Energy Conservation Program: Energy Conservation Standards for Air Cooled, Three-Phase, Small Commercial Air Conditioners and Heat Pumps With a Cooling Capacity of Less Than 65,000 Btu/h and Air-Cooled, Three-Phase, Variable Refrigerant Flow Air Conditioners and Heat Pumps With a Cooling Capacity of Less Than 65,000 Btu/h, 18290-18312 [2022-06450]
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18290
Proposed Rules
Federal Register
Vol. 87, No. 61
Wednesday, March 30, 2022
This section of the FEDERAL REGISTER
contains notices to the public of the proposed
issuance of rules and regulations. The
purpose of these notices is to give interested
persons an opportunity to participate in the
rule making prior to the adoption of the final
rules.
DEPARTMENT OF ENERGY
10 CFR Part 431
[EERE–2022–BT–STD–0008]
RIN 1904–AF32
Energy Conservation Program: Energy
Conservation Standards for Air
Cooled, Three-Phase, Small
Commercial Air Conditioners and Heat
Pumps With a Cooling Capacity of
Less Than 65,000 Btu/h and AirCooled, Three-Phase, Variable
Refrigerant Flow Air Conditioners and
Heat Pumps With a Cooling Capacity
of Less Than 65,000 Btu/h
Office of Energy Efficiency and
Renewable Energy, Department of
Energy.
ACTION: Notice of proposed rulemaking
and request for comment.
AGENCY:
The Energy Policy and
Conservation Act, as amended
(‘‘EPCA’’), prescribes energy
conservation standards for various
consumer products and certain
commercial and industrial equipment,
including small, large, and very large
commercial package air conditioning
and heating equipment, of which air
cooled, three-phase, small commercial
air conditioners and heat pumps with a
cooling capacity of less than 65,000 Btu/
h and air-cooled, three-phase, variable
refrigerant flow air conditioners and
heat pumps with a cooling capacity of
less than 65,000 Btu/h are categories.
EPCA requires the U.S. Department of
Energy (‘‘DOE’’ or ‘‘the Department’’) to
consider the need for amended
standards each time the relevant
industry standard is amended with
respect to the standard levels or design
requirements applicable to that
equipment, or periodically under a sixyear-lookback review provision. For the
three-phase equipment that is the
subject of this notice of proposed
rulemaking (‘‘NOPR’’), DOE is
proposing amended energy conservation
standards that rely on new efficiency
metrics and align with amended
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SUMMARY:
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efficiency levels in the industry
standard. DOE has preliminarily
determined that it lacks clear and
convincing evidence required by the
statute to adopt standards more
stringent than the levels specified in the
industry standard. This NOPR also
announces a webinar to receive
comment on these proposed standards
and associated analyses and results.
DATES: Meeting: DOE will hold a public
meeting via webinar on Monday, May
16, 2022, from 1:00 p.m. to 4:00 p.m.,
in Washington, DC. See section VII,
‘‘Public Participation’’ for webinar
registration information, participant
instructions, and information about the
capabilities available to webinar
participants.
Comments: DOE will accept
comments, data, and information
regarding this NOPR no later than May
31, 2022.
Comments regarding the likely
competitive impact of the proposed
standard should be sent to the
Department of Justice contact listed in
the ADDRESSES section on or before
April 29, 2022.
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–2022–BT–STD–0008, by
any of the following methods:
1. Federal eRulemaking Portal:
www.regulations.gov. Follow the
instructions for submitting comments.
2. Email: to
AirCooledACHP2022STD0008@
ee.doe.gov. Include docket number
EERE–2022–BT–STD–0008 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
VII 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
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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 for this activity,
which includes Federal Register
notices, 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,
not all documents listed in the index
may be publicly available, such as
information that is exempt from public
disclosure.
The docket web page can be found at
www.regulations.gov/
#!docketDetail;D=EERE-2022-BT-STD0008. The docket web page contains
instructions on how to access all
documents, including public comments,
in the docket. See section VII for
information on how to submit
comments through
www.regulations.gov.
Written comments regarding the
burden-hour estimates or other aspects
of the collection-of-information
requirements contained in this proposed
rule may be submitted to Office of
Energy Efficiency and Renewable
Energy following the instructions at
www.RegInfo.gov.
EPCA requires the U.S. Attorney
General to provide DOE a written
determination of whether the proposed
standard is likely to lessen competition.
The U.S. Department of Justice Antitrust
Division invites input from market
participants and other interested
persons with views on the likely
competitive impact of the proposed
standard. Interested persons may
contact the Antitrust Division at
energy.standards@usdoj.gov on or
before the date specified in the DATES
section. Please indicate in the ‘‘Subject’’
line of your email the title and Docket
Number of this proposed rulemaking.
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,
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Federal Register / Vol. 87, No. 61 / Wednesday, March 30, 2022 / Proposed Rules
DC 20585–0121. Telephone: (202) 586–
7335. Email:
ApplianceStandardsQuestions@
ee.doe.gov.
Ms. Kristin Koernig, U.S. Department
of Energy, Office of the General Counsel,
GC–33, 1000 Independence Avenue SW,
Washington, DC 20585–0121.
Telephone: (202) 586–3593. Email:
kristin.koernig@hq.doe.gov.
For further information on how to
submit a comment, review other public
comments and the docket, or participate
in the public meeting, contact the
Appliance and Equipment Standards
Program staff at (202) 287–1445 or by
email: ApplianceStandardsQuestions@
ee.doe.gov.
SUPPLEMENTARY INFORMATION:
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Table of Contents
I. Synopsis of the Proposed Rule
II. Introduction
A. Authority
B. Background
1. Current Standards
2. ASHRAE 90.1–2019
3. September 2020 NODA/RFI
III. Discussion of Crosswalk Analysis
A. Crosswalk Background
B. Crosswalk Methodology
1. Crosswalk for Three-Phase, Less Than
65,000 Btu/h, Single-Package and SplitSystem ACUACs and ACUHPs
2. Crosswalk for Three-Phase, Less Than
65,000 Btu/h, Space-Constrained and
Small-Duct, High-Velocity ACUACs and
ACUHPs
a. Space-Constrained Equipment
b. Small-Duct, High-Velocity Equipment
3. Crosswalk for Three-Phase, Less Than
65,000 Btu/h VRF
C. Crosswalk Results
IV. Estimates of Potential Energy Savings
V. Conclusions
A. Consideration of More Stringent
Efficiency Levels for Split Systems
B. Review Under Six Year Lookback
1. Proposed Addendum to ASHRAE 90.1–
2019
C. Definitions for Space-Constrained and
Small-Duct, High-Velocity Equipment
D. Proposed Energy Conservation
Standards
1. Standard Levels
2. Compliance Date
VI. Procedural Issues and Regulatory Review
A. Review Under Executive Orders 12866
and 13563
B. Review Under the Regulatory Flexibility
Act
1. Description of Reasons Why Action Is
Being Considered
2. Objectives of, and Legal Basis for, Rule
3. Description on Estimated Number of
Small Entities Regulated
4. Description and Estimate of Compliance
Requirements Including Differences in
Cost, if Any, for Different Groups of
Small Entities
5. Duplication, Overlap, and Conflict With
Other Rules and Regulations
6. Significant Alternatives to the Rule
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C. Review Under the Paperwork Reduction
Act
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 the Treasury and General
Government Appropriations Act, 2001
K. Review Under Executive Order 13211
L. Information Quality
VII. Public Participation
A. Participation in the Webinar
B. Procedure for Submitting Prepared
General Statements for Distribution
C. Conduct of the Webinar
D. Submission of Comments
E. Issues on Which DOE Seeks Comment
VIII. Approval of the Office of the Secretary
I. Synopsis of the Proposed Rule
Title III, Part C 1 of EPCA 2 established
the Energy Conservation Program for
Certain Industrial Equipment. (42 U.S.C.
6311–6317) Such equipment includes
air cooled, three-phase, small
commercial air conditioners and heat
pumps (‘‘ACUACs and ACUHPS’’) with
a cooling capacity of less than 65,000
Btu/h (‘‘three-phase, less than 65,000
Btu/h ACUACs and ACUHPs’’) and aircooled, three-phase, variable refrigerant
flow (‘‘VRF’’) air conditioners and heat
pumps with a cooling capacity of less
than 65,000 Btu/h (‘‘three-phase, less
than 65,000 Btu/h VRF’’), the subject of
this proposed rulemaking.
Pursuant to EPCA, DOE is required to
consider amending the energy efficiency
standards for certain types of covered
commercial and industrial equipment,
including the equipment at issue in this
document, whenever the American
Society of Heating, Refrigerating, and
Air-Conditioning Engineers
(‘‘ASHRAE’’) amends the standard
levels or design requirements prescribed
in ASHRAE 90.1, ‘‘Energy Standard for
Buildings Except Low-Rise Residential
Buildings,’’ (‘‘ASHRAE 90.1’’), and at a
minimum, every 6 years (42 U.S.C.
