83 FR 34499 - Energy Conservation Program: Test Procedure for Single Package Vertical Air Conditioners and Single Package Vertical Heat Pumps

DEPARTMENT OF ENERGY

Federal Register Volume 83, Issue 140 (July 20, 2018)

The U.S. Department of Energy (``DOE'') is initiating a data collection process through this request for information (``RFI'') to consider whether to amend DOE's test procedure for single package vertical air conditioners (``SPVACs'') and single package vertical heat pumps (``SPVHPs''), collectively referred to as single package vertical units (``SPVUs''). To inform interested parties and to facilitate the process, DOE has gathered data, identifying several issues associated with the currently applicable test procedure on which DOE is interested in receiving comment. The issues outlined in this document mainly concern: Incorporation by reference of the applicable industry standard; efficiency metrics; clarification of test methods; and any additional topics that may inform DOE's decisions in a future test procedure rulemaking, including methods to reduce regulatory burden while ensuring the procedure's accuracy. DOE welcomes written comments from the public on any of subject within the scope of this document (including topics not raised in this RFI).

[Federal Register Volume 83, Number 140 (Friday, July 20, 2018)]
[Proposed Rules]
[Pages 34499-34505]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2018-15584]


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DEPARTMENT OF ENERGY

10 CFR Part 431

[EERE-2017-BT-TP-0020]


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

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

ACTION: Request for information.

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SUMMARY: The U.S. Department of Energy (``DOE'') is initiating a data 
collection process through this request for information (``RFI'') to 
consider whether to amend DOE's test procedure for single package 
vertical air conditioners (``SPVACs'') and single package vertical heat 
pumps (``SPVHPs''), collectively referred to as single package vertical 
units (``SPVUs''). To inform interested parties and to facilitate the 
process, DOE has gathered data, identifying several issues associated 
with the currently applicable test procedure on which DOE is interested 
in receiving comment. The issues outlined in this document mainly 
concern: Incorporation by reference of the applicable industry 
standard; efficiency metrics; clarification of test methods; and any 
additional topics that may inform DOE's decisions in a future test 
procedure rulemaking, including methods to reduce regulatory burden 
while ensuring the procedure's accuracy. DOE welcomes written comments 
from the public on any of subject within the scope of this document 
(including topics not raised in this RFI).

DATES: Written comments and information are requested and will be 
accepted on or before September 4, 2018.

ADDRESSES: Interested persons are encouraged to submit comments by any 
of the following methods:
    1. Federal eRulemaking Portal: http://www.regulations.gov. Follow 
the instructions for submitting comments.
    2. Email: [email protected]. Include docket 
number EERE-2017-BT-TP-0020 in the subject line of the message.
    3. Postal Mail: Appliance and Equipment Standards Program, U.S. 
Department of Energy, Building Technologies Office, Mailstop EE-5B, 
Test Procedure RFI for Single Package Vertical Air Conditioners and 
Heat Pumps, Docket No. EERE-2017-BT-TP-0020, 1000 Independence Avenue 
SW, Washington, DC 20585-0121. If possible, please submit all items on 
a compact disc (``CD''), in which case it is not necessary to include 
printed copies.
    4. Hand Delivery/Courier: Appliance and Equipment Standards 
Program, U.S. Department of Energy, Building Technologies Office, 950 
L'Enfant Plaza SW, Suite 600, Washington, DC 20024. Telephone: (202) 
287-1445. If possible, please submit all items on a CD, in which case 
it is not necessary to include printed copies.
    No telefacsimilies (faxes) will be accepted. For detailed 
instructions on submitting comments and additional information on the 
rulemaking process, see section III of this document.
    Docket: The docket for this activity, which includes Federal 
Register notices, comments, and other supporting documents/materials, 
is available for review at http://www.regulations.gov. All documents in 
the docket are listed in the http://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 https://www.regulations.gov/docket?D=EERE-2017-BT-TP-0020. The docket web page contains 
instructions on how to access all documents, including public comments, 
in the docket. See section III for information on how to submit 
comments through http://www.regulations.gov.

FOR FURTHER INFORMATION CONTACT: 
    Ms. Catherine Rivest, U.S. Department of Energy, Office of Energy 
Efficiency and Renewable Energy, Building Technologies Office, EE-5B, 
1000 Independence Avenue SW, Washington, DC 20585-0121. Telephone: 
(202) 586-7335. Email: [email protected].
    Mr. Eric Stas, U.S. Department of Energy, Office of the General 
Counsel, GC-33, 1000 Independence Avenue SW, Washington, DC 20585. 
Telephone: (202) 586-9507. Email: [email protected].
    For further information on how to submit a comment, or review other 
public comments and the docket, contact the Appliance and Equipment 
Standards Program staff at (202) 287-1445 or by email: 
[email protected].

