it equals the 

minimum external static pressure 

computed above; proceed to step 7 of 

this section; 

Step (7) The airflow constraints have 

been satisfied. Use the measured air 

volume rate as the cooling minimum air 

volume rate. Use the final indoor fan 

speed or control settings of the unit 

under test for all tests that use the 

cooling minimum air volume rate. 

Adjust the fan of the airflow 

measurement apparatus if needed to 

obtain the same cooling minimum air 

volume rate (in scfm) for all such tests, 

unless the system modulates the indoor 

blower speed with outdoor dry bulb 

temperature or to adjust the sensible to 

total cooling capacity ratio—in this case, 

use an air volume rate that represents a 

normal installation and calculate the 

target minimum external static pressure 

as described in this section 3.1.4.2. 

b. For ducted units with constant-airvolume indoor blowers, conduct all 

tests that specify the cooling minimum 

air volume rate—(i.e., the A1, B1, C1, F1, 

and G1 Tests)—at an external static 

pressure that does not cause either an 

automatic shutdown of the indoor 

blower or a value of air volume rate 

variation QVar, defined in section 

3.1.4.1.1.b of this appendix, that is 

greater than 10 percent, while being as 

close to, but not less than the target 

minimum external static pressure. 

Additional test steps as described in 

section 3.3.f of this appendix are 

required if the measured external static 

pressure exceeds the target value by 

more than 0.03 inches of water. 

* * * * * 

f. For ducted variable-speed 

compressor systems tested with a coilonly indoor unit, the cooling minimum 

air volume rate is the higher of: 

(1) The rate specified by the 

installation instructions included with 

the unit by the manufacturer; or 

(2) 75 percent of the cooling full-load 

air volume rate. During the laboratory 

tests on a coil-only (fanless) system, 

obtain this cooling minimum air volume 

rate regardless of the pressure drop 

across the indoor coil assembly. 

* * * * * 

3.1.4.3 * * * 

b. For a ducted blower coil system 

with a constant-air-volume indoor 

blower, conduct the EV Test at an 

external static pressure that does not 

cause either an automatic shutdown of 

the indoor blower or a value of air 

volume rate variation QVar, defined in 

section 3.1.4.1.1.b of this appendix, that 

is greater than 10 percent, while being 

as close to, but not less than the target 

minimum external static pressure. 

Additional test steps as described in 

section 3.3.f of this appendix are 

required if the measured external static 

pressure exceeds the target value by 

more than 0.03 inches of water. 

* * * * * 

d. For ducted variable-speed 

compressor systems tested with a coilonly indoor unit, use the cooling 

minimum air volume rate as determined 

in section 3.1.4.2(f) of this appendix, 

without regard to the pressure drop 

across the indoor coil assembly. 

* * * * * 


khammond on DSKJM1Z7X2PROD with PROPOSALS2EP24MR22.008</GPH>
16862 Federal Register / Vol. 87, No. 57 / Thursday, March 24, 2022 / Proposed Rules 

3.1.4.4.3 * * * 

a. For all ducted heating-only blower 

coil system heat pumps, except those 

having a constant-air-volume-rate 

indoor blower: Conduct the following 

steps only during the first test, the H1 

or H12 test: 

Step (1) Adjust the exhaust fan of the 

airflow measuring apparatus to achieve 

the certified heating full-load air volume 

rate. 

Step (2) Measure the external static 

pressure. 

Step (3) If this pressure is equal to or 

greater than the Table 4 minimum 

external static pressure that applies 

given the heating-only heat pump’s 

rated heating capacity, the pressure 

requirement is satisfied; proceed to step 

7 of this section. If this pressure is not 

equal to or greater than the applicable 

Table 4 minimum external static 

pressure, proceed to step 4 of this 

section; 

Step (4) Increase the external static 

pressure by adjusting the exhaust fan of 

the airflow measuring apparatus until 

either: 

(i) The pressure is equal to the 

applicable Table 4 minimum external 

static pressure; or 

(ii) The measured air volume rate 

equals 90 percent or less of the heating 

full-load air volume rate, whichever 

occurs first; 

Step (5) If the conditions of step 4 (i) 

of this section occur first, the pressure 

requirement is satisfied; proceed to step 

7 of this section. If the conditions of 

step 4 (ii) of this section occur first, 

proceed to step 6 of this section; 

Step (6) Make an incremental change 

to the setup of the indoor blower (e.g., 

next highest fan motor pin setting, next 

highest fan motor speed) and repeat the 

evaluation process beginning above, at 

step 1 of this section. If the indoor 

blower setup cannot be further changed, 

increase the external static pressure by 

adjusting the exhaust fan of the airflow 

measuring apparatus until it equals the 

applicable Table 4 minimum external 

static pressure; proceed to step 7 of this 

section; 

Step (7) The airflow constraints have 

been satisfied. Use the measured air 

volume rate as the heating full-load air 

volume rate. Use the final indoor fan 

speed or control settings of the unit 

under test for all tests that use the 

heating full-load air volume rate. Adjust 

the fan of the airflow measurement 

apparatus if needed to obtain the same 

heating full-load air volume rate (in 

scfm) for all such tests, unless the 

system modulates indoor blower speed 

with outdoor dry bulb temperature—in 

this case, use an air volume rate that 

represents a normal installation and 

calculate the target minimum external 

static pressure as described in section 

3.1.4.2 of this appendix. 

* * * * * 

3.1.4.6 * * * 

d. For ducted variable-speed 

compressor systems tested with a coilonly indoor unit, use the heating 

minimum air volume rate, which (as 

specified in section 3.1.4.5.1.a.(3) of this 

appendix) is equal to the cooling 

minimum air volume rate, without 

regard to the pressure drop across the 

indoor coil assembly. 

* * * * * 

3.1.4.7 Heating Nominal Air Volume 

Rate 

The manufacturer must specify the 

heating nominal air volume rate and the 

instructions for setting fan speed or 

controls. Calculate target minimum 

external static pressure as described in 

section 3.1.4.2 of this appendix. Make 

adjustments as described in section 

3.1.4.6 of this appendix for heating 

intermediate air volume rate so that the 

target minimum external static pressure 

is met or exceeded. For ducted variablespeed compressor systems tested with a 

coil-only indoor unit, use the heating 

full-load air volume rate as the heating 

nominal air volume rate. 

* * * * * 

3.2.4 * * * 

a. Conduct five steady-state wet coil 

tests: The A2, EV, B2, B1, and F1 Tests 

(the EV test is not applicable for variable 

speed non-communicating coil-only air 

conditioners and heat pumps). Use the 

two optional dry-coil tests, the steadystate G1 Test and the cyclic I1 Test, to 

determine the cooling mode cyclic 

degradation coefficient, CDc. If the two 

optional tests are conducted and yield a 

tested CDc that exceeds the default CDc

or if the two optional tests are not 

conducted, assign CDc the default value 

of 0.25. Table 8 specifies test conditions 

for these seven tests. The compressor 

shall operate at the same cooling full 

speed, measured by RPM or power 

input frequency (Hz), for both the A2

and B2 tests. The compressor shall 

operate at the same cooling minimum 

speed, measured by RPM or power 

input frequency (Hz), for the B1, F1, G1, 

and I1 tests. Determine the cooling 

intermediate compressor speed cited in 

Table 8, as required, using: 

where a tolerance of plus 5 percent or 

the next higher inverter frequency step 

from that calculated is allowed. 

* * * * * 

d. For variable-speed noncommunicating coil-only air 

conditioners and heat pumps, the 

manufacturer-provided equipment 

overrides for full and minimum 

compressor speed described in section 

3.1.2 of appendix M1 shall be limited to 

two stages of digital on/off control. 


khammond on DSKJM1Z7X2PROD with PROPOSALS2EP24MR22.009</GPH>

Cooling intermediate speed 

= Cooling minimum speed 

Cooling full speed - Cooling minimum speed 

+ 3 
Federal Register / Vol. 87, No. 57 / Thursday, March 24, 2022 / Proposed Rules 16863 

TABLE 8—COOLING MODE TEST CONDITION FOR UNITS HAVING A VARIABLE-SPEED COMPRESSOR

Test description 

Air entering indoor unit temperature (°F) Air entering outdoor unit temperature (°F) Compressor speed Cooling air volume 

rate 

Dry bulb Wet bulb Dry bulb Wet bulb 

A2 Test—required (steady, wet 

coil).

80 67 95 1 75 Cooling Full ............ 2 Cooling Full-Load. 

B2 Test—required (steady, wet 

coil).

80 67 82 1 65 Cooling Full ............ 2 Cooling Full-Load. 

EV Test—required 7 (steady, 

wet coil).

80 67 87 1 69 Cooling Intermediate.

3 Cooling Intermediate. 

B1 Test—required (steady, wet 

coil).

80 67 82 165 Cooling Minimum ... 4 Cooling Minimum. 

F1 Test—required (steady, wet 

coil).

80 67 67 153.5 Cooling Minimum ... 4 Cooling Minimum. 

G1 Test 5—optional (steady, 

dry-coil).

80 (6) 67 ........................ Cooling Minimum ... 4 Cooling Minimum. 

I1 Test 5—optional (cyclic, drycoil).80 (6) 67 ........................ Cooling Minimum ... (6) 

1The specified test condition only applies if the unit rejects condensate to the outdoor coil. 