6313(a)(6)(A)–(C)). For each type of
equipment, EPCA directs that if
ASHRAE 90.1 is amended, DOE must
adopt amended energy conservation
standards at the new efficiency level in
ASHRAE 90.1, unless clear and
convincing evidence supports a
determination that adoption of a morestringent efficiency level would produce
significant additional energy savings
and be technologically feasible and
economically justified (42 U.S.C.
6313(a)(6)(A)(ii) (referred to as the
‘‘ASHRAE trigger’’)). If DOE adopts an
amended uniform national standard at
the efficiency level specified in the
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18291
amended ASHRAE 90.1, DOE must
establish such standard no later than 18
months after publication of the
amended industry standard. (42 U.S.C.
6313(a)(6)(A)(ii)(I)) If DOE determines
that a more-stringent standard is
appropriate under the statutory criteria,
DOE must establish such a morestringent standard no later than 30
months after publication of the revised
ASHRAE 90.1. (42 U.S.C.
6313(a)(6)(B)(i))
Under EPCA, DOE must also review
its energy conservation standards for
three-phase, less than 65,000 Btu/h
ACUAC, ACUHP, and VRF equipment
every six years and either: (1) Issue a
notice of determination that the
standards do not need to be amended,
as adoption of a more-stringent level
under the relevant statutory criteria is
not supported by clear and convincing
evidence; or (2) issue a notice of
proposed rulemaking including new
proposed standards based on certain
criteria and procedures in subparagraph
(B).1 (42 U.S.C. 6313(a)(6)(C)(i))
ASHRAE officially released the 2019
version of Standard 90.1 (‘‘ASHRAE
90.1–2019’’) on October 25, 2019,
thereby triggering DOE’s previously
referenced obligations, pursuant to
EPCA, to determine for certain classes of
three-phase, less than 65,000 Btu/h
ACUAC, ACUHP, and VRF systems
whether: (1) The amended industry
standard should be adopted; or (2) clear
and convincing evidence exists to
justify more-stringent standard levels.
For any classes where DOE was not
triggered by ASHRAE 90.1–2019, the
Department routinely considers those
classes under EPCA’s six-year-lookback
provision at the same time to address
the subject equipment in a
comprehensive fashion.
The current Federal energy
conservation standards for three-phase,
less than 65,000 Btu/h ACUACs and
ACUHPs and three-phase, less than
65,000 Btu/h VRF are codified in DOE’s
regulations at 10 CFR 431.97. These
standards for both equipment types are
specified in terms of seasonal energy
1 In relevant part, subparagraph (B) specifies that:
(1) In making a determination of economic
justification, DOE must consider, to the maximum
extent practicable, the benefits and burdens of an
amended standard based on the seven criteria
described in EPCA; (2) DOE may not prescribe any
standard that increases the energy use or decreases
the energy efficiency of a covered equipment; and
(3) DOE may not prescribe an amended standard
that interested persons have established by a
preponderance of evidence is likely to result in the
unavailability in the United States of any product
type (or class) of performance characteristics
(including reliability, features, sizes, capacities, and
volumes) that are substantially the same as those
generally available in the United States. (42 U.S.C.
6313(a)(6)(B)(ii)–(iii))
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Federal Register / Vol. 87, No. 61 / Wednesday, March 30, 2022 / Proposed Rules
efficiency ratio (‘‘SEER’’) for cooling
mode and heating seasonal performance
factor (‘‘HSPF’’) for heating mode. The
current Federal test procedure at 10 CFR
431.96 for three-phase, less than 65,000
Btu/h ACUACs and ACUHPs references
American National Standards Institute
(‘‘ANSI’’)/Air-Conditioning, Heating,
and Refrigeration Institute (‘‘AHRI’’)
Standard 210/240–2008, ‘‘Performance
Rating of Unitary Air-Conditioning &
Air-Source Heat Pump Equipment,’’
approved by ANSI on October 27, 2011,
and updated by Addendum 1 in June
2011 and Addendum 2 in March 2012
(‘‘AHRI 210/240–2008’’). The current
Federal test procedure at 10 CFR 431.96
for three-phase, less than 65,000 Btu/h
VRF references ANSI/AHRI 1230–2010,
‘‘2010 Standard for Performance Rating
of Variable Refrigerant Flow (VRF)
Multi-Split Air-Conditioning and Heat
Pump Equipment,’’ approved August 2,
2010 and updated by Addendum 1 in
March 2011 (‘‘ANSI/AHRI 1230–2010’’).
As set forth in ASHRAE 90.1–2019,
the efficiency levels for three-phase, less
than 65,000 Btu/h ACUACs and
ACUHPs are specified in terms of
seasonal energy efficiency ratio-2
(‘‘SEER2’’) for cooling mode and heating
seasonal performance factor-2
(‘‘HSPF2’’) for heating mode. These
efficiency levels are measured per
ANSI/AHRI 210/240, ‘‘2023 Standard
for Performance Rating of Unitary Airconditioning & Air-source Heat Pump
Equipment’’ (‘‘AHRI 210/240–2023’’).
Furthermore, ASHRAE 90.1–2019 and
AHRI 210/240–2023 align the test
procedures for three-phase, less than
65,000 Btu/h equipment with those of
their single-phase counterparts (i.e.,
measuring performance in terms of
SEER2 and HSPF2), which, aside from
the three-phase power supply, are
otherwise identical.2
DOE is also proposing definitions for
space-constrained (‘‘S–C’’) commercial
package air conditioning and heating
equipment (‘‘S–C ACUACs and
ACUHPs’’) and for small-duct, highvelocity (‘‘SDHV’’) commercial package
air conditioning and heating equipment
(‘‘SDHV ACUACs and ACUHPs’’) as
described in section V.C. Additionally,
DOE is proposing to separate equipment
classes and corresponding energy
conservation standards for three-phase,
less than 65,000 Btu/h ACUAC and
ACUHP that are (1) S–C split-system
ACUACs; (2) S–C split-system ACUHPs;
(3) S–C single-package ACUACs; (4) S–
C single-package ACUHPs; (5) SDHV
ACUACs; and (6) SDHV ACUHPs. These
2 See, e.g., 80 FR 42614, 42622 (July 17, 2015), 83
FR 49501, 49504 (Oct. 2, 2018), and 86 FR 70316,
70322 (Dec. 9, 2021).
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additional equipment classes are
included in ASHRAE 90.1–2019 for
three-phase, less than 65,000 Btu/h
ACUACs and ACUHPs.
As described in detail in section III of
this document, DOE conducted a
crosswalk analysis to translate the
current SEER and HSPF standards
(measured per the current DOE test
procedure) to SEER2 and HSPF2 levels,
respectively (measured per the latest
version of AHRI Standard AHRI 210/240
(i.e., AHRI 210/240–2023)). DOE then
compared these crosswalked metrics to
those presented in ASHRAE 90.1–2019
to determine which equipment classes
are triggered by the increased stringency
in ASHRAE 90.1–2019.
In this document, DOE proposes to
update the minimum energy
conservation standard levels found at
Tables 3, 4, and 13 of 10 CFR 431.97.
The proposed standards for three-phase,
less than 65,000 Btu/h ACUACs and
ACUHPs and for three-phase, less than
65,000 Btu/h VRF systems, which are
expressed in SEER2 and HSPF2, are
presented in Table I–1 and Table I–2.3
If adopted, the standards in Table I–1
are proposed for all three-phase, less
than 65,000 Btu/h ACUACs and
ACUHPs manufactured in or imported
into the United States starting January 1,
2025. If adopted, the standards in Table
I–2 would apply to all three-phase, less
than 65,000 Btu/h VRF manufactured in
or imported into the United States
starting January 1, 2025.
As described in section V of this
document, DOE has tentatively
determined that insufficient data are
available to determine, based on clear
and convincing evidence, that morestringent standards would result in
significant additional energy savings
and be technologically feasible and
economically justified. The clear and
convincing threshold is a heightened
standard, and would only be met where
the Secretary has an abiding conviction,
based on available facts, data, and
DOE’s own analyses, that it is highly
probable an amended standard would
result in a significant additional amount
of energy savings, and is technologically
feasible and economically justified. See
American Public Gas Association v.
U.S. Dep’t of Energy, No. 20–1068, 2022
WL 151923, at *4 (D.C. Cir. January 18,
2022) (citing Colorado v. New Mexico,
3 Energy conservations standards for air-cooled,
three-phase, small, commercial packaged air
conditioners and heat pumps with a cooling
capacity of greater than 65,000 Btu/h and aircooled, VRF, multi-split systems with a cooling
capacity of greater than 65,000 Btu/h are not
addressed in this NOPR. Instead this equipment
will be addressed in separate energy conservation
standards rulemakings.