SUPPLEMENTARY INFORMATION:

Table of Contents

I. Introduction
    A. Authority and Background
    B. Rulemaking History
II. Request for Information
    A. Scope and Definitions
    B. Test Procedure
    1. Test Set-Up
    2. Airflow and External Static Pressure
    3. Outdoor Air Enthalpy Method
    4. Air Temperature Measurements
    C. Energy Efficiency Descriptor
    D. Other Test Procedure Topics
III. Submission of Comments

I. Introduction

    SPVACs and SPVHPs are included in the list of ``covered equipment'' 
for which DOE is authorized to establish and amend energy efficiency 
standards and test procedures. (42 U.S.C. 6311(1)(B)-(D)) DOE's test 
procedure for SPVACs and SPVHPs is prescribed in title 10 of the Code 
of Federal Regulations (``CFR''), appendix A to subpart F of part 431. 
The following

[[Page 34500]]

sections discuss DOE's authority to establish and amend test procedures 
for SPVACs and SPVHPs, as well as relevant background information 
regarding DOE's consideration of test procedures for this equipment.

A. Authority and Background

    The Energy Policy and Conservation Act of 1975 (``EPCA'' or ``the 
Act''),\1\ Public Law 94-163 (42 U.S.C. 6291-6317, as codified), among 
other things, authorizes DOE to regulate the energy efficiency of a 
number of consumer products and industrial equipment. Title III, Part C 
\2\ of the Act, added by Public Law 95-619, Title IV, section 441(a), 
established the Energy Conservation Program for Certain Industrial 
Equipment, which sets forth a variety of provisions designed to improve 
energy efficiency. This equipment includes small, large, and very large 
commercial package air conditioning and heating equipment, which 
includes the SPVACs and SPVHPs (referred to collectively as single 
package vertical units (``SPVUs'')) that are the subject of this RFI. 
(42 U.S.C. 6311(1)(B)-(D))
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    \1\ All references to EPCA in this document refer to the statute 
as amended through the Energy Efficiency Improvement Act of 2015 
(EEIA 2015), Public Law 114-11 (April 30, 2015).
    \2\ For editorial reasons, upon codification in the U.S. Code, 
Part C was redesignated Part A-1.
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    Under EPCA, DOE's energy conservation program consists essentially 
of four parts: (1) Testing, (2) labeling, (3) Federal energy 
conservation standards, and (4) certification and enforcement 
procedures. Relevant provisions of the Act include definitions (42 
U.S.C. 6311), energy conservation standards (42 U.S.C. 6313), test 
procedures (42 U.S.C. 6314), labeling provisions (42 U.S.C. 6315), and 
the authority to require information and reports from manufacturers (42 
U.S.C. 6316).
    Federal energy efficiency requirements for covered equipment 
established under EPCA generally supersede State laws and regulations 
concerning energy conservation testing, labeling, and standards. (42 
U.S.C. 6316(a) and (b); 42 U.S.C. 6297) DOE may, however, grant waivers 
of Federal preemption for particular State laws or regulations, in 
accordance with the procedures and other provisions of EPCA. (42 U.S.C. 
6316(b)(2)(D))
    The Federal testing requirements consist of test procedures that 
manufacturers of covered equipment must use as the basis for: (1) 
Certifying to DOE that their equipment complies with the applicable 
energy conservation standards adopted pursuant to EPCA (42 U.S.C. 
6316(b); 42 U.S.C. 6296), and (2) making representations about the 
efficiency of that equipment (42 U.S.C. 6314(d)). Similarly, DOE uses 
these test procedures to determine whether the equipment complies with 
relevant standards promulgated under EPCA.
    Under 42 U.S.C. 6314, EPCA sets forth the criteria and procedures 
DOE is required to follow when prescribing or amending test procedures 
for covered equipment. EPCA requires that any test procedures 
prescribed or amended under this section must be reasonably designed to 
produce test results which reflect energy efficiency, energy use, or 
estimated annual operating cost of covered equipment during a 
representative average use cycle or period of use and requires that 
test procedures not be unduly burdensome to conduct. (42 U.S.C. 
6314(a)(2)) In addition, if DOE determines that a test procedure 
amendment is warranted, it must publish proposed test procedures and 
offer the public an opportunity to present oral and written comments on 
them. (42 U.S.C. 6314(b))
    As discussed, SPVUs are a category of commercial package air 
conditioning and heating equipment. EPCA requires that the test 
procedures for commercial package air conditioning and heating 
equipment be those generally accepted industry testing procedures or 
rating procedures developed or recognized by the Air-Conditioning, 
Heating, and Refrigeration Institute (AHRI) or by the American Society 
of Heating, Refrigerating and Air-Conditioning Engineers (ASHRAE), as 
referenced in ASHRAE Standard 90.1, ``Energy Standard for Buildings 
Except Low-Rise Residential Buildings'' (ASHRAE Standard 90.1). (42 
U.S.C. 6314(a)(4)(A)) Further, if such an industry test procedure is 
amended, DOE must update its test procedure to be consistent with the 
amended test procedure, unless DOE determines, by rule published in the 
Federal Register and supported by clear and convincing evidence, that 
the amended test procedure would not meet the requirements in 42 U.S.C. 
6314(a)(2) and (3) related to representative use and test burden. (42 
U.S.C. 6314(a)(4)(B))
    EPCA also requires that, at least once every 7 years, DOE evaluate 
test procedures for each type of covered equipment including SPVUs, to 
determine whether amended test procedures would more accurately or 
fully comply with the requirements for the test procedures to not be 
unduly burdensome to conduct and be reasonably designed to produce test 
results that reflect energy efficiency, energy use, and estimated 
operating costs during a representative average use cycle. (42 U.S.C. 
6314(a)(1)) In addition, if DOE determines that a test procedure 
amendment is warranted, it must publish a proposed test procedures and 
offer the public an opportunity to present oral and written comments on 
them. (42 U.S.C. 6314(b)) If DOE determines that test procedure 
revisions are not appropriate, DOE must publish its determination not 
to amend the test procedures. DOE is publishing this RFI to collect 
data and information to inform its decision in satisfaction of the 7-
year review requirement specified in EPCA.