2 Defined in section 3.1.4.1 of this appendix. 

3 Defined in section 3.1.4.3 of this appendix. 

4 Defined in section 3.1.4.2 of this appendix. 

5The entering air must have a low enough moisture content so no condensate forms on the indoor coil. DOE recommends using an indoor air 

wet bulb temperature of 57 °F or less. 6 Maintain the airflow nozzle(s) static pressure difference or velocity pressure during the ON period at the same pressure difference or velocity 

pressure as measured during the G1 Test. 7The EV test is not applicable for variable-speed non-communicating coil-only air conditioners and heat pumps. 

* * * * * 

3.3 * * * 

d. For mobile home and spaceconstrained ducted coil-only system 

tests, 

(1) For two-stage or variable-speed 

systems, for all steady-state wet coil 

tests that specify the cooling minimum 

air volume rate or cooling intermediate 

air volume rate (i.e., the A1, B1, EV, and 

F1 tests) and for which the minimum or 

intermediate air volume rate is 75 

percent of the cooling full-load air 

volume rate: 

(2) For two-stage or variable-speed 

systems, for all steady-state wet coil 

tests that specify the cooling full-load 

air volume rate (i.e., the A2 and B2 tests) 

or tests using a minimum or 

intermediate air volume rate that is 

greater than 75 percent of the cooling 

full-load air volume rate: 


khammond on DSKJM1Z7X2PROD with PROPOSALS2EP24MR22.010</GPH>

k 1130 Btu/h · decrease Qc (T) by: f * Vs, and l000sc m 

· k 331 W · increase Ee (T) by: ---* Vs 1000 scfm 
16864 Federal Register / Vol. 87, No. 57 / Thursday, March 24, 2022 / Proposed Rules 

where V ̇ S is the average measured 

indoor air volume rate expressed in 

units of cubic feet per minute of 

standard air (scfm). 

e. For non-mobile, non-spaceconstrained home ducted coil-only 

system tests, 

(1) For two-stage or variable-speed 

systems, for all steady-state wet coil 

tests that specify the cooling minimum 

air volume rate or cooling intermediate 

air volume rate (i.e., the A1, B1, EV, and 

F1 tests) and for which the minimum or 

intermediate air volume rate is 75 

percent of the cooling full-load air 

volume rate: 

(2) For two-stage or variable-speed 

systems, for all steady-state wet coil 

tests that specify the cooling full-load 

air volume rate (i.e., the A2 and B2 tests) 

or tests using a minimum or 

intermediate air volume rate that is 

greater than 75 percent of the cooling 

full-load air volume rate: 


khammond on DSKJM1Z7X2PROD with PROPOSALS2EP24MR22.011</GPH> EP24MR22.012</GPH>

tests)-

k 1385Btu/h • decrease Qc (T) by: f * Vs, and lO00sc m 

· k 406W · increase Ee (T) by: ---* Vs 

1000 scfm 

(3) For single-stage systems, for all steady-state wet coil tests (i.e., the A and B 

k 1385Btu/h • decrease Qc (T) by:----'--* Vs, and 

lO00scfm 

· k 406W · increase Ee (T) by: ---* Vs 

1000 scfm 

k 1228 Btu/h · decrease Qc (T) by: f * Vs, and lO00sc m 

· k 360 W · increase Ee (T) by: ---* Vs lO00scfm 
Federal Register / Vol. 87, No. 57 / Thursday, March 24, 2022 / Proposed Rules 16865 

where V ̇ S is the average measured 

indoor air volume rate expressed in 

units of cubic feet per minute of 

standard air (scfm). 

TABLE 9—TEST OPERATING AND TEST CONDITION TOLERANCES FOR SECTION 3.3 STEADY-STATE WET COIL COOLING

MODE TESTS AND SECTION 3.4 DRY COIL COOLING MODE TESTS

Test operating 

tolerance 1

Test condition 

tolerance 1

Indoor dry-bulb, °F: 

Entering temperature ........................................................................................................................................ 2.0 0.5 

Leaving temperature ......................................................................................................................................... 2.0 ........................

Indoor wet-bulb, °F: 

Entering temperature ........................................................................................................................................ 1.0 2 0.3 

Leaving temperature ......................................................................................................................................... 2 1.0 ........................

Outdoor dry-bulb, °F: 

Entering temperature ........................................................................................................................................ 2.0 0.5 

Leaving temperature ......................................................................................................................................... 3 2.0 ........................

Outdoor wet-bulb, °F: 

Entering temperature ........................................................................................................................................ 1.0 4 0.3 

Leaving temperature ......................................................................................................................................... 3 1.0 ........................

External resistance to airflow, inches of water ........................................................................................................ 0.05 5 0.02 

Electrical voltage, % of reading ............................................................................................................................... 2.0 1.5 

Nozzle pressure drop, % of reading ........................................................................................................................ 2.0 ........................

1See section 1.2 of this appendix, Definitions. 

2Only applies during wet coil tests; does not apply during steady-state, dry coil cooling mode tests. 

3Only applies when using the outdoor air enthalpy method. 

4Only applies during wet coil cooling mode tests where the unit rejects condensate to the outdoor coil. 

5Only applies when testing non-ducted units. 

* * * * * 

3.5.1 * * * 

The automatic controls that are 

installed in the test unit must govern the 

OFF/ON cycling of the air moving 

equipment on the indoor side (i.e. the 

exhaust fan of the airflow measuring 

apparatus and the indoor blower of the 

test unit). For ducted coil-only systems 

rated based on using a fan time-delay 

relay, control the indoor coil airflow 

according to the OFF delay listed by the 

manufacturer in the certification report. 

For ducted units having a variablespeed indoor blower that has been 

disabled (and possibly removed), start 

and stop the indoor airflow at the same 

instances as if the fan were enabled. For 

all other ducted coil-only systems, cycle 

the indoor coil airflow in unison with 

the cycling of the compressor. If air 

damper boxes are used, close them on 

the inlet and outlet side during the OFF 

period. Airflow through the indoor coil 

should stop within 3 seconds after the 

automatic controls of the test unit deenergize (or if the airflow system has 

been disabled (and possibly removed), 

within 3 seconds after the automatic 

controls of the test unit would have deenergized) the indoor blower. 

a. For mobile home and spaceconstrained ducted coil-only systems, 

(1) For two-stage or variable-speed 

systems, for all cyclic dry-coil tests that 

specify the cooling minimum air 

volume rate (i.e., the D1 and I1 tests) and 

for which the minimum air volume rate 

is 75 percent of the cooling full-load air 

volume rate, increase ecyc,dry by the 

quantity, 


khammond on DSKJM1Z7X2PROD with PROPOSALS2EP24MR22.013</GPH>

k 1505 Btu/h · decrease Qc (T) by: f * Vs, and 1000 SC m 

, k 441 W · increase E c (T) by: ---* Vs 1000 scfm 

(3) For single-stage systems, for all steady-state wet coil tests (i.e., the A and B tests) -

k 1505 Btu/h · decrease Qc (T) by: __ ....;._* Vs, and 

1000 scfm 

, k 441 W · increase E c (T) by: ---* Vs 1000 scfm 
16866 Federal Register / Vol. 87, No. 57 / Thursday, March 24, 2022 / Proposed Rules 

where V ̇ S is the average indoor air 

volume rate from the section 3.4 dry coil 

steady-state test and is expressed in 

units of cubic feet per minute of 

standard air (scfm). 

(2) For two-stage or variable-speed 

systems, for all cyclic dry-coil tests that 

specify the cooling full-load air volume 

rate (i.e., the D2 test) or tests using a 

minimum air volume rate that is greater 

than 75 percent of the cooling full-load 

air volume rate increase ecyc,dry by the 

quantity, 

(3) For single-stage systems, for all 

cyclic dry-coil tests (i.e., the D test) 

increase ecyc,dry by the quantity 

calculated in Equation 3.5–4 and 

decrease qcyc,dry by the quantity 

calculated in Equation 3.5–5 

b. For ducted, non-mobile, non-spaceconstrained home coil-only units, 

(1) For two-stage or variable-speed 

systems, for all cyclic dry-coil tests that 

specify the cooling minimum air 

volume rate (i.e., the D1 and I1 tests) and 

for which the minimum air volume rate 

is 75 percent of the cooling full-load air 

volume rate, increase ecyc,dry by the 

quantity, 

(2) For two-stage or variable-speed 

systems, for all cyclic dry-coil tests that 

specify the cooling full-load air volume 

rate (i.e., the D2 test) or tests using a 

minimum air volume rate that is greater 

than 75 percent of the cooling full-load 

air volume rate increase ecyc,dry by the 

quantity, 


khammond on DSKJM1Z7X2PROD with PROPOSALS2EP24MR22.014</GPH> EP24MR22.015</GPH> EP24MR22.016</GPH>

. 331W · Equat10n 3.5-2. ---* Vs* [r2 - r 1] l000scfm 

and increase qcyc,dry by the quantity, 

. 1130 Btu/h · Equation 3.5-3. -----'--* Vs* [r2 - r 1] lO00scfm 

. 406W · Equation 3.5-4. ---* Vs* [r2 - r 1] l000scfm 

and decrease qcyc,dry by the quantity, 

. 1385 Btu/h · Equation 3.5-5. ---'--* Vs* [r2 - r 1] l000scfm 

. 360W · Equation 3.5-6. ---* Vs* [r2 - r 1] l000scfm 

and decrease qcyc,dry by the quantity, 

. 1228 Btu/h · Equat10n 3.5-7. -----'--* Vs* [r2 - r 1 ] l000scfm 
Federal Register / Vol. 87, No. 57 / Thursday, March 24, 2022 / Proposed Rules 16867 