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467 U.S. 310, 316, 104 S.Ct. 2433, 81
L.Ed.2d 247 (1984)).
DOE normally performs multiple indepth analyses to determine whether
there is clear and convincing evidence
to support more stringent energy
conservation standards (i.e., whether
more stringent standards would produce
significant additional conservation of
energy and be technologically feasible
and economically justified). However,
as discussed in the section V of this
NOPR, due to the lack of available
market and performance data, DOE is
unable to conduct the analysis
necessary to evaluate the potential
energy savings or evaluate whether
more stringent standards would be
technologically feasible or economically
justifiable, with sufficient certainty. As
such, DOE is not proposing standards at
levels more stringent than those
specified in ASHRAE Standard 90.1.
Rather, DOE is proposing to adopt the
levels specified in ASHRAE 90.1–2019
for three-phase, less than 65,000 Btu/h
ACUACs and ACUHPs, as required by
EPCA, except for S–C ACUACs and
ACUHPs, SDHV ACUACs and ACUHPs,
and three-phase less than 65,000 Btu/h
VRF equipment, for which DOE is
proposing crosswalked levels that
maintain equivalent stringency to the
currently applicable Federal standards
but do not align with the levels in
ASHRAE 90.1–2019.
For S–C ACUACs and ACUHPs and
SDHV ACUACs and ACUHPs, DOE has
tentatively concluded that the levels
specified in ASHRAE 90.1–2019 are less
stringent than the applicable current
Federal standards. Therefore, to avoid
backsliding (as required by EPCA),4
DOE is proposing standards for S–C
ACUACs and ACUHPs and SDHV
ACUACs and ACUHPs in terms of
SEER2 and HSPF2 that maintain
equivalent stringency to the applicable
current Federal standards (in terms of
SEER and HSPF).
For three-phase, less than 65,000 Btu/
h VRF equipment, ASHRAE 90.1–2019
did not update the efficiency metrics to
be in terms of SEER2 and HSPF2 and
instead left the metrics in terms of SEER
and HSPF with no change to efficiency
levels. In this document, DOE is
proposing translated standard levels in
terms of SEER2 and HSPF2 that are of
equivalent stringency to the current
SEER and HSPF Federal standards.
4 EPCA’s anti-backsliding provision prevents the
Secretary from prescribing any amended standard
that either increases the maximum allowable energy
use or decreases the minimum required energy
efficiency of a covered product. (42 U.S.C.
6313(a)(6)(B)(iii)(I))
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18293
TABLE I–1—PROPOSED ENERGY CONSERVATION STANDARDS FOR AIR-COOLED, THREE-PHASE, SMALL COMMERCIAL
PACKAGE AIR CONDITIONERS AND HEAT PUMPS WITH A COOLING CAPACITY OF LESS THAN 65,000 Btu/h
Equipment type
Size category
(cooling)
Subcategory
Air Conditioners .........................................................................
<65,000 Btu/h ..........................
Heat Pumps ...............................................................................
<65,000 Btu/h ..........................
Split System ............................
Single-Package .......................
Split System ............................
Single-Package .......................
Space-Constrained Air Conditioners .........................................
≤30,000 Btu/h ..........................
Space-Constrained Heat Pumps ...............................................
≤30,000 Btu/h ..........................
Split System ............................
Single-Package .......................
Split System ............................
Single-Package .......................
Small-Duct, High-Velocity Air Conditioners ...............................
Small-Duct, High-Velocity Heat Pumps .....................................
<65,000 Btu/h ..........................
<65,000 Btu/h ..........................
Split System ............................
Split System ............................
Minimum
efficiency
13.4 SEER2
13.4 SEER2
14.3 SEER2
7.5 HSPF2
13.4 SEER2
6.7 HSPF2
13.9 SEER2
13.9 SEER2
13.9 SEER2
7.0 HSPF2
13.9 SEER2
6.7 HSPF2
13.0 SEER2
14.0 SEER2
6.9 HSPF2
TABLE I–2—PROPOSED ENERGY CONSERVATION STANDARDS FOR AIR-COOLED, THREE-PHASE, VRF MULTI-SPLIT AIR
CONDITIONERS AND HEAT PUMPS WITH A COOLING CAPACITY OF LESS THAN 65,000 Btu/h
Equipment type
Size category
(cooling)
Subcategory
VRF Air Conditioners .................................................................
VRF Heat Pumps ......................................................................
<65,000 Btu/h ..........................
<65,000 Btu/h ..........................
Split System ............................
Split System ............................
II. Introduction
The following section briefly
discusses the statutory authority
underlying this proposed rule, as well
as some of the relevant historical
background related to the establishment
of standards for three-phase, less than
65,000 Btu/h ACUACs and ACUHPs and
three-phase, less than 65,000 Btu/h
VRF.
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A. Authority
EPCA authorizes DOE to regulate the
energy efficiency of a number of
consumer products and certain
industrial equipment. Title III, Part C of
EPCA, added by Public Law 95–619,
Title IV, section 441(a) (42 U.S.C. 6311–
6317, as codified), established the
Energy Conservation Program for
Certain Industrial Equipment, which
sets forth a variety of provisions
designed to improve energy efficiency
for covered equipment. This covered
equipment includes small, large, and
very large commercial package air
conditioning and heating equipment,
including three-phase, less than 65,000
Btu/h ACUACs and ACUHPs and threephase, less than 65,000 Btu/h VRF, the
subject of this document. (42 U.S.C.
6311(1)(B)–(D)) Additionally, DOE must
consider amending the energy efficiency
standards for certain types of
commercial and industrial equipment,
including the equipment at issue in this
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document, whenever ASHRAE amends
the standard levels or design
requirements prescribed in ASHRAE/
IES Standard 90.1, and, at a minimum,
every 6 years. (42 U.S.C. 6313(a)(6)(A)–
(C))
The energy conservation program
under EPCA consists essentially of four
parts: (1) Testing, (2) labeling, (3) the
establishment of Federal energy
conservation standards, and (4)
certification and enforcement
procedures. Relevant provisions of
EPCA include definitions (42 U.S.C.
6311), test procedures (42 U.S.C. 6314),
labeling provisions (42 U.S.C. 6315),
energy conservation standards (42
U.S.C. 6313), and the authority to
require information and reports from
manufacturers (42 U.S.C. 6316; 42
U.S.C. 6296).
Federal energy efficiency
requirements for covered equipment
established under EPCA generally
supersede State laws and regulations
concerning energy conservation testing,
labeling, and standards. (See 42 U.S.C.
6316(a)–(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 set
forth under EPCA. (See 42 U.S.C.
6316(b)(2)(D))
Subject to certain criteria and
conditions, DOE is required to develop
test procedures to measure the energy
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Minimum
efficiency
12.9 SEER2
12.9 SEER2
6.5 HSPF2
efficiency, energy use, or estimated
annual operating cost of each covered
product. (42 U.S.C. 6314) Manufacturers
of covered equipment must use the
Federal test procedures 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.
The DOE test procedures for threephase, less than 65,000 Btu/h ACUACs
and ACUHPs and for three-phase, less
than 65,000 Btu/h VRF appear at 10 CFR
431, subpart F, appendix A.
ASHRAE 90.1 sets industry energy
efficiency levels for small, large, and
very large commercial package airconditioning and heating equipment,
packaged terminal air conditioners,
packaged terminal heat pumps, warm
air furnaces, packaged boilers, storage
water heaters, instantaneous water
heaters, and unfired hot water storage
tanks (collectively ‘‘ASHRAE
equipment’’). For each type of listed
ASHRAE equipment, EPCA directs that
if ASHRAE amends Standard 90.1, DOE
must adopt amended standards at the
new ASHRAE efficiency level, unless
DOE determines, supported by clear and
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convincing evidence, that adoption of a
more stringent level would produce
significant additional conservation of
energy and would be technologically
feasible and economically justified. (42
U.S.C. 6313(a)(6)(A)(ii))
Under EPCA, DOE must also review
energy efficiency standards for threephase, less than 65,000 Btu/h ACUACs
and ACUHPs and three-phase, less than
65,000 Btu/h VRF every six years and
either: (1) Issue a notice of
determination that the standards do not
need to be amended as adoption of a
more stringent level is not supported by
clear and convincing evidence; or (2)
issue a notice of proposed rulemaking
including new proposed standards
based on certain criteria and procedures
in subparagraph (B). (42 U.S.C.
6313(a)(6)(C))
In deciding whether a more-stringent
standard is economically justified,
under either the provisions of 42 U.S.C.