B. Rulemaking History

    DOE's current test procedures for SPVUs with a cooling capacity 
less than 760,000 Btu/h are set forth at 10 CFR part 431, subpart F, 
appendix A (``Appendix A''). The test procedure currently incorporates 
by reference ANSI/AHRI Standard 390-2003 (``ANSI/AHRI 390-2003''), 
``Performance Rating of Single Package Vertical Air-Conditioners and 
Heat Pumps,'' (omitting section 6.4) and includes additional provisions 
in paragraphs (c) and (e) of 10 CFR 431.96. ANSI/AHRI 390-2003 is the 
SPVU test standard referenced in ASHRAE Standard 90.1. Paragraph (c) of 
10 CFR 431.96 provides the method for an optional break-in period. 
Paragraph (e) of 10 CFR 431.96 provides specifications for addressing 
key information typically found in the installation and operation 
manuals. DOE established its test procedure for SPVUs in a final rule 
for commercial heating, air conditioning, and water heating equipment 
published on May 16, 2012. 77 FR 28928.

II. Request for Information

    In the following sections, DOE has identified a variety of issues 
on which it seeks input to aid in the development of the technical and 
economic analyses regarding whether amended test procedures for SPVUs 
may be warranted. Specifically, DOE is requesting comment on any 
opportunities to streamline and simplify testing requirements for 
SPVUs.
    Additionally, DOE welcomes comments on other issues relevant to the 
conduct of this process that may not specifically be identified in this 
document. In particular, DOE notes that under Executive Order 13771, 
``Reducing Regulation and Controlling Regulatory Costs,'' Executive 
Branch agencies such as DOE are directed to manage the costs associated 
with the imposition of expenditures required to comply with Federal 
regulations. See 82 FR 9339 (Feb. 3, 2017). Pursuant to that

[[Page 34501]]

Executive Order, DOE encourages the public to provide input on measures 
DOE could take to lower the cost of its regulations applicable to SPVUs 
consistent with the requirements of EPCA.

A. Scope and Definitions

    DOE defines an SPVAC as air-cooled commercial package air 
conditioning and heating equipment that: (1) Is factory-assembled as a 
single package that: (i) Has major components that are arranged 
vertically; (ii) is an encased combination of cooling and optional 
heating components; and (iii) is intended for exterior mounting on, 
adjacent interior to, or through an outside wall; (2) is powered by a 
single-or 3-phase current; (3) may contain 1 or more separate indoor 
grilles, outdoor louvers, various ventilation options, indoor free air 
discharges, ductwork, well plenum, or sleeves; and (4) has heating 
components that may include electrical resistance, steam, hot water, or 
gas, but may not include reverse cycle refrigeration as a heating 
means. 10 CFR 431.92. Additionally, DOE defines an SPVHP as a single 
package vertical air conditioner that: (1) Uses reverse cycle 
refrigeration as its primary heat source; and (2) may include secondary 
supplemental heating by means of electrical resistance, steam, hot 
water, or gas. Id.