(3) For single-stage systems, for all 

cyclic dry-coil tests (i.e., the D test) 

increase ecyc,dry by the quantity 

calculated in Equation 3.5–8 and 

decrease qcyc,dry by the quantity 

calculated in Equation 3.5–9 

c. For units having a variable-speed 

indoor blower that is disabled during 

the cyclic test, increase ecyc,dry and 

decrease qcyc,dry based on: The product 

of [t2¥t1] and the indoor blower power 

(in W) measured during or following the 

dry coil steady-state test; or, 

* * * * * 

3.6 * * * 

3.6.1 Tests for a Heat Pump Having a 

Single-Speed Compressor and Fixed 

Heating Air Volume Rate 

* * * * * 

TABLE 11—HEATING MODE TEST CONDITIONS FOR UNITS HAVING A SINGLE-SPEED COMPRESSOR AND A FIXED-SPEED

INDOOR BLOWER, A CONSTANT AIR VOLUME RATE INDOOR BLOWER, OR COIL-ONLY

Test description 

Air entering indoor unit temperature (°F) Air entering outdoor unit temperature (°F) Heating air volume rate 

Dry bulb Wet bulb Dry bulb Wet bulb 

H1 test (required, steady) ............. 70 60 (max) .............. 47 43 ...................... Heating Full-Load.1

H1C test (optional, cyclic) ............. 70 60 (max) .............. 47 43 ...................... (2) 

H2 test (required) .......................... 70 60 (max) .............. 35 33 ...................... Heating Full-Load.1

H3 test (required, steady) ............. 70 60 (max) .............. 17 15 ...................... Heating Full-Load.1

H4 test (optional, steady) .............. 70 60 (max) .............. 5 4 (max) ................ Heating Full-Load.1

1 Defined in section 3.1.4.4 of this appendix. 

2 Maintain the airflow nozzle(s) static pressure difference or velocity pressure during an ON period at the same pressure or velocity as measured during the H1 test. 

* * * * * 3.6.2 Tests for a Heat Pump Having a 

Single-Speed Compressor and a Single 

Indoor Unit Having Either (1) a 

Variable-Speed, Variable-Air-Rate 

Indoor Blower Whose Capacity 

Modulation Correlates With Outdoor 

Dry Bulb Temperature or (2) Multiple 

Indoor Blowers 

* * * * * 

TABLE 12—HEATING MODE TEST CONDITIONS FOR UNITS WITH A SINGLE-SPEED COMPRESSOR THAT MEET THE SECTION

3.6.2 INDOOR UNIT REQUIREMENTS

Test description 

Air entering indoor unit temperature (°F) Air entering outdoor unit temperature (°F) Heating air volume rate 

Dry bulb Wet bulb Dry bulb Wet bulb 

H12 test (required, steady) ............ 70 60 (max) .............. 47 43 ...................... Heating Full-Load.1

H11 test (required, steady) ............ 70 60 (max) .............. 47 43 ...................... Heating Minimum.2

H1C1 test (optional, cyclic) ............ 70 60 (max) .............. 47 43 ...................... (3) 

H22 test (required) ......................... 70 60 (max) .............. 35 33 ...................... Heating Full-Load.1

H21 test (optional) ......................... 70 60 (max) .............. 35 33 ...................... Heating Minimum.2

H32 test (required, steady) ............ 70 60 (max) .............. 17 15 ...................... Heating Full-Load.1

H31 test (required, steady) ............ 70 60 (max) .............. 17 15 ...................... Heating Minimum2

H42 test (optional, steady) ............ 70 60 (max) .............. 5 4 (max) ................ Heating Full-Load.1

1 Defined in section 3.1.4.4 of this appendix. 

2 Defined in section 3.1.4.5 of this appendix. 


khammond on DSKJM1Z7X2PROD with PROPOSALS2EP24MR22.017</GPH>

. 441W · Equation 3.5-8. ---* Vs* [-r2 - -r1] l000scfm 

and decrease qcyc,dry by the quantity, 

. 1505 Btu/h · Equat10n 3.5-9. ---'--* Vs* [-r2 - -r1] lO00scfm 
16868 Federal Register / Vol. 87, No. 57 / Thursday, March 24, 2022 / Proposed Rules 

3 Maintain the airflow nozzle(s) static pressure difference or velocity pressure during an ON period at the same pressure or velocity as measured during the H11 test. 

* * * * * 3.6.3 Tests for a Heat Pump Having a 

Two-Capacity Compressor (see Section 

1.2 of This Appendix, Definitions), 

Including Two-Capacity, Northern Heat 

Pumps (see Section 1.2 of This 

Appendix, Definitions) 

* * * * * 

TABLE 13—HEATING MODE TEST CONDITIONS FOR UNITS HAVING A TWO-CAPACITY COMPRESSOR

Test description 

Air entering indoor unit temperature (°F) Air entering outdoor unit temperature (°F) Compressor capacity Heating air volume rate 

Dry bulb Wet bulb Dry bulb Wet bulb 

H01 test (required, 

steady).

70 60 (max) ....... 62 56.5 ............ Low ................................ Heating Minimum.1

H12 test (required, 

steady).

70 60 (max) ....... 47 43 ............... High ................................ Heating Full-Load.2

H1C2 test (optional,7 cyclic).70 60 (max) ....... 47 43 ............... High ................................ (3) 

H11 test (required, 

steady).

70 60 (max) ....... 47 43 ............... Low ................................ Heating Minimum.1

H1C1 test (optional, cyclic).70 60 (max) ....... 47 43 ............... Low ................................ (4) 

H22 test (required) .......... 70 60 (max) ....... 35 33 ............... High ................................ Heating Full-Load.2

H21 test5,6 (required) ...... 70 60 (max) ....... 35 33 ............... Low ................................ Heating Minimum.1

H32 test (required, 

steady).

70 60 (max) ....... 17 15 ............... High ................................ Heating Full-Load.2

H31 test5 (required, 

steady).

70 60 (max) ....... 17 15 ............... Low ................................ Heating Minimum.1

H42 test (optional, 

steady).

70 60 (max) ....... 5 4 (max) ......... High ................................ Heating Full-Load.2

1 Defined in section 3.1.4.5 of this appendix. 

2 Defined in section 3.1.4.4 of this appendix. 

3 Maintain the airflow nozzle(s) static pressure difference or velocity pressure during an ON period at the same pressure or velocity as measured during the H12 test. 4 Maintain the airflow nozzle(s) static pressure difference or velocity pressure during an ON period at the same pressure or velocity as measured during the H11 test. 5 Required only if the heat pump’s performance when operating at low compressor capacity and outdoor temperatures less than 37 °F is needed to complete the section 4.2.3 HSPF2 calculations. 6 If table note #5 applies, the section 3.6.3 equations for Q h

k=1 (35) and E hk=1 (17) may be used in lieu of conducting the H21 test. 7 Required only if the heat pump locks out low-capacity operation at lower outdoor temperatures. 

* * * * * 

3.6.4 Tests for a Heat Pump Having a 

Variable-Speed Compressor 

3.6.4.1. Variable-Speed Compressor 

Other Than Non-communicating CoilOnly Heat Pumps 

a. Conduct one maximum temperature 

test (H01), two high temperature tests 

(H1N and H11), one frost accumulation 

test (H2V), and one low temperature test 

(H32). Conducting one or more of the 

following tests is optional: an additional 

high temperature test (H12), an 

additional frost accumulation test (H22), 

and a very low temperature test (H42). 

Conduct the optional high temperature 

cyclic (H1C1) test to determine the 

heating mode cyclic-degradation 

coefficient, CDh. If this optional test is 

conducted and yields a tested CDh that 

exceeds the default CDh or if the 

optional test is not conducted, assign 

CDh the default value of 0.25. Test 

conditions for the nine tests are 

specified in Table 14A. The compressor 

shall operate for the H12, H22 and H32

Tests at the same heating full speed, 

measured by RPM or power input 

frequency (Hz), as the maximum speed 

at which the system controls would 

operate the compressor in normal 

operation in 17 °F ambient temperature. 

The compressor shall operate for the 

H1N test at the maximum speed at 

which the system controls would 

operate the compressor in normal 

operation in 47 °F ambient temperature. 

Additionally, for a cooling/heating heat 

pump, the compressor shall operate for 

the H1N test at a speed, measured by 

RPM or power input frequency (Hz), no 

lower than the speed used in the A2 test 

if the tested H1N heating capacity is less 

than the tested A2 cooling capacity. The 

compressor shall operate at the same 

heating minimum speed, measured by 

RPM or power input frequency (Hz), for 

the H01, H1C1, and H11 Tests. Determine 

the heating intermediate compressor 

speed cited in Table 14A using the 

heating mode full and minimum 

compressors speeds and: 


khammond on DSKJM1Z7X2PROD with PROPOSALS2
Federal Register / Vol. 87, No. 57 / Thursday, March 24, 2022 / Proposed Rules 16869 

where a tolerance of plus 5 percent or 

the next higher inverter frequency step 

from that calculated is allowed. 

b. If one of the high temperature tests 

(H12 or H1N) is conducted using the 

same compressor speed (RPM or power 

input frequency) as the H32 test, set the 

47 °F capacity and power input values 

used for calculation of HSPF2 equal to 

the measured values for that test: 

Q ̇ h

k=2(47) is the capacity measured in 

the high temperature test (H12 or H1N) 

that used the same compressor speed as 

the H32 test, and 

E ̇ h

k=2(47) is the power input measured 

in the high temperature test (H12 or 

H1N) which used the same compressor 

speed as the H32 test. 

Evaluate the quantities Q ̇ h

k=2(47) and 

E ̇ h

k=2(47) according to section 3.7 of this 

appendix. 