6313(a)(6)(A) or 42 U.S.C. 6313(a)(6)(C),
DOE must determine whether the
benefits of the standard exceed its
burdens. DOE must make this
determination after receiving comments
on the proposed standard and by
considering, to the maximum extent
practicable, the following seven factors:
(1) The economic impact of the
standard on manufacturers and
consumers of products subject to the
standard;
(2) The savings in operating costs
throughout the estimated average life of
the covered products in the type (or
class) compared to any increase in the
price, initial charges, or maintenance
expenses for the covered equipment that
are likely to result from the standard;
(3) The total projected amount of
energy savings likely to result directly
from the standard;
(4) Any lessening of the utility or the
performance of the covered product
likely to result from the standard;
(5) The impact of any lessening of
competition, as determined in writing
by the Attorney General, that is likely to
result from the standard;
(6) The need for national energy
conservation; and
(7) Other factors the Secretary of
Energy considers relevant.
(42 U.S.C. 6313(a)(6)(B)(ii)(I)–(VII))
As discussed previously, EPCA also
contains what is known as an ‘‘antibacksliding’’ provision, which prevents
the Secretary from prescribing any
amended standard that either increases
the maximum allowable energy use or
decreases the minimum required energy
efficiency of a covered product. (42
U.S.C. 6313(a)(6)(B)(iii)(I)) Also, the
Secretary may not prescribe an amended
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or new standard if interested persons
have established by a preponderance of
the evidence that the standard is likely
to result in the unavailability in the
United States in any covered product
type (or class) of performance
characteristics (including reliability,
features, sizes, capacities, and volumes)
that are substantially the same as those
generally available in the United States.
(42 U.S.C. 6313(a)(6)(B)(iii)(II)(aa))
B. Background
1. Current Standards
EPCA defines ‘‘commercial package
air conditioning and heating
equipment’’ as air-cooled, water-cooled,
evaporatively-cooled, or water-source
(not including ground water source)
electrically operated, unitary central air
conditioners and central air
conditioning heat pumps for
commercial application. (42 U.S.C.
6311(8)(A); 10 CFR 431.92) EPCA
further classifies ‘‘commercial package
air conditioning and heating
equipment’’ into categories based on
cooling capacity (i.e., small, large, and
very large categories). (42 U.S.C.
6311(8)(B)–(D); 10 CFR 431.92) ‘‘Small
commercial package air conditioning
and heating equipment’’ means
equipment rated below 135,000 Btu per
hour (cooling capacity). (42 U.S.C.
6311(8)(B); 10 CFR 431.92) ‘‘Large
commercial package air conditioning
and heating equipment’’ means
equipment rated: (i) At or above 135,000
Btu per hour; and (ii) below 240,000 Btu
per hour (cooling capacity). (42 U.S.C.
6311(8)(C); 10 CFR 431.92) ‘‘Very large
commercial package air conditioning
and heating equipment’’ means
equipment rated: (i) At or above 240,000
Btu per hour; and (ii) below 760,000 Btu
per hour (cooling capacity). (42 U.S.C.
6311(8)(D); 10 CFR 431.92)
The energy conservation standards for
three-phase, less than 65,000 Btu/h
ACUACs and ACUHPs were most
recently amended through a final rule
for energy conservation standards and
test procedures for certain commercial
HVAC and water heating equipment
published in the Federal Register on
July 17, 2015 (July 2015 final rule). 80
FR 42614. For three of the four
equipment classes of three-phase, less
than 65,000 Btu/h ACUACs and
ACUHPs (packaged air conditioners,
packaged heat pumps, and split-system
heat pumps), the July 2015 final rule
adopted energy conservation standards
that correspond to the levels in the 2013
revision of ASHRAE Standard 90.1. For
the remaining equipment class (splitsystem air conditioners), the July 2015
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final rule did not amend the energy
conservation standards.
DOE’s current energy conservation
standards for three-phase, less than
65,000 Btu/h ACUACs and ACUHPs are
codified at Tables 1 and 2 of 10 CFR
431.97. The current equipment classes
are differentiated by configuration (split
system or single package) and by
heating capability (air conditioner or
heat pump) and repeated in Table II–1
of this document.
Pursuant to its authority under EPCA
(42 U.S.C. 6313(a)(6)(A)) and in
response to updates to ASHRAE
Standard 90.1, DOE has established the
category of VRF multi-split systems,
which meets the EPCA definition of
‘‘commercial package air conditioning
and heating equipment,’’ but which
EPCA did not expressly identify. See 10
CFR 431.92; 10 CFR 431.97.
DOE defines ‘‘variable refrigerant flow
air conditioner’’ as a unit of commercial
package air-conditioning and heating
equipment that is configured as a split
system air conditioner incorporating a
single refrigerant circuit, with one or
more outdoor units, at least one
variable-speed compressor or an
alternate compressor combination for
varying the capacity of the system by
three or more steps, and multiple indoor
fan coil units, each of which is
individually metered and individually
controlled by an integral control device
and common communications network
and which can operate independently in
response to multiple indoor thermostats.
Variable refrigerant flow implies three
or more steps of capacity control on
common, inter-connecting piping. 10
CFR 431.92.
DOE defines ‘‘variable refrigerant flow
multi-split heat pump’’ as a unit of
commercial package air-conditioning
and heating equipment that is
configured as a split system heat pump
that uses reverse cycle refrigeration as
its primary heating source and which
may include secondary supplemental
heating by means of electrical
resistance, steam, hot water, or gas. The
equipment incorporates a single
refrigerant circuit, with one or more
outdoor units, at least one variablespeed compressor or an alternate
compressor combination for varying the
capacity of the system by three or more
steps, and multiple indoor fan coil
units, each of which is individually
metered and individually controlled by
a control device and common
communications network and which
can operate independently in response
to multiple indoor thermostats. Variable
refrigerant flow implies three or more
steps of capacity control on common,
inter-connecting piping. 10 CFR 431.92.
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DOE adopted energy conservation
standards for VRF multi-split systems in
a final rule published on May 16, 2012
(May 2012 Final Rule). 77 FR 28928.
When determining the appropriate
standard levels, DOE considered
updates to the 2010 edition of ASHRAE
Standard 90.1 (‘‘ASHRAE 90.1–2010’’),
which designated separate equipment
classes for VRF multi-split systems for
the first time. Id. at 77 FR 28934. For
three-phase, less than 65,000 Btu/h
VRF, DOE maintained the standards
from the equipment class under which
the corresponding VRF multi-split
system equipment class was previously
regulated (i.e., three-phase, less than
65,000 Btu/h VRF had previously been
covered as three-phase, less than 65,000
Btu/h ACUACs and ACUHPs). Id. at 77
FR 28938.
DOE’s current equipment classes for
three-phase, less than 65,000 Btu/h VRF
are differentiated only by refrigeration
cycle (air conditioners or heat pumps).
DOE’s current standards for VRF multisplit systems are set forth at Table 13 to
10 CFR 431.97 and repeated in Table II–
2 of this document.
TABLE II–1—CURRENT FEDERAL ENERGY CONSERVATION STANDARDS FOR AIR-COOLED, THREE-PHASE, SMALL
COMMERCIAL PACKAGE AIR CONDITIONERS AND HEATING EQUIPMENT WITH A COOLING CAPACITY OF LESS THAN
65,000 BTU/H
Equipment type
Cooling
capacity
Subcategory
Heating type
Efficiency
level
Small Commercial Package Air Conditioner and Heating
Equipment (Air-Cooled, 3-Phase, Split-System).
<65,000 Btu/h
AC ................
HP ................
All .................
All .................
Small Commercial Package Air Conditioning and Heating
Equipment (Air-Cooled, 3-Phase, Single-Package).
<65,000 Btu/h
AC ................
HP ................
All .................
All .................
13 SEER
14 SEER
8.2 HSPF
14 SEER
14 SEER
8.0 HSPF
Compliance date
......
......
June 16, 2008.
January 1, 2017.
......
......
January 1, 2017.
January 1, 2017.
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TABLE II–2—CURRENT FEDERAL ENERGY CONSERVATION STANDARDS FOR AIR-COOLED, THREE-PHASE, VARIABLE
REFRIGERANT FLOW AIR CONDITIONERS AND HEAT PUMPS WITH A COOLING CAPACITY OF LESS THAN 65,000 BTU/H
Equipment type
Cooling
capacity
Heating type
Efficiency
level
VRF Multi-Split Air Conditioners (Air-Cooled) ...................................
VRF Multi-Split Heat Pumps (Air-Cooled) ........................................
<65,000 Btu/h ...
<65,000 Btu/h ...
All .....................
All .....................
13 SEER ...........
13 SEER ...........
7.7 HSPF
2. ASHRAE 90.1–2019
As previously discussed, ASHRAE
released ASHRAE 90.1–2019 on October
25, 2019, which updated the test
procedure references for three-phase,
less than 65,000 Btu/h ACUACs and
ACUHPs and for three-phase, less than
65,000 Btu/h VRF. ASHRAE 90.1–2019
also updated the efficiency metrics for
less than 65,000 Btu/h ACUACs and
ACUHPs from SEER and HSPF to SEER2
and HSPF2 and updated the efficiency
levels for all classes to reflect the new
metrics. ASHRAE 90.1–2019 did not
update the efficiency metrics or
efficiency levels for three-phase, less
than 65,000 Btu/h VRF.