B. Test Procedure

1. Test Set-Up
    ANSI/AHRI 390-2003 provides different test provisions, such as 
minimum external static pressure (``ESP''), based on whether the model 
is ducted or non-ducted. However, whether an SPVU is ducted may be more 
a characteristic of installation than the equipment itself. A given 
SPVU model could potentially be installed either with or without a 
duct. DOE's preliminary research has not revealed that SPVUs have 
physical characteristics that clearly distinguish them as ducted or 
non-ducted models, and DOE has identified several models that advertise 
the capability for use in both ducted and non-ducted installations. 
ANSI/AHRI 390-2003 does not specify how to determine whether an SPVU 
model is to be tested using the ducted or non-ducted provisions.
    Issue 1: DOE requests comment on what, if any, equipment 
characteristics can be used to determine whether SPVU models would be 
installed (and hence should be tested) as ducted or non-ducted models. 
DOE also requests comments on whether individual SPVU models that are 
sold for both ducted and non-ducted applications are currently tested 
using both ducted and non-ducted standard rating conditions.
    Section 5.2.3 of ANSI/AHRI 390-2003 requires that for SPVUs with an 
outdoor-side fan drive that is non-adjustable, standard ratings shall 
be determined at the outdoor-side airflow rate inherent to the 
equipment when operated with all of the resistance elements associated 
with inlets, louvers, and any ductwork and attachments considered by 
the manufacturer as normal installation practice. However, it is not 
clear from DOE's initial review of manufacturer literature which 
resistance elements should be used during the test to be consistent 
with what manufacturers consider as ``normal installation practice.'' 
For externally-mounted SPVUs, provisions for transferring outdoor air 
through an external wall are not necessary, but it may be possible that 
alternative ``resistance elements'' could be offered as options (i.e., 
louvers instead of grills). In addition, for internally-mounted SPVUs, 
there may be multiple options for the specific geometry for external 
wall pass-through, as well as the option for louvers instead of grills.
    Issue 2: DOE requests comments on the variations in outdoor air-
side attachments (e.g., grills, louvers, wall sleeve) that could affect 
performance during testing. DOE seeks comment on what, if any, 
provisions should be considered for addition to the test procedure to 
standardize outdoor air flow for both externally and internally mounted 
SPVUs, including considerations regarding grills or louvers, geometry 
of wall pass-through sleeves, and a representative wall thickness.
    ANSI/AHRI 390-2003 does not provide any specific guidance on 
setting and verifying the refrigerant charge of a unit. In a test 
procedure final rule for central air conditioners (CACs) published on 
June 8, 2016 (``June 2016 CAC TP final rule''), DOE established a 
comprehensive approach for refrigerant charging that improves test 
reproducibility. 81 FR 36992, 37030-37031. The approach indicates which 
set of installation instructions to use for charging, explains what to 
do if there are no instructions, specifies that target values of 
parameters are the centers of the ranges allowed by installation 
instructions, and specifies tolerances for the measured values. The 
approach also requires that refrigerant line pressure gauges be 
installed for single-package units, unless otherwise specified in 
manufacturer instructions. Id. These methods provide general 
refrigerant charging instructions and guidelines that DOE believes 
should be applied to air conditioners and heat pumps across a range of 
capacities, including commercial equipment such as SPVUs.
    Issue 3: DOE seeks comment on whether it would be appropriate to 
adopt an approach for charging requirements for SPVUs similar or 
identical to the approach adopted in the June 2016 CAC TP final rule. 
DOE seeks comments regarding which parts of the approach should or 
should not be considered for adoption, and for what reasons those 
provisions might or might not be suitable for application to SPVUs. DOE 
is also interested in receiving data that demonstrate how sensitive the 
performance of a SPVU is relative to changes in the various charge 
indicators used for different charging methods, specifically the method 
based on sub-cooling.
    Section 5.2.1 of ANSI/AHRI 390-2003, requires that, for units rated 
with 208/230 dual nameplate voltages, the test be performed at 230 V. 
For all other dual nameplate voltage units, the test standard requires 
that the test be performed at both voltages or at the lower voltage if 
only a single rating is to be published. DOE understands that voltage 
can affect the measured efficiency of air conditioners and may, 
therefore, consider adding provisions to its test procedure that 
specify at which nameplate voltage to conduct the test for dual 
nameplate voltage units.
    Issue 4: DOE requests data and information demonstrating the effect 
of voltage on air conditioning equipment (including, but not limited 
to, SPVUs). Specifically, DOE seeks comment on whether there is a 
consistent relationship between voltage and efficiency, and if so, 
whether testing at a lower voltage will typically result in a higher or 
lower tested efficiency. Further, DOE requests feedback on whether 
certain voltages within common dual nameplate voltage ratings (e.g., 
208/230 V) are more representative of typical field installation.
    Section 5.2.2.a of ANSI/AHRI 390-2003 requires that non-filtered 
ducted equipment be tested at the minimum ESP specified in Table 4 of 
ANSI/AHRI 390-2003 plus an additional 0.08 in H2O of ESP. 
However, ANSI/AHRI 390-2003 does not define ``non-filtered equipment.'' 
It is possible that an SPVU may be designed so as not to be installed 
with a filter. For SPVUs designed to be installed with a filter, a 
filter may not be shipped with the unit (i.e., the filter would not be 
present during the test, requiring an increase in the minimum ESP to 
account for the pressure drop of the filter if one were

[[Page 34502]]