Otherwise (if no high temperature test 

is conducted using the same speed 

(RPM or power input frequency) as the 

H32 test), calculate the 47 °F capacity 

and power input values used for 

calculation of HSPF2 as follows: 

Q ̇ h

k=2(17) is the capacity measured in the 

H32 test, 

E ̇ h

k=2(17) is the power input measured in 

the H32 test, 

CSF is the capacity slope factor, equal 

to 0.0204/°F for split systems and 

0.0262/°F for single-package 

systems, and 

PSF is the Power Slope Factor, equal to 

0.00455/°F. 

c. If the H22 test is not done, use the 

following equations to approximate the 

capacity and electrical power at the H22

test conditions: 


khammond on DSKJM1Z7X2PROD with PROPOSALS2EP24MR22.018</GPH> EP24MR22.019</GPH> EP24MR22.020</GPH>

Heating intermediate speed 

= Heating minimum speed 

Heating full speed - Heating minimum speed 

+ 3 

'k=2 'k=2 'k=2 'k=2 Qhcalc( 47) = Qh ( 47); Ehcalc( 47) = Eh ( 47) 

where: 

Q~;J1cC 4 7) and E~;a1c ( 4 7) are the capacity and power input, respectively, 

representing full-speed operation at 47 °P for the HSPP2 calculations, 

where: 

Q~;izcC 47) and Eft;aicC 47) are the capacity and power input, respectively, 

representing full-speed operation at 47 °P for the HSPP2 calculations, 
16870 Federal Register / Vol. 87, No. 57 / Thursday, March 24, 2022 / Proposed Rules 

Q ̇ h

k=2(17) and E ̇ hk=2(17) and are the 

capacity and power input measured in 

the H32 test. 

d. Determine the quantities Q ̇ h

k=2(17) 

and E ̇ h

k=2(17) from the H32 test, 

determine the quantities Q ̇ h

k=2(5) and 

E ̇ h

k=2(5) from the H42 test, and evaluate 

all four according to section 3.10 of this 

appendix. 

e. For multiple-split heat pumps 

(only), the following procedures 

supersede the above requirements. For 

all Table 14A tests specified for a 

minimum compressor speed, turn off at 

least one indoor unit. The manufacturer 

shall designate the particular indoor 

unit(s) to be turned off. The 

manufacturer must also specify the 

compressor speed used for the Table 

14A H2V test, a heating mode 

intermediate compressor speed that falls 

within 1⁄4 and 3⁄4 of the difference 

between the full and minimum heating 

mode speeds. The manufacturer should 

prescribe an intermediate speed that is 

expected to yield the highest COP for 

the given H2V test conditions and 

bracketed compressor speed range. The 

manufacturer can designate that one or 

more specific indoor units are turned off 

for the H2V test. 

TABLE 14A—HEATING MODE TEST CONDITIONS FOR UNITS HAVING A VARIABLE-SPEED COMPRESSOR OTHER THAN

VARIABLE-SPEED NON-COMMUNICATING COIL-ONLY HEAT PUMPS

Test description 

Air entering indoor unit temperature (°F) Air entering outdoor unit temperature (°F) Compressor speed Heating air volume rate 

Dry bulb Wet bulb Dry bulb Wet bulb 

H01 test (required, steady) ..... 70 60 (max) ........... 62 56.5 ................ Heating Minimum ................... Heating Minimum.1

H12 test (optional, steady) ...... 70 60 (max) ........... 47 43 ................... Heating Full 4 .......................... Heating Full-Load.3

H11 test (required, steady) ..... 70 60 (max) ........... 47 43 ................... Heating Minimum ................... Heating Minimum.1

H1N test (required, steady) ..... 70 60 (max) ........... 47 43 ................... Heating Full 5 .......................... Heating Nominal7

H1C1 test (optional, cyclic) ..... 70 60 (max) ........... 47 43 ................... Heating Minimum ................... (2) 

H22 test (optional) ................... 70 60 (max) ........... 35 33 ................... Heating Full 4 .......................... Heating Full-Load.3

H2V test (required) .................. 70 60 (max) ........... 35 33 ................... Heating Intermediate .............. Heating Intermediate.6

H32 test (required, steady) ..... 70 60 (max) ........... 17 15 ................... Heating Full 4 .......................... Heating Full-Load.3

H42 test (optional, steady) ...... 70 60 (max) ........... 5 4 (max) ............. Heating Full 8 .......................... Heating Full-Load.3

1 Defined in section 3.1.4.5 of this appendix. 

2 Maintain the airflow nozzle(s) static pressure difference or velocity pressure during an ON period at the same pressure or velocity as measured during the H11

test. 3 Defined in section 3.1.4.4 of this appendix. 

4 Maximum speed that the system controls would operate the compressor in normal operation in 17 °F ambient temperature. The H12 test is not needed if the H1N

test uses this same compressor speed. 5 Maximum speed that the system controls would operate the compressor in normal operation in 47 °F ambient temperature. 6 Defined in section 3.1.4.6 of this appendix. 

7 Defined in section 3.1.4.7 of this appendix. 

8 Maximum speed that the system controls would operate the compressor in normal operation at 5 °F ambient temperature. 

3.6.4.2. Variable-Speed Compressor 

With Non-communicating Coil-Only 

Heat Pumps 

a. Conduct one maximum temperature 

test (H01), two high temperature tests 

(H1N and H11), two frost accumulation 

test (H22 and H21), and two low 

temperature tests (H32 and H31). 

Conducting one or both of the following 

tests is optional: An additional high 

temperature test (H12) and a very low 

temperature test (H42). Conduct the 

optional high temperature cyclic (H1C1) 

test to determine the heating mode 

cyclic-degradation coefficient, CDh. If 

this optional test is conducted and 

yields a tested CDh that exceeds the 

default CDh or if the optional test is not 

conducted, assign CDh the default value 

of 0.25. Test conditions for the ten tests 

are specified in Table 14B. The 

compressor shall operate for the H12

and H32 tests at the same heating full 

speed, measured by RPM or power 

input frequency (Hz), as the maximum 

speed at which the system controls 

would operate the compressor in normal 

operation in 17 °F ambient temperature. 

The compressor shall operate for the 

H1N test at the maximum speed at 

which the system controls would 

operate the compressor in normal 

operation in 47 °F ambient temperature. 

Additionally, for a cooling/heating heat 

pump, the compressor shall operate for 

the H1N test at a speed, measured by 

RPM or power input frequency (Hz), no 

lower than the speed used in the A2 test 

if the tested H1N heating capacity is less 

than the tested A2 cooling capacity. The 

compressor shall operate at the same 

heating minimum speed, measured by 

RPM or power input frequency (Hz), for 

the H01, H1C1, and H11 tests. 

b. If one of the high temperature tests 

(H12 or H1N) is conducted using the 

same compressor speed (RPM or power 


khammond on DSKJM1Z7X2PROD with PROPOSALS2EP24MR22.021</GPH>

where: 

Q~=2 (35) = 0.90 * {Q~=2 (17) + 0.6 * [Q~;cizc(47) - Q~=2 (17)]} 

tt=2 (35) = 0.985 * {£~=2 (17) + 0.6 * [Et;a1c(47) - tt=2 (17)]} 

Q~;1zcC 47) and E~;a1c(47) are the capacity and power input, respectively, 

representing full-speed operation at 47 °F for the HSPF2 calculations, calculated as 

described in section b above, and 
Federal Register / Vol. 87, No. 57 / Thursday, March 24, 2022 / Proposed Rules 16871 

input frequency) as the H32 test, set the 

47 °F capacity and power input values 

used for calculation of HSPF2 equal to 

the measured values for that test: 

Q ̇ h

k=2(47) is the capacity measured in 

the high temperature test (H12 or H1N) 

which used the same compressor speed 

as the H32 test, and 

E ̇ h

k=2(47) is the power input measured 

in the high temperature test (H12 or 

H1N) which used the same compressor 

speed as the H32 test. 

Evaluate the quantities Q ̇ h

k=2(47) and 

E ̇ h

k=2(47) according to section 3.7 of this 

appendix. 

Otherwise (if no high temperature test 

is conducted using the same speed 

(RPM or power input frequency) as the 

H32 test), calculate the 47 °F capacity 

and power input values used for 

calculation of HSPF2 as follows: 

Q ̇ h

k=2(17) is the capacity measured in 

the H32 test, 

E ̇ h

k=2(17) is the power input measured 

in the H32 test, 

CSF is the capacity slope factor, equal 

to 0.0204/°F for split systems, and 

PSF is the Power Slope Factor, equal to 

0.00455/°F. 

c. Determine the quantities Q ̇ h

k=2(17) 

and E ̇ h

k=2(17) from the H32 test, 

determine the quantities Q ̇ h

k=2(5) and 

E ̇ h

k=2(5) from the H42 test, and evaluate 

all four according to section 3.10 of this 

appendix. 