For three-phase, less than 65,000 Btu/
h ACUACs and ACUHPs, the current
DOE test procedure references the
industry test procedure ANSI/AHRI
Standard 210/240–2008 with Addenda 1
and 2, Performance Rating of Unitary
Air-Conditioning and Air-Source Heat
Pump Equipment (‘‘AHRI 210/240–
2008’’) and measures performance in
terms of SEER and HSPF. ASHRAE
90.1–2019 references the updated
industry test procedure ANSI/AHRI
Standard 210/240–2023, 2023
Performance Rating of Unitary Airconditioning & Air-source Heat Pump
Equipment, (‘‘AHRI 210/240–2023’’)
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beginning on January 1, 2023, which
measures performance in terms of
SEER2 and HSPF2. As discussed in
section III.A.2 of this document, DOE
conducted a preliminary crosswalk
analysis to determine whether the new
metrics and efficiency levels in
ASHRAE 90.1–2019 represent at least
equivalent stringency as compared to
the existing DOE standards in terms of
SEER and HSPF. As discussed in
section I.A.1 of this document, DOE’s
preliminary crosswalk analysis
determined that ASHRAE 90.1–2019
increased the stringency of cooling and
heating mode efficiency levels for the
two DOE equipment classes of threephase, split-system, less than 65,000
Btu/h ACUAC and ACUHP equipment
while leaving unchanged the stringency
of single-packaged, three-phase
equipment.
Regarding three-phase, less than
65,000 Btu/h VRF, ASHRAE 90.1–2019
also updates the relevant industry test
procedure. The current DOE test
procedure references AHRI Standard
1230–2010 with Addendum 1,
Performance Rating of Variable
Refrigerant Flow (VRF) Multi-split Airconditioning and Heat Pump Equipment
(‘‘AHRI 1230–2010’’). ASHRAE 90.1–
2019 updates this reference to the more
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Compliance date
June 16, 2008.
June 16, 2008.
recent version of this standard: AHRI
Standard 1230–2014 with Addendum 1.
As discussed in a separate rulemaking
for commercial VRF multi-split systems
with rated cooling capacity of greater
than 65,000 Btu/h, DOE determined that
the test procedure changes between
AHRI 1230–2010 and AHRI 1230–2014
do not have a significant impact on the
measured heating or cooling efficiency
of VRF multi-split systems, therefore a
crosswalk analysis was not required. 86
FR 70644, 70650 (Dec. 10, 2021).
ASHRAE 90.1–2019 did not update the
efficiency metrics or standards levels for
three-phase, less than 65,000 Btu/h
VRF—which are still specified in terms
of SEER and HSPF.
3. September 2020 NODA/RFI
DOE published a notice of data
availability and request for information
(‘‘NODA/RFI’’) in response to the
amendments to ASHRAE 90.1–2019 in
the Federal Register on September 25,
2020 (‘‘September 2020 NODA/RFI’’). 85
FR 60642. In the September 2020
NODA/RFI, DOE compared the current
Federal standards for three-phase, less
than 65,000 Btu/h ACUACs and
ACUHPs (in terms of SEER and HSPF)
to the levels in ASHRAE 90.1–2019 (in
terms of SEER2 and HSPF2) and
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requested comment on its preliminary
findings. Id. at 85 FR 60662–60666. The
September 2020 NODA/RFI did not
address standards for three-phase, less
than 65,000 Btu/h VRF. DOE received
comments in response to the September
2020 NODA/RFI from interested parties
listed in Table II–2.
TABLE II.2—LIST OF COMMENTERS WITH WRITTEN SUBMISSIONS TO THE SEPTEMBER 2020 NODA/RFI
Commenter(s)
Abbreviation
Commenter type
Air-Conditioning, Heating and Refrigeration Institute ....................................................
Carrier Corporation ........................................................................................................
Goodman Manufacturing Company, L.P .......................................................................
Rheem Manufacturing Company ...................................................................................
California Investor-Owned Utilities ................................................................................
Northwest Energy Alliance, Appliance Standards Awareness Project, Natural Resources Defense Council.
Trane Technologies .......................................................................................................
AHRI ...................................
Carrier ................................
Goodman ............................
Rheem ................................
CA IOUs .............................
Joint Advocates ..................
Manufacturer Trade Group.
Manufacturer.
Manufacturer.
Manufacturer.
Utility.
Advocacy Group.
Trane ..................................
Manufacturer.
III. Discussion of Crosswalk Analysis
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A. Crosswalk Background
The energy conservation standards
proposed in this document were
developed in response to updates to the
relevant industry test standard (i.e.,
AHRI 210/240–2023), as well as updates
to the minimum efficiency levels
specified in ASHRAE 90.1–2019. As
stated in section II.A, DOE must
consider amending the energy efficiency
standards for certain types of
commercial and industrial equipment,
including the equipment at issue in this
document, whenever ASHRAE amends
the standard levels or design
requirements prescribed in ASHRAE
Standard 90.1, and at a minimum, every
6 years. (42 U.S.C. 6313(a)(6)(A)–(C))
EPCA also prohibits DOE from
prescribing any amended standard that
either increases the maximum allowable
energy use or decreases the minimum
required energy efficiency of a covered
product. (42 U.S.C. 6313(a)(6)(B)(iii)(I));
commonly referred to as EPCA’s ‘‘antibacksliding provision’’) DOE conducted
separate crosswalk analyses for each
equipment class to ensure that EPCA’s
anti-backsliding provision would not be
violated if DOE were to adopt the
standards proposed in this NOPR.
As described in the following
sections, DOE presented a preliminary
crosswalk in the September 2020
NODA/RFI for three-phase, less than
65,000 Btu/h ACUACs and ACUHPs
that qualitatively evaluated whether the
levels presented in ASHRAE 90.1–2019
were of higher, lower, or equivalent
stringency to the existing Federal
standard levels. 85 FR 60642, 60662–
60663 (Sept. 25, 2020). The September
2020 NODA/RFI did not consider
standards for three-phase, less than
65,000 Btu/h VRF and therefore did not
conduct a crosswalk translation for such
equipment. In the September 2020
NODA/RFI, DOE accounted for the
changes in the updated industry test
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standard AHRI 210/240–2023. Id. at 85
FR 60663. Specifically, DOE evaluated
the impact to measured efficiency
resulting from increased external static
pressure requirements and changes to
the heating load line in AHRI 210/240–
2023. Id. at 85 FR 60662. In AHRI 210/
240–2023, most equipment classes have
increased external static pressure testing
requirements for ducted systems as
compared to the current Federal test
procedures. As a result, most classes of
three-phase, less than 65,000 Btu/h
equipment consume more power under
the updated test procedure and thus
have lower numerical values of SEER2
and HSPF2 when translated from a
given SEER or HSPF rating,
respectively. Id. AHRI 210/240–2023
also includes changes to the heating
load line calculations. Specifically,
AHRI 210/240–2023 includes different
slope factors for the heating load line,
which results in higher calculated
heating demand for most systems. The
increased heating demand has an
overall impact of decreased numerical
values for HSPF2 as compared to HSPF.
Id.
On January 6, 2017, DOE published a
direct final rule concerning energy
conservation standards for residential
central air conditioners and heat pumps
(‘‘CACs and HPs’’) (‘‘January 2017 CAC/
HP ECS DFR’’). 82 FR 1786. The January
2017 CAC/HP ECS DFR established
crosswalk translations for CACs and
HPs from SEER and HSPF (measured
per 10 CFR part 430, subpart B,
appendix M (‘‘Appendix M’’)) to SEER2
and HSPF2 (measured per 10 CFR part
430, subpart B, appendix M1
(‘‘Appendix M1’’)). Specifically, in the
January 2017 CAC/HP ECS DFR DOE
established multiple SEER-to-SEER2
translations that were unique to the test
conditions for each product class. Id. at
82 FR 1849. In the January 2017 CAC/
HP ECS DFR, DOE also established an
HSPF-to-HSPF2 translation and
concluded that the 15 percent reduction
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from HSPF to HSPF2 that was observed
in an earlier rule for split-system and
single-package heat pumps was
appropriate also for S–C and SDHV heat
pumps. Id. at 82 FR 1850.
As described in the September 2020
NODA/RFI, AHRI 210/240–2023 aligns
test methods and ratings to be consistent
with DOE’s test procedure for singlephase central air conditioners at
appendix M1. 85 FR 60642, 60647 (Sept.