present, as it is expected to be in the field).
    Issue 5: DOE requests comments on whether there are any SPVUs that 
are not designed to be installed with a filter. Further, DOE requests 
comment on what the typical effectiveness (i.e., minimum efficiency 
reporting value (MERV) rating) is of filters provided or installed with 
SPVUs, which will impact the pressure drop across the filter. Finally, 
DOE requests comment on whether non-ducted SPVUs intended for 
installation with a filter are ever tested without a filter installed, 
and, if so, how such testing has accounted for the filter pressure drop 
to better represent actual performance.
2. Airflow and External Static Pressure
    Table 4 of ANSI/AHRI 390-2003 specifies the minimum ESP required 
for testing ducted SPVUs based on capacity range. DOE is considering 
whether the minimum ESP levels in ANSI/AHRI 390-2003 are representative 
of field operation for ducted SPVUs.
    Issue 6: DOE seeks comments on whether the minimum ESP requirements 
in Table 4 of ANSI/AHRI 390-2003 are representative of field operation 
for ducted SPVUs, and if not, comment and data on what representative 
minimum ESP levels would be.
    ANSI/AHRI 390-2003 does not specify tolerances on achieving the 
rated airflow and/or the minimum ESP during testing. The performance of 
any air conditioner or heat pump can be affected by variations in 
airflow and ESP. Consequently, rated performance could vary from field 
performance if airflow and ESP during testing are different than that 
intended for field operation. How to control an SPVU to achieve a 
specified airflow at a specified ESP and how closely an SPVU can 
achieve the specified airflow and ESP depends on the type of fan drive 
system. There are two common types used in SPVUs: One is multi-speed 
drive, which provides discrete airflow settings (or motor speeds), each 
typically associated with certain functions and operating conditions 
(e.g., high or low static operation); the other is variable-speed 
drive, which can be adjusted continuously within a range of speeds. The 
type of fan drive system is determined by the type of fan motor (e.g., 
multi-speed motor, variable-speed motor), the type of drives (e.g., 
direct-drive, belt-drive), and whether there is any external control 
(e.g., variable-frequency drive). When a multi-speed drive system is 
required to meet the specified ESP, a certain deviation in airflow is 
expected because of limited speed options; whereas, for variable-speed 
drive systems, a smaller deviation is expected because of the 
capability to be adjusted continuously.
    To address the tolerances for variable-speed fan drive systems, 
which are common in air-cooled commercial unitary air-conditioners 
(``ACUACs'') with capacity greater than or equal to 65,000 Btu/h, DOE 
established a requirement for ACUACs that the full-load indoor airflow 
rate must be within 3 percent of the certified airflow. 
Section 6 of Appendix A. In addition, the tolerance for ESP for testing 
ACUACs in DOE's current test procedure is -0.00/+0.05 in H2O 
(see section 3 of Appendix A, which incorporates by reference Table 5 
of ANSI/AHRI Standard 340/360-2007, ``2007 Standard for Performance 
Rating of Commercial and Industrial Unitary Air-Conditioning and Heat 
Pump Equipment'' (``ANSI/AHRI 340/360-2007'')). In contrast, in DOE's 
test procedure for central air conditioners and heat pumps (``CAC/
HPs''), the method for setting indoor air volume rate for ducted units 
without variable-speed constant-air-volume-rate indoor fans is a multi-
step process that addresses the discrete-step fan speed control of 
these units. In this method, (a) the air volume rate during testing may 
not be higher than the certified air volume rate, but may be up to 10 
percent less, and (b) the ESP during testing may not be lower than the 
minimum specified ESP, but may be higher than the minimum if this is 
required to avoid having the air volume rate overshoot its certified 
value. See 10 CFR part 430, subpart B, appendix M, section 3.1.4.2.a.
    Issue 7: DOE seeks more information on the different types of 
indoor air fan drive systems that are used for SPVUs. For example, are 
fans with multi-speed motors provided with variable-frequency drive or 
belt drives with variable-pitch sheaves to allow continuous variation 
of fan speed? Are direct-drive fans provided with variable-speed motors 
for which the installer can only select limited speeds?
    Issue 8: DOE seeks information on how closely the rated airflow and 
specified ESP are achieved in laboratory testing of SPVUs. For indoor 
fans that are adjustable in discrete steps, is the specified ESP 
typically exceeded in order to match the certified airflow? 
Additionally, DOE seeks comments on whether the tolerances for setting 
airflow of ACUACs or of CACs would be appropriate for all SPVUs or if 
separate tolerances should be provided based on fan motor type. If 
neither of the tolerances would be appropriate, DOE requests 
information or data on what tolerances would be appropriate for airflow 
and ESP.
    ANSI/AHRI 390-2003 does not distinguish between cooling and heating 
airflow rates required for testing. For SPVHPs with multiple-speed or 
variable-speed indoor fans, the indoor airflow rate in heating 
operation could be different from that in cooling operation. Different 
airflow rates may be used for heating and cooling operation because of 
different indoor comfort needs in the heating season, and there may be 
a minimum heating airflow rate for electrical resistance heating safety 
that exceeds the cooling airflow rate. For ACUAC heat pumps, DOE's 
current test procedure requires that indoor airflow and ESP first be 
set up within required tolerances for the full-load cooling test 
condition, by adjusting both the unit under test and the test 
facility's airflow-measuring apparatus (see Section 6(i) of Appendix 
A). The DOE test procedure further requires that, unless the unit is 
designed to operate at different airflow rates for cooling and heating 
modes, the airflow-measuring apparatus (but not the unit under test) be 
adjusted to achieve an airflow in heating mode equal to the cooling 
full-load airflow rate within the specified tolerance, without regard 
to changes in ESP (see Section 6(ii), Appendix A).
    Issue 9: DOE requests comments on whether there are SPVHPs for 
which the heating airflow rate is designed to be different from the 
cooling airflow rate. If so, DOE seeks comments on whether provisions 
similar to those required for ACUACs would be appropriate for 
determining airflow rate and minimum ESP for heating mode tests for 
SPVHPs.
3. Outdoor Air Enthalpy Method
    ANSI/AHRI 390-2003 references ANSI/ASHRAE Standard 37-1988, 
``Methods of Testing for Rating Unitary Air-Conditioning and Heat Pump 
Equipment'' (``ANSI/AHRI 37-1988'') for methods of testing SPVUs. 
Section 7.2 of ANSI/ASHRAE 37-1988 specifies that for equipment with 
cooling capacity less than 135,000 Btu/h, primary and secondary 
capacity measurements are required. Specifically, the indoor air 
enthalpy method must be used as the primary method for capacity 
measurement, and Table 3 of ANSI/ASHRAE 37-1988 specifies the 
applicable options for selecting a secondary method. Section 10.1.2 of 
ANSI/ASHRAE 37-1988 then requires that the two test methods agree 
within 6 percent. DOE understands that the outdoor air enthalpy test 
method is commonly used as a secondary test method for determining 
capacity for