TABLE 14B—HEATING MODE TEST CONDITIONS FOR VARIABLE-SPEED NON-COMMUNICATING COIL-ONLY HEAT PUMPS

Test description 

Air entering indoor unit temperature (°F) Air entering outdoor unit temperature (°F) Compressor speed Heating air volume rate 

Dry bulb Wet bulb Dry bulb Wet bulb 

H01 test (required, steady) ..... 70 60 (max) ........... 62 56.5 ................ Heating Minimum ................... Heating Minimum.1

H12 test (optional, steady) ...... 70 60 (max) ........... 47 43 ................... Heating Full 4 .......................... Heating Full-Load.3

H11 test (required, steady) ..... 70 60 (max) ........... 47 43 ................... Heating Minimum ................... Heating Minimum.1

H1N test (required, steady) ..... 70 60 (max) ........... 47 43 ................... Heating Full 5 .......................... Heating Full-Load.3

H1C1 test (optional, cyclic) ..... 70 60 (max) ........... 47 43 ................... Heating Minimum ................... (2) 

H22 test (required) .................. 70 60 (max) ........... 35 33 ................... Heating Full 6 .......................... Heating Full-Load.3

H21 test (required) .................. 70 60 (max) ........... 35 33 ................... Heating Minimum 7 ................. Heating Minimum.1

H32 test (required, steady) ..... 70 60 (max) ........... 17 15 ................... Heating Full 4 .......................... Heating Full-Load.3


khammond on DSKJM1Z7X2PROD with PROPOSALS2EP24MR22.022</GPH> EP24MR22.023</GPH>

'k=2 'k=2 'k=2 'k=2 Qhcalc( 47) = Qh ( 47); Ehcalc( 47) = Eh ( 47) 

where: 

Q~;J1cC 4 7) and E~;aic ( 4 7) are the capacity and power input, respectively, 

representing full-speed operation at 47 °P for the HSPP2 calculations, 

where: 

Q~;Jc ( 4 7) and E~;aic ( 4 7) are the capacity and power input, respectively, representing fullspeed operation at 47 °P for the HSPP2 calculations, 
16872 Federal Register / Vol. 87, No. 57 / Thursday, March 24, 2022 / Proposed Rules 

TABLE 14B—HEATING MODE TEST CONDITIONS FOR VARIABLE-SPEED NON-COMMUNICATING COIL-ONLY HEAT PUMPS— 

Continued 

Test description 

Air entering indoor unit temperature (°F) Air entering outdoor unit temperature (°F) Compressor speed Heating air volume rate 

Dry bulb Wet bulb Dry bulb Wet bulb 

H31 test (required, steady) ..... 70 60 (max) ........... 17 15 ................... Heating Minimum 8 ................. Heating Minimum.1

H42 test (optional, steady) ...... 70 60 (max) ........... 5 4 (max) ............. Heating Full 9 .......................... Heating Full-Load.3

1 Defined in section 3.1.4.5 of this appendix. 

2 Maintain the airflow nozzle(s) static pressure difference or velocity pressure during an ON period at the same pressure or velocity as measured during the H11

test. 3 Defined in section 3.1.4.4 of this appendix. 

4 Maximum speed that the system controls would operate the compressor in normal operation in 17 °F ambient temperature. The H12 test is not needed if the H1N

test uses this same compressor speed. 5 Maximum speed that the system controls would operate the compressor in normal operation in 47 °F ambient temperature. 6 Maximum speed that the system controls would operate the compressor in normal operation in 35 °F ambient temperature. 7 Minimum speed that the system controls would operate the compressor in normal operation in 35 °F ambient temperature. 8 Minimum speed that the system controls would operate the compressor in normal operation in 17 °F ambient temperature. 9 Maximum speed that the system controls would operate the compressor in normal operation in 5 °F ambient temperature. 

* * * * * 3.6.6. Heating Mode Tests for 

Northern Heat Pumps with TripleCapacity Compressors 

* * * * * 

TABLE 15—HEATING MODE TEST CONDITIONS FOR UNITS WITH A TRIPLE-CAPACITY COMPRESSOR

Test description 

Air entering indoor unit (°F) Air entering outdoor unit (°F) 

Compressor capacity Heating air volume rate 

Dry bulb Wet bulb Dry bulb Wet bulb 

H01 Test (required, steady) .... 70 60 (max) ........... 62 56.5 ................ Low ......................................... Heating Minimum.1

H12 (required, steady) ............ 70 60 (max) ........... 47 43 ................... High ........................................ Heating Full-Load.2

H1C2 Test (optional,8 cyclic ... 70 60 (max) ........... 47 43 ................... High ........................................ (3) 

H11 Test (required, steady) .... 70 60 (max) ........... 47 43 ................... Low ......................................... Heating Minimum.1

H1C1 Test (optional, cyclic) .... 70 60 (max) ........... 47 43 ................... Low ......................................... (4) 

H23 Test (optional, steady) ..... 70 60 (max) ........... 35 33 ................... Booster ................................... Heating Full-Load.2

H22 Test (required) ................. 70 60 (max) ........... 35 33 ................... High ........................................ Heating Full-Load.2

H21 Test (required) ................. 70 60 (max) ........... 35 33 ................... Low ......................................... Heating Minimum.1

H33 Test (required, steady) .... 70 60 (max) ........... 17 15 ................... Booster ................................... Heating Full-Load.2

H3C3 Test 5 6 (optional, cyclic) 70 60 (max) ........... 17 15 ................... Booster ................................... (7) 

H32 Test (required, steady) .... 70 60 (max) ........... 17 15 ................... High ........................................ Heating Full-Load.2

H31 Test 5 (required, steady) .. 70 60 (max) ........... 17 15 ................... Low ......................................... Heating Minimum.1

H43 Test (required, steady) .... 70 60 (max) ........... 5 4 (max) ............. Booster ................................... Heating Full-Load.2

1 Defined in section 3.1.4.5 of this appendix. 

2 Defined in section 3.1.4.4 of this appendix. 

3 Maintain the airflow nozzle(s) static pressure difference or velocity pressure during the ON period at the same pressure or velocity as measured during the H12

test. 4 Maintain the airflow nozzle(s) static pressure difference or velocity pressure during the ON period at the same pressure or velocity as measured during the H11

test. 5 Required only if the heat pump’s performance when operating at low compressor capacity and outdoor temperatures less than 37 °F is needed to complete the 

section 4.2.6 HSPF2 calculations. 6 If table note 5 applies, the section 3.6.6 equations for Q ̇ h

k=1(35) and E ̇ hk=1(17) may be used in lieu of conducting the H21 test. 7 Maintain the airflow nozzle(s) static pressure difference or velocity pressure during the ON period at the same pressure or velocity as measured during the H33

test. 8 Required only if the heat pump locks out low-capacity operation at lower outdoor temperatures 

* * * * * 

3.7 * * * 

c. For mobile home and spaceconstrained ducted coil-only system 

tests, 

(1) For two-stage or variable-speed 

systems, for all steady-state maximum 

temperature and high temperature tests 

that specify the heating minimum air 

volume rate or the heating intermediate 

air volume rate (i.e., the H01 and H11

tests) and for which the minimum or 

intermediate air volume rate is 75 

percent of the cooling full-load air 

volume rate: 


khammond on DSKJM1Z7X2PROD with PROPOSALS2EP24MR22.024</GPH>

Q k (T) b ·. 1130 Btu/h * v.· and 

mcrease c y 1000 scfm s' 

, k 331 W · increase Ee (T) by: ---* V5 . lO00scfm 
Federal Register / Vol. 87, No. 57 / Thursday, March 24, 2022 / Proposed Rules 16873 

(2) For two-stage or variable-speed 

systems, for all steady-state maximum 

temperature and high temperature tests 

that specify the heating full-load air 

volume rate or the heating nominal air 

volume rate (i.e., the H12 and the H1N

tests) or tests using a minimum or 

intermediate air volume rate that is 

greater than 75 percent of the cooling 

full-load air volume rate: 

(3) For single-stage systems, for all 

steady-state maximum temperature and 

high temperature tests (i.e., the H1 

test)— 

Where V ̇ S is the average measured 

indoor air volume rate expressed in 

units of cubic feet per minute of 

standard air (scfm). 

d. For non-mobile, non-spaceconstrained home ducted coil-only 

system tests, 

(1) For two-stage or variable-speed 

systems, for all steady-state maximum 

temperature and high temperature tests 

that specify the heating minimum air 

volume rate or the heating intermediate 

air volume rate (i.e., the H01 and H11

tests) and for which the minimum or 

intermediate air volume rate is 75 

percent of the cooling full-load air 

volume rate: 

(2) For two-stage or variable-speed 

systems, for all steady-state maximum 

temperature and high temperature tests 

that specify the heating full-load air 

volume rate or the heating nominal air 

volume rate (i.e., the H12 and the H1N

tests) or tests using a minimum or 

intermediate air volume rate that is 

greater than 75 percent of the cooling 

full-load air volume rate: 


khammond on DSKJM1Z7X2PROD with PROPOSALS2EP24MR22.025</GPH> EP24MR22.026</GPH> EP24MR22.027</GPH>

Q k (T) b ·. 1385 Btu/h * v.· and 

mcrease e y 1000 sefm s, 

. • k 406W · mcrease Ee (T) by: ---* Vs. lO00sefm 

Q k (T) b ·. 1385 Btu/h * v.· and 

mcrease e y 1000 sefm s, 

. • k 406W · mcrease Ee (T) by: ---* Vs. lO00sefm 

Q k (T) b ·. 1228 Btu/h * v.· and 

mcrease e y 1000 sefm s, 

· k 360 W · increase Ee (T) by: ---* Vs. lO00sefm 
16874 Federal Register / Vol. 87, No. 57 / Thursday, March 24, 2022 / Proposed Rules 

where V ̇ S is the average measured 

indoor air volume rate expressed in 

units of cubic feet per minute of 

standard air (scfm). 

* * * * * 

3.8 * * * 

b. For ducted coil-only system heat 

pumps (excluding the special case 

where a variable-speed fan is 

temporarily removed), 

(1) For mobile home and spaceconstrained ducted coil-only systems 

(i) For two-stage or variable-speed 

systems, for all cyclic heating tests that 

specify the heating minimum air 

volume rate (i.e., the H1C1 test), increase 

qcyc by the amount calculated using 

Equation 3.5–3. Additionally, increase 

ecyc by the amount calculated using 

Equation 3.5–2. 