25, 2020). Given that three-phase
equipment are generally identical to
their single-phase counterparts, aside
for three-phase power input, DOE
presented a preliminary metric
translation for three-phase, less than
65,000 Btu/h ACUACs and ACUHPs
based on the metric translation used for
single-phase CAC/HPs presented in the
January 2017 CAC/HP ECS DFR in the
September 2020 NODA/RFI. Id. at 85 FR
60662. For three-phase equipment
classes with Federal standards matching
SEER and HPSF standards in Table V–
29 of the January 2017 CAC/HP ECS
DFR, DOE used the corresponding
SEER2 and HSPF2 value from Table V–
30 of the January 2017 CAC/HP ECS
DFR. For three-phase equipment classes
that did not having matching SEER and/
or HSPF values in Table V–29 of the
January 2017 CAC/HP ECS DFR, DOE
evaluated the stringency of the ASHRAE
90.1–2019 SEER2 and HSPF2 levels
relative to the Federal SEER and HSPF
standards by qualitatively assessing how
the testing method changes made for
single phase switching from SEER/HSPF
to SEER2/HSPF2 would impact threephase equipment. See id. at 85 FR
60662–60663.
DOE received multiple comments in
response to this preliminary crosswalk
analysis in the September 2020 NODA/
RFI. AHRI, Carrier, Goodman, and the
Joint Advocates all commented in
support of DOE’s crosswalk
methodology. (AHRI, No. 2 at p. 5;
Carrier, No. 3 at p. 2; Goodman, No. 7
at p. 2; Joint Advocates, No. 6 at p. 2)
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Goodman commented further that all
efficiency levels in ASHRAE 90.1–2019,
effective January 1, 2023, are greater
than or equal to the current Federal
standards. (Goodman, No. 7 at p. 2) In
response to comments received from
stakeholders, DOE is evaluating its
preliminary crosswalk analysis and is
proposing an additional crosswalk
analysis for three-phase, less than
65,000 Btu/h VRF in this document.
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B. Crosswalk Methodology
1. Three-Phase, Less Than 65,000 Btu/
h, Single-Package and Split-System
ACUACs and ACUHPs
Because three-phase, less than 65,000
Btu/h single-package air conditioners
and heat pumps have directly
comparable single-phase product
classes, DOE was able to utilize the
same crosswalk as described in the
January 2017 CAC/HP ECS DFR when
evaluating the relative stringency of
ASHRAE 90.1–2019 levels. See 82 FR
1786, 1848–1851 (Jan. 6, 2017). In the
September 2020 NODA/RFI, DOE
determined that the ASHRAE 90.1–2019
efficiency standards are equivalent to
the translated Federal efficiency
standards for single-package ACUACs
and ACUHPs. 85 FR 60642, 60662–
60663 (Sept. 25, 2020). However, for
three-phase, split-system, less than
65,000 Btu/h ACUACs and ACUHPs,
DOE’s preliminary crosswalk analysis
determined that the levels in ASHRAE
90.1–2019 are more stringent than
current Federal standards, which
triggered DOE’s review of the standard
levels for three-phase, split-system
equipment. Id.
In response to the proposed crosswalk
in the September 2020 NODA/RFI,
Goodman requested that DOE provide
specific crosswalk values for the
equipment classes where DOE
determined that the post-2023 levels in
ASHRAE 90.1–2019 are more stringent
than the current Federal standards (i.e.,
the two classes of three-phase, splitsystem, less than 65,000 Btu/h ACUACs
and ACUHPs). (Goodman, No. 7 at p. 2)
Specifically, Goodman requested that
DOE provide specific crosswalked
values for the translation from 13 SEER
to SEER2 and from 8.2 HSPF to HSPF2.
(Id.) Goodman asserted that these values
would be useful to help eliminate
potential market confusion in the years
2023–2024, where some products on the
market may be rated to SEER/HSPF (in
compliance with current Federal
standards) while other products would
simultaneously be rated early to SEER2/
HSPF2. (Id.)
As discussed, DOE conducted the
crosswalk to evaluate the relative
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stringency of ASHRAE 90.1–2019 levels
as compared to the existing Federal
standards to ensure that backsliding
would not result were the ASHRAE 90.1
levels adopted. Based on the crosswalk,
DOE finds that it is unnecessary to
provide specific crosswalk values for
the two equipment classes of threephase, split-system, less than 65,000
Btu/h ACUACs and ACUHPs for which
ASHRAE 90.1–2019 increased
stringency as compared to the current
Federal standards.
2. Three-Phase, Less Than 65,000 Btu/
h, Space-Constrained and Small-Duct,
High-Velocity ACUACs and ACUHPs
In its preliminary crosswalk analysis
in the September 2020 NODA/RFI, DOE
determined that the post-2023 standards
levels for S–C and SDHV equipment
found in ASHRAE 90.1–2019 are less
stringent than the current Federal
standards for the following six
equipment classes: (1) S–C, split-system
ACUAC; (2) S–C, split-system ACUHP;
(3) S–C, single-package ACUAC; (4) S–
C, single-package ACUHP; (5) SDHV
split-system ACUAC; and (6) SDHV
split-system ACUHP. DOE’s preliminary
crosswalk showed that the crosswalked
Federal standard levels for these
equipment classes are qualitatively
higher than the SEER2 and/or HSPF2
levels found in ASHRAE 90.1–2019,
however DOE did not determine
specific values for an appropriate
crosswalk. In the September 2020
NODA/RFI, DOE noted that although
the post-2023 values for S–C and SDHV
equipment are less stringent than
current Federal standards, it still
intended to consider these ASHRAE
classes separately in this rulemaking as
part of the six-year-lookback review. 85
FR 60642, 60663 (Sept. 25, 2020).
In response to the September 2020
NODA/RFI, AHRI commented that it
disagreed with DOE’s preliminary
determination that it could not adopt
the ASHRAE 90.1–2019 standard levels
for S–C ACUACs and ACUHPs and
SDHV ACUACs and ACUHPs that are
aligned with their single-phase
counterparts. AHRI contended that
these products could not meet the
general levels established for threephase equipment and urged DOE to set
levels for three-phase S–C and SDHV
equipment at the levels prescribed by
ASHRAE 90.1–2019, which are
harmonized with the single-phase
equivalents for those products. AHRI
further stated that it is not aware of any
three-phase S–C or SDHV products on
the market and speculated that S–C
products are unlikely to exist because
the equipment class is limited to
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18297
products having capacity less than
30,000 Btu/h. (AHRI, No. 2 at p. 5)
In a NOPR published on January 8,
2015, which covered energy
conservation standards for commercial
HVAC equipment, including threephase, less than 65,000 Btu/h air
conditioners and heat pumps (‘‘January
2015 ASHRAE 90.1 NOPR’’), DOE stated
that EPCA does not separate these six
additional equipment classes from other
types of small commercial package air
conditioning and heating equipment in
its definitions, and, therefore, EPCA’s
definition of ‘‘small commercial package
air conditioning and heating
equipment’’ includes SDHV and S–C air
conditioners and heat pumps. 80 FR
1172, 1184. DOE reiterated this position
in the September 2020 NODA/RFI. 85
FR 60642, 60662 (Sept. 25, 2020). EPCA
generally directs DOE to establish
amended uniform national standards for
three-phase, less than 65,000 Btu/h
ACUACs and ACUHPs at the minimum
levels specified in ASHRAE Standard
90.1. (43 U.S.C. 6313(a)(6)(A)(ii)(I)) As
DOE has previously stated, when
considering the ASHRAE trigger, DOE
evaluates ASHRAE amendments at the
class level. Because the six equipment
classes of three-phase S–C and SDHV
equipment prescribed in ASHRAE 90.1–
2019 are covered as small commercial
package air conditioning and heating
equipment, DOE cannot propose
standard levels that are any lower than
the current Federal standards. However,
to distinguish S–C and SDHV
equipment from the three-phase, splitsystem, less than 65,000 Btu/h ACUACs
and ACUHPs equipment for which DOE
was triggered by more stringent levels in
ASHRAE 90.1–2019, DOE proposes to
establish six separate equipment classes
of three-phase S–C and SDHV
equipment with separate standard
levels. Consistent with EPCA, the levels
that DOE is proposing for these S–C and
SDHV equipment classes maintain
equivalent stringency to the current
applicable Federal standards, and are
therefore more stringent than the
corresponding levels set forth in
ASHRAE 90.1–2019.
In this document, DOE proposes to
extend its preliminary crosswalk
analysis for these types of equipment
(the September 2020 NODA/RFI
presented a qualitative discussion of
relative stringency) and propose specific
efficiency levels in terms of SEER2 and
HSPF2 that are crosswalked from the
existing Federal standards for small
commercial package air conditioning
and heating equipment. DOE developed
a crosswalk for S–C, split-system, and
single-package ACUACs and ACUHPs
and SDHV ACUACs and ACUHPs by
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applying similar translations as
observed in the January 2017 CAC/HP
ECS DFR for single-phase S–C and
SDHV equipment to the existing Federal
standards for small commercial package
air conditioners and heat pumps.
in the heating load line between
appendix M and appendix M1, DOE has
tentatively concluded that utilizing the
same HSPF2 translation from singlephase CACs and HPs is appropriate for
S–C ACUACs and ACUHPs.
a. Space-Constrained Equipment
Single-phase S–C air conditioners,
which are not further separated into
split-systems and single-package
systems, have a DOE minimum SEER of
12 that was translated to 11.7 SEER2. 82
FR 1786, 1848–1849 (Jan. 6, 2017).