[[Page 34503]]

SPVUs. The outdoor air enthalpy method requires the use of an air-side 
test apparatus that is connected to the unit under test. Due to 
concerns about the impact of the air-side test apparatus on performance 
as compared to performance in the field without the air-side test 
apparatus connected, section 8.5 of ANSI/ASHRAE 37-1988 (which is 
referenced by ANSI/AHRI 390-2003) specifies testing with and without 
the air-side test apparatus connected. First, ANSI/ASHRAE 37-1988 
requires a one-hour preliminary test be conducted without the outdoor 
air-side test apparatus connected. Then, ANSI/ASHRAE 37-1988 specifies 
a one-hour test be conducted with the outdoor air-side test apparatus 
connected, which will serve as the official test. ANSI/ASHRAE 37-1988 
requires agreement between evaporating and condensing temperatures 
between the two tests for a valid test. In a test procedure final rule 
for CACs/HPs, DOE amended its requirements when using the outdoor air 
enthalpy method as the secondary test method for capacity measurement 
for CAC/HPs. 82 FR 1426, 1508-1509 (Jan. 5, 2017). Specifically, DOE's 
amended test procedure requires that a 30-minute official test be 
conducted without the outdoor air-side test apparatus connected, then a 
30-minute test with the air-side test apparatus be conducted, the 
results of which are compared to the official, no air-side apparatus 
test. DOE is considering whether similar changes (i.e., requiring that 
the official test be conducted without the outdoor air-side test 
apparatus connected) would be appropriate for the test procedure for 
SPVUs. DOE expects that such a change would make the test more 
representative of field use and would improve the repeatability of the 
test.
    Issue 10: DOE seeks comment on whether modifications to the 
requirements for using the outdoor air enthalpy method as the secondary 
method for testing SPVUs (similar to those made for CAC/HPs) would be 
appropriate, including that the official test be conducted without the 
outdoor air-side test apparatus connected.
4. Air Temperature Measurements
    Outdoor air temperature and humidity are key parameters that affect 
SPVU performance, and for this reason, ANSI/AHRI 390-2003 requires 
accurate outdoor air condition measurements. However, DOE is 
considering whether the method set forth in ANSI/AHRI 390-2003 would 
benefit from additional specification as to outdoor air temperature 
measurement. For air-cooled and evaporatively cooled commercial unitary 
air conditioners, Appendix C of AHRI Standard 340/360-2015, ``2015 
Standard for Performance Rating of Commercial and Industrial Unitary 
Air-Conditioning and Heat Pump Equipment,'' (``AHRI 340/360-2015'') 
provides details on entering outdoor air temperature measurement, 
including air sampling tree and aspirating psychrometer requirements. 
DOE is considering whether similar requirements should be adopted for 
testing SPVUs. However, DOE notes that in such case, some of the 
requirements may have to be revised for application to SPVUs. For 
example, the requirement in section C3 of Appendix C of AHRI 340/360-
2015 that ``multiple individual reading thermocouples be installed 
around the unit air discharge perimeter so that they are below the 
plane of condenser fan exhaust and just above the top of the condenser 
coil'' may not be appropriate for SPVUs, because the units typically 
exhaust outdoor air horizontally, instead of vertically as is the case 
for ACUACs.
    While Appendix C of AHRI 340/360-2015 provides detailed 
requirements for measurement of entering outdoor air temperature, it 
provides no such requirements for measurement of entering indoor air 
temperature, leaving indoor air temperature, or leaving outdoor air 
temperature. These parameters have a significant impact on performance 
of an SPVU as measured by the indoor air enthalpy method and the 
outdoor air enthalpy method. Therefore, DOE is also considering whether 
the requirements contained in Appendix C of AHRI 340/360-2015 would be 
appropriate for measurement of these parameters for testing SPVUs.
    Issue 11: DOE seeks comments regarding which, if any, requirements 
for outdoor air temperature measurement in Appendix C of AHRI Standard 
340/360-2015 may or may not be appropriate for testing SPVUs. 
Specifically, DOE requests comment on whether any requirements in 
Appendix C of AHRI Standard 340/360-2015 would be appropriate for 
measurement of indoor air entering and leaving temperatures, as well as 
outdoor air entering and leaving temperatures.