(ii) For two-stage or variable-speed 

systems, for all cyclic heating tests that 

specify the heating full-load air volume 

rate (i.e., the H1C2 test), increase qcyc by 

the amount calculated using Equation 

3.5–5. Additionally, increase ecyc by the 

amount calculated using Equation 3.5– 

4. 

(iii) For single-stage systems, for all 

cyclic heating tests (i.e., the H1C and 

H1C1 tests), increase qcyc by the amount 

calculated using Equation 3.5–5. 

Additionally, increase ecyc by the 

amount calculated using Equation 3.5– 

4. 

(2) For non-mobile home and nonspace-constrained ducted coil-only 

systems 

(i) For two-stage or variable-speed 

systems, for all cyclic heating tests that 

specify the heating minimum air 

volume rate (i.e., the H1C1 test)— 

increase qcyc by the amount calculated 

using Equation 3.5–7. Additionally, 

increase ecyc by the amount calculated 

using Equation 3.5–6. 

(ii) For two-stage or variable-speed 

systems, for all cyclic heating tests that 

specify the heating full-load air volume 

rate (i.e., the H1C2 test)—increase qcyc by 

the amount calculated using Equation 

3.5–9. Additionally, increase ecyc by the 

amount calculated using Equation 3.5– 

8. 

(iii) For single-stage systems, for all 

cyclic heating tests (i.e., the H1C and 

H1C1 tests)—increase qcyc by the amount 

calculated using Equation 3.5–9. 

Additionally, increase ecyc by the 

amount calculated using Equation 3.5– 

8. 

In making these calculations, use the 

average indoor air volume rate (V ̇ S) 

determined from the section 3.7 of this 

appendix steady-state heating mode test 

conducted at the same test conditions. 

* * * * * 

3.9.1 * * * 

(1) For mobile home and spaceconstrained ducted coil-only system 

tests, 

(i) For two-stage or variable-speed 

systems, for all frost accumulation tests 

that specify the heating minimum air 

volume rate or the heating intermediate 

air volume rate (i.e., the H21 and H2V

tests) and for which the minimum or 

intermediate air volume rate is 75 

percent of the cooling full-load air 

volume rate, 


khammond on DSKJM1Z7X2PROD with PROPOSALS2EP24MR22.028</GPH> EP24MR22.029</GPH>

Q k (T) b ·. 1505 Btu/h * v.· and lllCreaSe e y 1000 sefm S, 

, k 441 W · increase Ee (T) by: ---* V5 . 1000 sefm 

(3) For single-stage systems, for all steady-state maximum temperature and 

high temperature tests (i.e., the Hl test) -

Q k (T) b ·. 1505 Btu/h * v.· and lllCreaSe e y 1000 sefm S, 

, k 441 W · increase Ee (T) by: ---* V5 . 1000 sefm 

• k edef(35) . b. Evaluate average electrical power, Eh (35) = ~'---, when expressed m 

/J.TFR 

units of watts, using: 
Federal Register / Vol. 87, No. 57 / Thursday, March 24, 2022 / Proposed Rules 16875 

(ii) For two-stage and variable-speed 

systems, for all frost accumulation tests 

that specify the heating full-load air 

volume rate or the heating nominal air 

volume rate (i.e., the H22 test) or tests 

using a minimum or intermediate air 

volume rate that is greater than 75 

percent of the cooling full-load air 

volume rate: 

where V ̇ S is the average measured 

indoor air volume rate expressed in 

units of cubic feet per minute of 

standard air (scfm). 

(2) For non-mobile home and nonspace-constrained ducted coil-only 

systems, 

(i) For two-stage or variable-speed 

systems, for all frost accumulation tests 

that specify the heating minimum air 

volume rate or the heating intermediate 

air volume rate (i.e., the H21 and H2V 

tests) and for which the minimum or 

intermediate air volume rate is 75 

percent of the cooling full-load air 

volume rate, 

(ii) For two-stage and variable-speed 

systems, for all frost accumulation tests 

that specify the heating full-load air 

volume rate or the heating nominal air 

volume rate (i.e., the H22 test) or tests 

using a minimum or intermediate air 

volume rate that is greater than 75 

percent of the cooling full-load air 

volume rate: 


khammond on DSKJM1Z7X2PROD with PROPOSALS2EP24MR22.030</GPH> EP24MR22.031</GPH> EP24MR22.032</GPH>

k 1130BtuJ 

increase Qh (35) by h * Vs, and 

lO00scfm 

. · k 331 W · mcrease Eh (35) by,---* Vs. 

1000 scfm 

13s5Btu; . 

increase Q/(35) by h * Vs, and 

1000 scfm 

. , k 406 W · mcrease Eh (35) by,---* Vs. 1000 scfm 

(iii) For single-stage systems, for all frost accumulation tests (i.e., the H2 test)-

13s5Btu; . 

increase Q/(35) by h * Vs, and 

1000 scfm 

. , k 406 W · mcrease Eh (35) by,---* Vs. 1000 scfm 

k 122aBtu; . 

increase Qh (35) by h * Vs, and 

, k 

increase Eh (35) by, 

360W * V, 

lO00scfm S· 

lO00scfm 
16876 Federal Register / Vol. 87, No. 57 / Thursday, March 24, 2022 / Proposed Rules 

where V ̇ S is the average measured 

indoor air volume rate expressed in 

units of cubic feet per minute of 

standard air (scfm). 

* * * * * 

4.1.4 SEER2 Calculations for an Air 

Conditioner or Heat Pump Having a 

Variable-Speed Compressor 

Calculate SEER2 using Equation 4.1– 

1. Evaluate the space cooling capacity, 

Q ̇ c

k=1(Tj), and electrical power 

consumption, E ̇ c

k=1(Tj), of the test unit 

when operating at minimum compressor 

speed and outdoor temperature Tj.. Use, 

where Q ̇ c

k=1(82) and E ̇ ck=1(82) are 

determined from the B1 test, Q ̇ c

k=1(67) 

and E ̇ c

k=1(67) are determined from the 

F1 test, and all four quantities are 

calculated as specified in section 3.3 of 

this appendix. Evaluate the space 

cooling capacity, Q ̇ c

k=2(Tj), and 

electrical power consumption, E ̇ c

k=2(Tj), 

of the test unit when operating at full 

compressor speed and outdoor 

temperature Tj. Use Equations 4.1.3–3 

and 4.1.3–4, respectively, where 

Q ̇ c

k=2(95) and E ̇ ck=2(95) are determined 

from the A2 test, Q ̇ c

k=2(82) and E ̇ c

k=2(82) 

are determined from the B2 test, and all 

four quantities are calculated as 

specified in section 3.3 of this appendix. 

For units other than variable-speed noncommunicating coil-only airconditioners or heat pumps, calculate 

the space cooling capacity, Q ̇ c

k=v(Tj), 

and electrical power consumption, 

E ̇ c

k=v(Tj), of the test unit when operating 

at outdoor temperature Tj and the 

intermediate compressor speed used 

during the section 3.2.4 (and Table 8) EV

test of this appendix using, 

where Q ̇ c

k=v(87) and E ̇ ck=v(87) are 

determined from the EV test and 

calculated as specified in section 3.3 of 

this appendix. Approximate the slopes 

of the k=v intermediate speed cooling 

capacity and electrical power input 

curves, MQ and ME, as follows: 


khammond on DSKJM1Z7X2PROD with PROPOSALS2EP24MR22.033</GPH> EP24MR22.034</GPH> EP24MR22.035</GPH>

1sosBtu; . increase Q/(35) by h * Vs, and 

1000 scfm 

, k 441 W · increase Eh (35) by,---* Vs, 1000 scfm 

(iii) For single-stage systems, for all frost accumulation tests (i.e., the H2 test) -

1sosBtu; . increase Q/(35) by h * Vs, and 

1000 scfm 

, k 441 W · increase Eh (35) by,---* Vs. 1000 scfm 

Equation 4.1.4-1 

Equation 4.1.4-2 

Equation 4.1.4-3 

Equation 4.1.4-4 

Q~=v(1'j) = Q~=v(87) + MQ * (Tj - 87) 

E~=v(1'j) = t:=v(87) +ME* (Tj - 87) 
Federal Register / Vol. 87, No. 57 / Thursday, March 24, 2022 / Proposed Rules 16877 

Use Equations 4.1.4–1 and 4.1.4–2, 

respectively, to calculate Q ̇ c

k=1(87) and 

E ̇ c

k=1(87). 

* * * * * 

4.1.4.2.1 Units That Are Not VariableSpeed Non-Communicating Coil-Only 

Air Conditioners or Heat Pumps 

If the unit operates at an intermediate 

compressor speed (k=i) in order to 

match the building cooling load at 

temperature Tj, Q ̇ c

k=1(Tj) < BL(Tj) < 

Q ̇ c

k=2(Tj). 

Where: 

Q ̇ c

k=1(Tj) = BL(Tj), the space cooling 

capacity delivered by the unit in 

matching the building load at 

temperature Tj, in Btu/h. The matching 

occurs with the unit operating at 

compressor speed k = i. 

EERk=i(Tj) = the steady-state energy 

efficiency ratio of the test unit when 

operating at a compressor speed of k = 

i and temperature Tj, Btu/h per W. 