Single-phase S–C heat pumps also have
a minimum SEER of 12, but the January
2017 CAC/HP ECS DFR established a
different translated SEER2 of 11.9. Id.
This difference in the SEER2
requirement between S–C air
conditioners and S–C heat pumps is due
to differences in the requirements for
determination of represented values
codified at Table 1 to paragraph (a)(1) of
10 CFR 429.16. In a December 9, 2021,
NOPR to amend the test procedure for
three-phase ACUACs and ACUHPs with
cooling capacity of less than 65,000 Btu/
h and three-phase VRF with cooling
capacity of less than 65,000 Btu/h
(‘‘December 2021 Three-Phase TP
NOPR’’), DOE proposed to align the
representation requirements for threephase, less than 65,000 Btu/h
equipment with the representation
requirements for single-phase CACs and
HPs. 86 FR 70316, 70326–70327.
Accordingly, DOE is proposing in this
document to utilize the same coolingmetric translations for three-phase,
space-constrained equipment as the
translations present for single-phase,
space-constrained equipment (i.e.,
applying a 0.3 point SEER2 decrement
for space-constrained air conditioners
and a 0.1 point SEER2 decrement for
space-constrained heat pumps). DOE
notes that split-system S–C ACUACs are
currently covered under the Federal
standard of 13.0 SEER for three-phase,
split-system, less than 65,000 Btu/h
ACUACs, whereas S–C split-system
ACUHPs and S–C single-packaged
ACUACs and ACUHPs are each covered
under corresponding DOE equipment
classes with a standard of 14 SEER.5
With regards to the translation from
HSPF to HSPF2 for S–C ACUACs and
ACUHPs, DOE is proposing to use the
same 15 percent reduction from the
January 2017 CAC/HP ECS DFR when
translating from HSPF to HSPF2 at an
equivalent stringency. Because the
changes to the heating load line between
AHRI 210/240–2008 and AHRI 210/
240–2023 are equivalent to the changes
b. Small-Duct, High-Velocity Equipment
For single-phase SDHV CACs and
HPs, there is no increase in external
static pressure requirements in
appendix M1 as compared to appendix
M. Consequently, in the January 2017
CAC/HP ECS DFR, there was no
decrease in numerical value when
translating standards from SEER to
SEER2. 82 FR 1786, 1848–1849 (Jan. 6,
2017). Given that the test procedures for
three-phase, less than 65,000 Btu/h
ACUACs and ACUHPs are aligned with
the test procedures for single-phase
CACs and HPs, there are also no
increases in external static pressure
requirements for SDHV ACUACs and
ACUHPs in AHRI 210/240–2023.
Therefore, DOE is proposing no
decrement when translating from SEER
to SEER2 for SDHV ACUACs and
ACUHPs.
For the heating mode for SDHV
ACUHPs, DOE is proposing to use the
same 15 percent reduction from the
January 2017 CAC/HP ECS DFR when
translating from HSPF to HSPF2. Id. at
82 FR 1850. Because the changes to the
heating load line between AHRI 210/
240–2008 and AHRI 210/240–2023 are
equivalent to the changes in the heating
load line between appendix M and
appendix M1, DOE has tentatively
concluded that utilizing the same
HSPF2 translation from single-phase
CACs and HPs is appropriate for SDHV
ACUACs and ACUHPs.
5 See table in paragraph (c)(1) of 10 CFR 430.32
for current standards.
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3. Three-Phase, Less Than 65,000 Btu/
h VRF
The current DOE test procedure for
VRF multi-split systems (including
three-phase, less than 65,000 Btu/h
VRF) references AHRI 1230–2010 with
addendum 1. For three-phase, less than
65,000 Btu/h VRF, AHRI 1230–2010 is
used to calculate cooling and heating
efficiency in terms of the SEER and
HSPF metrics, respectively. In May
2021, AHRI published AHRI 1230–2021,
which excludes from its scope threephase, less than 65,000 Btu/h VRF.
Accordingly, in the December 2021
Three-Phase TP NOPR, DOE proposed
to remove its reference to AHRI 1230–
2010 and instead to reference AHRI 210/
240–2023 in the test procedure for
three-phase, less than 65,000 Btu/h
VRF. 86 FR 70316, 70321–70322 (Dec. 9,
2021). In that proposed rule, DOE noted
that AHRI 210/240–2023 includes in its
scope three-phase, less than 65,000 Btu/
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h VRF systems and harmonizes with the
updated Federal test method for singlephase central air conditioners and
central air conditioning heat pumps
with rated cooling capacities of less
than 65,000 Btu/h (i.e., appendix M1,
effective January 1, 2023), which
includes single-phase, air-cooled, VRF
systems with a cooling capacity of less
than 65,000 Btu/h. Id. at 85 FR 70322.
Like appendix M1, AHRI 210/240–2023
is used to calculate cooling and heating
efficiency in terms of updated metrics,
SEER2 and HSPF2, respectively. As
discussed in section II.B.2, ASHRAE
90.1–2019 established SEER2 and
HSPF2 levels for three-phase, less than
65,000 Btu/h CUACs and CUHPs (some
with increased stringency over current
DOE levels) but did not consider new
metrics or an increase in stringency for
three-phase, less than 65,000 Btu/h
VRF. Accordingly, DOE is proposing in
this document to update its efficiency
metrics for three-phase, less than 65,000
Btu/h VRF from SEER and HSPF
measured per AHRI 1230–2010 to
SEER2 and HSPF2 measured per AHRI
210/240–2023.
To translate the existing SEER and
HSPF levels to SEER2 and HSPF2 levels
with equivalent stringency, DOE
conducted a crosswalk analysis. As
described in section III.B, there are
several classes of three-phase, less than
65,000 Btu/h CUACs and CUHPs for
which DOE was able to apply identical
crosswalk methodologies as were used
for corresponding product classes of
single-phase residential CACs and HPs
in the January 2017 CAC/HP ECS DFR.
However, there are not separate product
classes for single-phase, residential,
multi-split CACs and HPs (the consumer
products that correspond to three-phase,
less than 65,000 Btu/h VRF). Therefore,
DOE could not rely on existing analysis
specific to multi-split systems from the
January 2017 CAC/HP ECS DFR and
instead conducted an analytical
crosswalk by evaluating changes in the
test procedure between AHRI 1230–
2010 and AHRI 210/240–2023.
Additionally, DOE is not aware of any
models of three-phase, less than 65,000
Btu/h VRF currently on the market.
When deciding how to translate SEER
to SEER2 for three-phase, less than
65,000 Btu/h VRF, DOE considered the
external static pressure testing
requirements in AHRI 1230–2010 and
AHRI 210/240–2023. While DOE is not
aware of the existence of any models of
three-phase, less than 65,000 Btu/h
VRF, the Department expects that,
should they exist, the most common
configuration would likely be nonducted indoor units, similar to other
categories of VRF systems (e.g., single-
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phase, residential, multi-split CACs and
HPs). Because both AHRI 1230–2010
and AHRI 210/240–2023 require testing
at zero external static pressure (‘‘ESP’’)
for non-ducted indoor units, there
would be no change in the numerical
value translating from SEER to SEER2
for systems comprising of non-ducted
indoor units. For systems rated with
ducted indoor units, AHRI 1230–2010
specifies ESP requirements that vary
with indoor unit cooling capacity
(varying between 0.1 to 0.2 in H2O),
while AHRI 210/240–2023 specifies ESP
requirements of 0.1 in H2O for low-static
indoor units and 0.3 in H2O for midstatic indoor units. Therefore, the ESP
requirements would only result in
different ratings for certain
combinations of ducted indoor units.
For example, DOE expects a typical
configuration would be low-static
indoor units with per-indoor-unit
cooling capacity less than 28,800 Btu/h
(given an overall system capacity less
than 65,000 Btu/h)—in which case both
test procedures require testing at 0.1 in
H2O. Consequently, DOE has tentatively
determined that for a significant
majority of three-phase, less than 65,000
Btu/h VRF systems (should they exist in
the future), there would be no change in
the required external static pressure
when testing to the updated industry
test procedure AHRI 210/240–2023.
Therefore, DOE is not proposing a
change in the numerical value of SEER2
standards crosswalked from existing
SEER standards.