C. Energy Efficiency Descriptor

    EPCA requires that test procedures produce test results that 
reflect efficiency of equipment during a representative average use 
cycle. (42 U.S.C. 6314(a)(2)) DOE prescribes energy efficiency ratio 
(EER) as the cooling mode metric and coefficient of performance (COP) 
as the heating mode metric for SPVUs. 10 CFR 431.96. Correspondingly, 
ASHRAE 90.1-2016 only includes minimum efficiency levels in terms of 
the full-load metrics of EER and COP for SPVUs. In contrast, ASHRAE 
90.1-2016 includes minimum cooling mode efficiency levels for CUACs and 
for variable refrigerant flow multi-split air conditioners and heat 
pumps in terms of both the full-load metric EER and the integrated 
energy efficiency ratio (IEER), which integrates the performance of the 
equipment when operating at part-load. IEER provides an indication of 
seasonal performance by integrating test results from four different 
load points with varying outdoor conditions and load levels (lower load 
for cooler conditions) in order to represent the equipment's average 
efficiency throughout the cooling season. ANSI/AHRI 390-2003 includes a 
part-load metric, integrated part-load value (IPLV) that integrates 
unit performance at each capacity step provided by the refrigeration 
system. However, the IPLV tests are all conducted at constant outdoor 
air conditions of 80 [deg]F dry bulb temperature and 67 [deg]F wet bulb 
temperature. DOE notes that some manufacturers make representations of 
part-load performance of SPVUs in product literature using IPLV, 
indicating a potential value in ratings that integrate performance of 
part-load operation. However, DOE also notes that IPLV was once used 
for rating CUACs but has since been removed from AHRI 340/360 in favor 
of IEER.
    Issue 12: DOE requests comments on whether DOE should consider 
adopting for SPVUs a cooling-mode metric that integrates part-load 
performance to better represent full-season efficiency. If so, DOE 
requests comment on whether a part-load metric such as IEER or the 
current IPLV would be appropriate for SPVUs, and which of these would 
better represent actual performance.
    DOE is aware that the energy use of field-installed fans will vary 
based on the use of the fan for various functions (e.g., economizing, 
ventilation, filtration, and auxiliary heat). Consequently, DOE is 
investigating whether changes to the SPVU test procedure are needed to 
properly characterize a representative average use cycle, including 
changes to more accurately represent fan energy use in field 
applications. DOE also seeks comment on any anticipated burdens 
associated with such potential changes to the SPVUs test procedure. DOE 
also requests information as to the extent that accounting for the 
energy use of fans in commercial equipment such as SPVUs would be 
additive of other existing accountings of fan energy use. DOE also 
seeks information as to

[[Page 34504]]

whether accounting for the energy use of fan operation in SPVUs would 
alter measured efficiency, and if so, to what extent.
    Issue 13: DOE seeks information, including any available data, on 
how frequently SPVU supply fans are operated when there is no demand 
for heating or cooling (i.e., for fresh air ventilation or air 
circulation/filtration), and what the typical operating schedules or 
duty cycles are for this function. Additionally, DOE requests data or 
information regarding how frequently auxiliary heating is installed 
with SPVUs and whether its operation is dependent on the supply fan of 
the SPVU. DOE requests data or information regarding how frequently the 
systems are used with economizers, how the economizers are integrated 
with the systems, and what control logic is typically used on the 
economizers. DOE further seeks comment as to whether or what portion of 
such fan operation is part of a ``representative average use cycle.'' 
DOE also seeks information as to whether accounting for the energy use 
of fan operation in SPVUs would alter measured efficiency, and if so, 
to what extent.
    Issue 14: Assuming DOE has authority to address fans embedded in 
other commercial equipment such as SPVUs (a conclusion the agency has 
not yet reached), DOE is interested in receiving comment and other 
information on this topic. DOE requests comment on whether any of the 
issues considered in this section would result in double regulation of 
the energy use of fans in SPVUs, and if so, how.
    SPVHPs generally include a defrost cycle to periodically defrost 
the outdoor coil when operating in outdoor ambient conditions in which 
frost collects on it during heating operation. Based on preliminary DOE 
review of product literature, the time between defrost cycles can be 
between 30-90 minutes, and defrost cycle duration may be roughly 10 
minutes. During the defrost cycle, the SPVHP is consuming energy but 
not providing heat, unless it also energizes auxiliary heat during 
defrost. DOE's test procedure for SPVUs is based on testing in outdoor 
air conditions for which defrost is not necessary (i.e., 
47[emsp14][deg]F outdoor air dry-bulb temperature). Hence, any 
differences in defrost cycle performance between different SPVHP models 
is not reflected in the heating mode metric, COP. DOE's test procedure 
for CACs/HPs includes measurement of average delivered heat and total 
energy use, including for defrost cycles, during operation in outdoor 
conditions for which frost forms on the outdoor coil. In contrast, 
DOE's test procedures for commercial heat pumps do not include 
consideration of defrost.
    Issue 15: DOE seeks information regarding the types of buildings 
most commonly served by SPVHPs and the annual heating and cooling loads 
for such buildings, including information or data for SPVHP cooling and 
heating seasonal energy use therein. DOE also seeks information on the 
impact on heating mode efficiency associated with the defrost cycle for 
SPVHPs, including impacts associated with the potential use of 
resistance heating during defrost.