Obtain the fractional bin hours for the 

cooling season, nj/N, from Table 19 of 

this section. For each temperature bin 

where the unit operates at an 

intermediate compressor speed, 

determine the energy efficiency ratio 

EERk=i

(Tj) using the following equations, 

For each temperature bin where 

Q ̇ c

k=1(Tj) < BL(Tj) < Q ̇ ck=v(Tj), 

where: 

EERk=1(Tj) is the steady-state energy 

efficiency ratio of the test unit when 

operating at minimum compressor speed 

and temperature Tj, in Btu/h per W, 

calculated using capacity Q ̇ c

k=1(Tj) 

calculated using Equation 4.1.4–1 and 

electrical power consumption E ̇ c

k=1(Tj) 

calculated using Equation 4.1.4–2; 

EERk=v(Tj) is the steady-state energy 

efficiency ratio of the test unit when 

operating at intermediate compressor 

speed and temperature Tj, in Btu/h per 

W, calculated using capacity Q ̇ c

k=v(Tj) 

calculated using Equation 4.1.4–3 and 

electrical power consumption E ̇ c

k=v(Tj) 

calculated using Equation 4.1.4–4; 

EERk=2(Tj) is the steady-state energy 

efficiency ratio of the test unit when 

operating at full compressor speed and 

temperature Tj, Btu/h per W, calculated 

using capacity Q ̇ c

k=2(Tj) and electrical 

power consumption E ̇ c

k=2(Tj), both 

calculated as described in section 4.1.4 

of this appendix; and 

BL(Tj) is the building cooling load at 

temperature Tj, Btu/h. 


khammond on DSKJM1Z7X2PROD with PROPOSALS2EP24MR22.036</GPH> EP24MR22.037</GPH> EP24MR22.038</GPH> EP24MR22.039</GPH>

where, 

N = Q~=V(87)-Q~=1 (87) 

Q Q~=2 (87)-Q~=1 cs1) and N = E~=V(87)-E~=1 cs1) E E~=2 (87)-E~=1 (87) 

qc(Tj) = Q' k=i(T·) * nj 

N c J N 

ec(Tj) = Ek=i(T·) * nj 

N c J N 

tt=i(1j) = E;!:~\~~) the electrical power input required by the test unit when 

operating at a compressor speed of k = i and temperature Tj, in W. 
16878 Federal Register / Vol. 87, No. 57 / Thursday, March 24, 2022 / Proposed Rules 

4.1.4.2.2 Variable-Speed NonCommunicating Coil-Only Air 

Conditioners or Heat Pumps 

If the unit alternates between high 

(k=2) and low (k=1) compressor 

capacity to satisfy the building cooling 

load at temperature Tj, Q ̇ c

k=1(Tj) < BL(Tj) 

< Q ̇ c

k=2(Tj). 

Xk=2(Tj) = 1¥Xk=1(Tj), the cooling mode, 

high capacity load factor for 

temperature bin j (dimensionless). 

Obtain the fractional bin hours for the 

cooling season, nj/N, from Table 19. 

Obtain Q ̇ c

k=1(Tj), E ̇ ck=1(Tj), Q ̇ ck=2(Tj), 

and E ̇ c

k=2(Tj) as described in section 

4.1.4 of this appendix. 

* * * * * 

4.2 * * * 

Evaluate the building heating load using 

where, 

Tj = the outdoor bin temperature, °F; 

Tzl = the zero-load temperature, °F, which 

varies by climate region according to 

Table 20; 

C = slope (adjustment) factor, which varies 

by climate region according to Table 20. 

When calculating building load for a 

variable-speed compressor system, 

substitute CVS for C; 

Qc(95 °F) = the cooling capacity at 95 °F 

determined from the A or A2 test, Btu/ 

h. For heating-only heat pump units, 

replace Qc(95 °F) in Equation 4.2–2 with 

Qh(47 °F); 

Qh(47 °F) = the heating capacity at 47 °F 

determined from the H1 test for units 

having a single-speed compressor, H12

for units having a two-capacity 

compressor, and H1N test for units 

having a variable-speed compressor, Btu/ 

h. 

* * * * * 

4.2.3 * * * 

The calculation of the Equation 4.2– 

1 quantities differ depending upon 

whether the heat pump would operate 

at low capacity (section 4.2.3.1 of this 

appendix), cycle between low and high 

capacity (section 4.2.3.2 of this 

appendix), or operate at high capacity 

(sections 4.2.3.3 and 4.2.3.4 of this 

appendix) in responding to the building 

load. For heat pumps that lock out low 

capacity operation at low outdoor 

temperatures, the outdoor temperature 

at which the unit locks out must be that 

specified by the manufacturer in the 

certification report so that the 

appropriate equations can be selected. 

* * * * * 

4.2.3.4 Heat Pump Must Operate 

Continuously at High (k=2) Compressor 

Capacity at Temperature Tj, BL(Tj) ≥ 

Qh

k=2(Tj) 


khammond on DSKJM1Z7X2PROD with PROPOSALS2EP24MR22.040</GPH> EP24MR22.041</GPH> EP24MR22.042</GPH>

where: 

k=l( ) _ Q~=2 (Tj)-BL(Tj) . . X 1⁄2 - . k=z( ·)-. k=ic ·) the coohng mode, low capacity load factor for 

QC Tl QC Tl 

temperature bin j (dimensionless); and 

Equation 4.2-2 
Federal Register / Vol. 87, No. 57 / Thursday, March 24, 2022 / Proposed Rules 16879 

4.2.4 * * * 

a. Minimum Compressor Speed. 

For units other than variable-speed 

non-communicating coil-only heat 

pumps, evaluate the space heating 

capacity, Qh

k=1(Tj), and electrical power 

consumption, Eh

k=1(Tj), of the heat 

pump when operating at minimum 

compressor speed and outdoor 

temperature Tj using 

where Qh

k=1(62) and Ehk=1(62) are 

determined from the H01 test, Qh

k=1(47) 

and Eh

k=1(47) are determined from the 

H11 test, and all four quantities are 

calculated as specified in section 3.7 of 

this appendix. 

For variable-speed noncommunicating coil-only heat pumps, 

when Tj is greater than or equal to 47 

°F, evaluate the space heating capacity, 

Q ̇ h

k=1(Tj), and electrical power 

consumption, E ̇ h

k=1(Tj), of the heat 

pump when operating at minimum 

compressor speed as described in 

Equations 4.2.4–1 and 4.2.4–2, 

respectively. When Tj is less than 47 °F, 

evaluate the space heating capacity, 

Q ̇ h

k=1(Tj), and electrical power 

consumption, E ̇ h

k=1(Tj) using 


khammond on DSKJM1Z7X2PROD with PROPOSALS2EP24MR22.043</GPH> EP24MR22.044</GPH>

RH(Tj) BL(1j) - [Q~=2 * o'(1j)] nj --= ------=----*-

N 3.413:~ N 

where: 

0, 

1 o'(1j) = 2' 

1, 

* * * * 

* ( ) . ( ) ( )-uc [ ( ) ] ) -=----------=-

Equation 4.2.4-1 

Q. k=I(T-) = Q. k=1(47) + Q~=1(62)-Q~=1(47) * (T- - 47)· and 

h J h 62-47 J ' 

Equation 4.2.4-2 

£k=l(62) - £k=l(47) £k=l(T-) = £k=1(47) + h h * (T- - 47) h J h 62 - 47 J 
16880 Federal Register / Vol. 87, No. 57 / Thursday, March 24, 2022 / Proposed Rules 

and 

where Q ̇ h

k=1(47) and E ̇ hk=1(47) are 

determined from the H11 test, and both 

quantities are calculated as specified in 

section 3.7 of this appendix; Q ̇ h

k=1(35) 

and E ̇ h

k=1(35) are determined from the 

H21 test, and are calculated as specified 

in section 3.9 of this appendix; Q ̇ h

k=1(17) 

and E ̇ h

k=1(17) are determined from the 

H31 test, and are calculated as specified 

in section 3.10 of this appendix; and 

Q ̇ h

k=2(Tj) and E ̇ hk=2(Tj) are calculated as 

described in section 4.2.4.c or 4.2.4.d of 

this appendix, as appropriate. 

b. Minimum Compressor Speed for 

Minimum-speed-limiting Variablespeed Heat Pumps: For units other than 

variable-speed non-communicating coilonly heat pumps, evaluate the space 

heating capacity, Q ̇ h

k=1(Tj), and 

electrical power consumption, E ̇ h

k=1(Tj), 

of the heat pump when operating at 

minimum compressor speed and 

outdoor temperature Tj using 


khammond on DSKJM1Z7X2PROD with PROPOSALS2EP24MR22.045</GPH> EP24MR22.046</GPH>

Equation 4.2.4-3 

Q~=1(11) 

, k-l [Q~=1(47) - Q~=1(35)] * (11 - 35) 

Qh - (35) + 47 - 35 ' 

. [Qk=1(35) - Qk=l(17)] * (T· - 17) Qk=1(17) + h h J 

h 35-17 ' 

= 

Q~=2 (Ti) * ( Q~=1(17)/ Q~=2 (17)) , 

Equation 4.2.4-4 

t~=1(11) 

. [Ek=l( 47) - £k=l(35)] * (T· - 35) Ek=1(35) + h h J 

h 47 - 35 ' 

. [Ek=l(35) - £k=l(17)] * (T· - 17) Ek=1(17) + h h J 

h 35-17 ' 

= 

E~=2 (Ti) * (t~=1(17)/ tt=2 (17)), 

if 17 °F ~ Tj < 3 5 °F 

if1⁄2 < 17 °F 

if 17 °F ~ 1⁄2 < 3 5 °F 

if1⁄2 < 17 °F 
Federal Register / Vol. 87, No. 57 / Thursday, March 24, 2022 / Proposed Rules 16881 

where Q ̇ h

k=1(62) and E ̇ hk=1(62) are 

determined from the H01 test, Q ̇ h

k=1(47) 

and E ̇ h

k=1(47) are determined from the 

H11 test, and all four quantities are 

calculated as specified in section 3.7 of 

this appendix; Q ̇ h

k=v(35) and E ̇ hk=v(35) 

are determined from the H2v test and are 

calculated as specified in section 3.9 of 

this appendix; and Q ̇ h

k=v(Tj) and 

E ̇ h

k=v(Tj) are calculated using equations 

4.2.4–7 and 4.2.4–8, respectively. 