D. Other Test Procedure Topics

    In addition to the issues identified earlier in this document, DOE 
welcomes comment on any other aspect of the existing test procedure for 
SPVUs not already addressed by the specific areas identified in this 
document. DOE particularly seeks information that would improve the 
repeatability, reproducibility, and consumer representativeness of the 
test procedures. DOE also requests information that would help DOE 
create a procedure that would limit manufacturer test burden through 
streamlining or simplifying testing requirements. Comments regarding 
the repeatability and reproducibility are also welcome. DOE also 
requests comment on the benefits and burdens of adopting any industry 
based or other appropriate test procedure, without modification.
    DOE also requests feedback on any potential amendments to the 
existing test procedure that could be considered to address impacts on 
manufacturers, including small businesses. Regarding the Federal test 
method, DOE seeks comment on the degree to which the DOE test procedure 
should consider and be harmonized with the most recent relevant 
industry standards for SPVUs and whether there are any changes to the 
Federal test method that would provide additional benefits to the 
public. DOE also requests comment on the benefits and burdens of 
adopting any industry/voluntary consensus-based or other appropriate 
test procedure, without modification. As discussed, the Federal test 
procedure for SPVUs currently incorporates by reference ANSI/AHRI 390-
2003 (omitting section 6.4) and includes additional provisions to 
provide the method for an optional break-in period and to provide 
specifications for addressing key information typically found in the 
installation and operation manuals. Section 6.4 of ANSI/AHRI 390-2003 
specifies the maximum deviation of published efficiency ratings from 
measured test results; therefore, this section is omitted from DOE's 
current test procedure because it conflicts with DOE's certification, 
compliance, and enforcement regulations at 10 CFR part 429.
    Additionally, DOE requests comment on whether the existing test 
procedure limits a manufacturer's ability to provide additional 
features to consumers of SPVUs. DOE particularly seeks information on 
how the test procedures could be amended to reduce the cost of new or 
additional features and make it more likely that such features are 
included on SPVUs.

III. Submission of Comments

    DOE invites all interested parties to submit in writing by 
September 4, 2018, comments and information on matters addressed in 
this notice and on other matters relevant to DOE's consideration of an 
amended test procedure for SPVACs and SPVHPs. These comments and 
information will aid in the development of a test procedure notice of 
proposed rulemaking (NOPR) for SPVACs and SPVHPs if DOE determines that 
an amended test procedure may be appropriate for this equipment.
    Submitting comments via http://www.regulations.gov. The http://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 http://www.regulations.gov information for which 
disclosure is restricted by statute, such as trade secrets and 
commercial or financial information (hereinafter referred to as 
Confidential Business Information (``CBI'')). Comments

[[Page 34505]]

submitted through http://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 http://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 http://www.regulations.gov provides after you have successfully uploaded your 
comment.
    Submitting comments via email, hand delivery, or mail. Comments and 
documents submitted via email, hand delivery, or mail also will be 
posted to http://www.regulations.gov. If you do not want your personal 
contact information to be publicly viewable, do not include it in your 
comment or any accompanying documents. Instead, provide your contact 
information in a cover letter. Include your first and last names, email 
address, telephone number, and optional mailing address. The cover 
letter will not be publicly viewable as long as it does not include any 
comments.
    Include contact information each time you submit comments, data, 
documents, and other information to DOE. If you submit via mail or hand 
delivery, please provide all items on a CD, if feasible. It is not 
necessary to submit printed copies. No telefacsimiles (faxes) will be 
accepted.
    Comments, data, and other information submitted to DOE 
electronically should be provided in PDF (preferred), Microsoft Word or 
Excel, WordPerfect, or text (ASCII) file format. Provide documents that 
are not secured, 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, postal mail, or hand delivery two well-marked copies: One copy 
of the document marked ``confidential'' including all the information 
believed to be confidential, and one copy of the document marked ``non-
confidential'' with the information believed to be confidential 
deleted. Submit these documents via email or on a CD, if feasible. DOE 
will make its own determination about the confidential status of the 
information and treat it according to its determination.
    Factors of interest to DOE when evaluating requests to treat 
submitted information as confidential include: (1) A description of the 
items, (2) whether and why such items are customarily treated as 
confidential within the industry, (3) whether the information is 
generally known by or available from other sources, (4) whether the 
information has previously been made available to others without 
obligation concerning its confidentiality, (5) an explanation of the 
competitive injury to the submitting person which would result from 
public disclosure, (6) when such information might lose its 
confidential character due to the passage of time, and (7) why 
disclosure of the information would be contrary to the public interest.
    It is DOE's policy that all comments may be included in the public 
docket, without change and as received, including any personal 
information provided in the comments (except information deemed to be 
exempt from public disclosure).
    DOE considers public participation to be a very important part of 
the process for developing test procedures and energy conservation 
standards. DOE actively encourages the participation and interaction of 
the public during the comment period in each stage of this process. 
Interactions with and between members of the public provide a balanced 
discussion of the issues and assist DOE in the process. Anyone who 
wishes to be added to the DOE mailing list to receive future notices 
and information about this process should contact Appliance and 
Equipment Standards Program staff at (202) 287-1445 or via email at 
[email protected].

    Signed in Washington, DC, on July 12, 2018.
Kathleen B. Hogan,
Deputy Assistant Secretary for Energy Efficiency, Energy Efficiency and 
Renewable Energy.
[FR Doc. 2018-15584 Filed 7-19-18; 8:45 am]
BILLING CODE 6450-01-P