For variable-speed noncommunicating coil-only heat pumps, 

evaluate the space heating capacity, 

Q ̇ h

k=1(Tj), and electrical power 

consumption, E ̇ h

k=1(Tj), of the heat 

pump as described in section 4.2.4.a, 

using Equations 4.2.4–1, 4.2.4–2, 4.2.4– 

3 and 4.2.4–4, as appropriate. 

c. Full Compressor Speed for Heat 

Pumps for which the H42 test is not 

conducted. 

Evaluate the space heating capacity, 

Q ̇ h

k=2(Tj), and electrical power 

consumption, E ̇ h

k=2(Tj), of the heat 

pump when operating at full 

compressor speed and outdoor 

temperature Tj using 

and 


khammond on DSKJM1Z7X2PROD with PROPOSALS2EP24MR22.047</GPH> EP24MR22.048</GPH>

Equation 4.2.4-5 

and 

Equation 4.2.4-6 

{ · k=Z [Q~;cizc(47) - Q~=2 (17)] * (1j -17)} (Q~=N(47)) Qh (l7) + 47 - 17 * Q. k=Z (47) , hcalc 

if 1j ~ 45 °F 

Q. k=2(17) [Q~=zc35) - Q~=zc11)] * (Tj - 17) if 17 OF::;; T < 45 OF 

h + 35 - 17 , J 

. k=Zc ) [Q~;cizc(47) - Q~=2 (17)] * (1j -17) 

Qh 17 + 4 7 _ 17 , if 1j < 17 °F 
16882 Federal Register / Vol. 87, No. 57 / Thursday, March 24, 2022 / Proposed Rules 

Determine Q ̇ h

k=N(47) and E ̇ hk=N(47) 

from the H1N test and the calculations 

specified in section 3.7 of this appendix. 

See section 3.6.4.b of this appendix 

regarding determination of the capacity 

Q ̇ hcalck=2(47) and power input 

E ̇ hcaclk=2(47) used in the HSPF2 

calculations to represent the H12 Test. 

Determine Q ̇ h

k=2(35) and E ̇ hk=2(35) from 

the H22 test and the calculations 

specified in section 3.9 of this appendix 

or, if the H22 test is not conducted, by 

conducting the calculations specified in 

section 3.6.4 of this appendix. 

Determine Q ̇ h

k=2(17) and E ̇ hk=2(17) from 

the H32 test and the methods specified 

in section 3.10 of this appendix. 

* * * * * 

e. Intermediate Compressor Speed. 

For units other than variable-speed noncommunicating coil-only heat pumps, 

calculate the space heating capacity, 

Q ̇ h

k=v(Tj), and electrical power 

consumption, E ̇ h

k=v(Tj), of the heat 

pump when operating at outdoor 

temperature Tj and the intermediate 

compressor speed used during the 

section 3.6.4 H2V test using 

where Q ̇ h

k=v(35) and E ̇ hk=v(35) are 

determined from the H2V test and 

calculated as specified in section 3.9 of 

this appendix. Approximate the slopes 

of the k=v intermediate speed heating 

capacity and electrical power input 

curves, MQ and ME, as follows: 

Use Equations 4.2.4–1 and 4.2.4–2, 

respectively, to calculate Q ̇ h

k=1(35) and 

E ̇ h

k=1(35), whether or not the heat pump 

is a minimum-speed-limiting variablespeed heat pump. 

For variable-speed noncommunicating coil-only heat pumps, 

there is no intermediate speed. 

4.2.4.1 Steady-State Space Heating 

Capacity When Operating at Minimum 

Compressor Speed is Greater Than or 

Equal to the Building Heating Load at 

Temperature Tj, Q ̇ h

k=1(Tj ≥BL(Tj). 

Evaluate the Equation 4.2–1 quantities 

as specified in section 4.2.3.1 of this 

appendix. Except now use Equations 

4.2.4–1 and 4.2.4–2 (for heat pumps that 

are not minimum-speed-limiting and are 

not variable-speed non-communicating 

coil-only heat pumps), Equations 4.2.4– 

1, 4.2.4–2, 4.2.4–3 and 4.2.4–4 as 

appropriate (for variable-speed noncommunicating coil-only heat pumps), 

or Equations 4.2.4–5 and 4.2.4.-6 (for 

minimum-speed-limiting variable-speed 

heat pumps that are not variable-speed 

non-communicating coil-only heat 

pumps) to evaluate Q ̇ h

k=1(Tj) and 

E ̇ h

k=1(Tj), respectively, and replace 

section 4.2.3.1 references to ‘‘low 

capacity’’ and section 3.6.3 of this 


khammond on DSKJM1Z7X2PROD with PROPOSALS2EP24MR22.049</GPH> EP24MR22.050</GPH> EP24MR22.051</GPH> EP24MR22.052</GPH>

where, 

Equation 4.2.4-7 

Equation 4.2.4-8 

Ek=2(T) - h j -

if1⁄2 ~ 45 °F 

<j~=v(1⁄2) = <j~=v(35) + MQ * (Tj - 35), and 

E~=v(1⁄2) = t:=v(35) +ME* (Tj - 35) 

and 

RH(Tj) and eh(Tj) 

N N 
Federal Register / Vol. 87, No. 57 / Thursday, March 24, 2022 / Proposed Rules 16883 

appendix with ‘‘minimum speed’’ and 

section 3.6.4 of this appendix. 

4.2.4.2 Heat Pump Operates at an 

Intermediate Compressor Speed (k=i) 

or, for a Variable-Speed NonCommunicating Coil-Only Heat Pump, 

Cycles Between High and Low Speeds, 

in Order to Match the Building Heating 

Load at a Temperature Tj, Q ̇ h

k=1(Tj) 

<BL(Tj) <Q ̇ h

k=2(Tj). 

For units that are not variable-speed 

non-communicating coil-only heat 

pumps, calculate 

and d(Tj) is evaluated using Equation 

4.2.3–3, while 

Q ̇ h

k=i

(Tj) = BL(Tj), the space heating 

capacity delivered by the unit in 

matching the building load at 

temperature (Tj), in Btu/h. The matching 

occurs with the heat pump operating at 

compressor speed k=i, and 

COPk=i

(Tj) = the steady-state 

coefficient of performance of the heat 

pump when operating at compressor 

speed k=i and temperature Tj

(dimensionless). 

For each temperature bin where the 

heat pump operates at an intermediate 

compressor speed, determine COPk=i

(Tj) 

using the following equations, 

For each temperature bin where 

Q ̇ h

k=1(Tj) <BL(Tj) <Q ̇ hk=v(Tj), 

For each temperature bin where 

Q ̇ h

k=v(Tj) ≤BL(Tj) <Q ̇ hk=2(Tj), 


khammond on DSKJM1Z7X2PROD with PROPOSALS2EP24MR22.053</GPH> EP24MR22.054</GPH> EP24MR22.055</GPH>

RH(Tj) . . h"l l . eh(Tj) . -- usmg Equat10n 4.2.3-2 w 1 e eva uatmg -- usmg, N N 

where: 
16884 Federal Register / Vol. 87, No. 57 / Thursday, March 24, 2022 / Proposed Rules 

where: 

COPh

k=1(Tj) is the steady-state coefficient of 

performance of the heat pump when 

operating at minimum compressor speed 

and temperature Tj, dimensionless, 

calculated using capacity Q ̇ h

k=1(Tj) 

calculated using Equation 4.2.4–1 or 

4.2.4–3 and electrical power 

consumption E ̇ h

k=1(Tj) calculated using 

Equation 4.2.4–2 or 4.2.4–4; 

COPh

k=v(Tj) is the steady-state coefficient of 

performance of the heat pump when 

operating at intermediate compressor 

speed and temperature Tj, 

dimensionless, calculated using capacity 

Q ̇ h

k=v(Tj) calculated using Equation 

4.2.4–7 and electrical power 

consumption E ̇ h

k=v(Tj) calculated using 

Equation 4.2.4–8; 

COPh

k=2(Tj) is the steady-state coefficient of 

performance of the heat pump when 

operating at full compressor speed and 

temperature Tj (dimensionless), 

calculated using capacity Q ̇ h

k=2(Tj) and 

electrical power consumption E ̇ h

k=2(Tj), 

both calculated as described in section 

4.2.4; and 

BL(Tj) is the building heating load at 

temperature Tj, in Btu/h. 

* * * * * 

[FR Doc. 2022–04269 Filed 3–23–22; 8:45 am] 

BILLING CODE 6450–01–P 


khammond on DSKJM1Z7X2PROD with PROPOSALS2EP24MR22.056</GPH>

For variable-speed non-communicating heat pumps, calculate RH(rj) and eh(rj) N N 

as described in section 4.2.3.2 of this appendix with the understanding that Qhk~2(Tj) and 

correspond to minimum compressor speed operation, and all four quantities are derived 

from the results of the specified section 3.6.4 tests of this appendix.