With regards to the translation from
HSPF to HSPF2 for three-phase, less
than 65,000 Btu/h VRF, DOE is
proposing to use the same 15 percent
reduction from the January 2017 CAC/
HP ECS DFR when translating from
HSPF to HSPF2 at an equivalent
stringency. Because the changes to the
heating load line between AHRI 1230–
18299
2010 and AHRI 210/240–2023 are
equivalent to the changes in the heating
load line between appendix M and
appendix M1, DOE has tentatively
concluded that utilizing the same
HSPF2 translation from single-phase
CACs and HPs is appropriate for threephase, less than 65,000 Btu/h VRF.
C. Crosswalk Results
DOE conducted the crosswalk
discussed in section III.B of this
document to translate the current
Federal standards to the SEER2 and
HSPF2 metrics and determine whether
the levels specified in ASHRAE 90.1–
2019 represent more, less, or equivalent
stringency as compared to the current
Federal standards. DOE’s crosswalk
results for three-phase, less than 65,000
Btu/h ACUACs and ACUHPs and for
three-phase, less than 65,000 Btu/h VRF
are presented in Table III–1
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TABLE III—1 CROSSWALK RESULTS FOR AIR-COOLED, THREE-PHASE, LESS THAN 65,000 BTU/H ACUAC, ACUHP, AND
VRF EQUIPMENT
Comparison of
ASHRAE
90.1–2019 to
crosswalk 1
Federal energy
conservation
standard(s)
Crosswalk of
current federal
standard(s)
Energy efficiency levels in
ASHRAE 90.1–2019
Air-cooled Air Conditioner, ThreePhase, Single-Package,
<65,000 Btu/h.
Air-cooled Air Conditioner, ThreePhase, Split-System, <65,000
Btu/h.
Air-cooled Heat Pump, ThreePhase, Single-Package,
<65,000 Btu/h.
14.0 SEER ........
13.4 SEER2 ......
Equivalent.
13.0 SEER ........
<13.0 SEER2 2 ..
14.0 SEER ........
8.0 HSPF ..........
13.4 SEER2 ......
6.7 HSPF2 ........
Air-cooled Heat Pump, ThreePhase, Split-System, <65,000
Btu/h.
Air-cooled Heat Pump, ThreePhase, Split-System, <65,000
Btu/h.
14.0 SEER ........
8.2 HSPF ..........
13.4 SEER2 ......
<7.5 HSPF2 3 ....
Space-Constrained, Air-cooled Air
Conditioner, Three-Phase, Single-Package, ≤30,000 Btu/h.
Space-Constrained, Air-cooled Air
Conditioner, Three-Phase, SplitSystem, ≤30,000 Btu/h.
Space-Constrained, Air-Cooled
Heat Pump, Three-Phase, Single-Package, ≤30,000 Btu/h.
Air-cooled Air Conditioner, ThreePhase, Single-Package,
<65,000 Btu/h.
Air-cooled Air Conditioner, ThreePhase, Split-System, <65,000
Btu/h.
Air-cooled Heat Pump, ThreePhase, Single-Package,
<65,000 Btu/h.
14.0 SEER ........
13.9 SEER2 ......
13.0 SEER ........
12.7 SEER2 ......
14.0 SEER ........
8.0 HSPF ..........
13.9 SEER2 ......
6.7 HSPF2 ........
Space-Constrained, Air-cooled
Heat Pump, Three-Phase, SplitSystem, ≤30,000 Btu/h.
Air-cooled Heat Pump, threephase, Split-System, <65,000
Btu/h.
14.0 SEER ........
8.2 HSPF ..........
13.9 SEER2 ......
7.0 HSPF2 ........
Small Duct High Velocity, Aircooled Air Conditioner, ThreePhase, Split-System, <65,000
Btu/h.
Small Duct, High Velocity, Aircooled Heat Pump, ThreePhase, Split-System, <65,000
Btu/h.
VRF, Air-Cooled, Air Conditioner
Air-cooled Air Conditioner, ThreePhase, Split-System, <65,000
Btu/h.
13.0 SEER ........
13.0 SEER2 ......
14.0 SEER before 1/1/2023 ........
13.4 SEER2 on and after 1/1/
2023.
13.0 SEER before 1/1/2023 ........
13.4 SEER2 on and after 1/1/
2023.
14.0 SEER/8.0 HSPF before 1/1/
2023.
13.4 SEER2/6.7 HSPF on and
after 1/1/2023.
14.0 SEER/8.2 HSPF before 1/1/
2023.
14.3 SEER2/7.5 HSPF2 on and
after 1/1/2023.
12.0 SEER before 1/1/2023 ........
11.7 SEER2 on and after 1/1/
2023.
12.0 SEER before 1/1/2023 ........
11.7 SEER2 on and after 1/1/
2023.
12.0 SEER/7.4 HSPF before 1/1/
2023.
11.7 SEER2/6.3 HSPF2 on and
after 1/1/2023.
12.0 SEER/7.4 HSPF before 1/1/
2023.
11.7 SEER2/6.3 HSPF2 on and
after 1/1/2023.
12.0 SEER before 1/1/2023 ........
12.0 SEER2 on and after 1/1/
2023.
Air-cooled Heat Pump, ThreePhase, Split-Package, <65,000
Btu/h.
14.0 SEER ........
8.2 HSPF ..........
14.0 SEER2 ......
6.9 HSPF2 ........
Less Stringent.3
Air-cooled VRF Multi-Split Air
Conditioners, < 65,000 Btu/h.
Air-cooled VRF Multi-Split Heat
Pumps, < 65,000 Btu/h.
13.0 SEER ........
12.9 SEER2 ......
12.0 SEER/7.2 HSPF before 1/1/
2023.
12.0 SEER2/6.1 HSPF2 on and
after 1/1/2023.
13.0 SEER ...................................
13.0 SEER ........
7.7 HSPF ..........
12.9 SEER2 ......
6.5 HSPF2 ........
13.0 SEER ...................................
7.7 HSPF
ASHRAE 90.1–2019 equipment
class
Current federal equipment class
Air-cooled Air Conditioner, ThreePhase, Single-Package,
<65,000 Btu/h.
Air-cooled Air Conditioner, ThreePhase, Split-System, <65,000
Btu/h.
Air-cooled Heat Pump, ThreePhase, Single-Package,
<65,000 Btu/h.
VRF, Air-Cooled, Heat Pump .......
More Stringent.
Equivalent.
More Stringent.
Less Stringent.3
Less Stringent.3
Less Stringent.3
Less Stringent.3
Less Stringent.3
Equivalent.4
Equivalent.4
1 Column indicates whether the ASHRAE 90.1–2019 levels, beginning on January 1, 2023, are less stringent, equivalent to, or more stringent than the crosswalked
Federal standards.
2 The Federal SEER standard is lower than the ASHRAE 90.1–2019 SEER2 level indicating that the crosswalked Federal SEER2 standard will also be lower than
the ASHRAE 90.1–2019 SEER2 level.
3 For S–C and SDHV equipment, the ASHRAE 90.1 levels are less stringent than the crosswalked Federal efficiency levels because these classes are split off from
split-system and single-package, respectively.
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4 As discussed in section III.B.3, ASHRAE 90.1–2019 did not establish SEER2/HSPF2 levels for three-phase, less than 65,000 Btu/h VRF equipment. DOE’s crosswalk values represent an equivalent-stringency translation.
Issue 1: DOE requests comment on the
crosswalk methodology described in
section III.B of this proposed rule and
the crosswalk results in Table III–1 for
three-phase, less than 65,000 Btu/h
ACUACs and ACUHPs and three-phase,
less than 65,000 Btu/h VRF.
IV. Estimates of Potential Energy
Savings
As required under 42 U.S.C.
6313(a)(6)(A)(i), for three-phase, less
than 65,000 Btu/h CUAC equipment
classes for which ASHRAE 90.1–2019
set more stringent levels than the
current Federal standards, DOE
performed an assessment to determine
the energy-savings potential of
amending Federal standard levels to
reflect the efficiency levels specified in
ASHRAE 90.1–2019. The two
equipment classes analyzed in the
September 2020 NODA/RFI were aircooled, three-phase, split-system, less
than 65,000 Btu/h air conditioners and
air-cooled, three-phase, split-system,
less than 65,000 Btu/h heat pumps. In
the September 2020 NODA/RFI, DOE
presented the methodology to determine
energy savings along with the findings
of the energy savings potential for the
two equipment classes and sought
comment on the analysis. 85 FR 60642,
60666–60673 (Sep. 25, 2020).
In response to the September 2020
NODA/RFI, AHRI and Carrier supported
DOE’s approach to develop unit energy
consumption, shipments, and the nonew standards efficiency distributions
that were used to estimate the energy
savings potential of air-cooled, threephase, split-system air conditioners and
heat pumps less than 65,000 Btu/h.
(AHRI, No. 2, at pp. 5–6; Carrier, No. 3
at pp. 2–3) However, AHRI, Carrier, and
Goodman all disagreed with DOE’s
approach to equipment lifetime. (AHRI,
No. 2, at p. 6; Carrier, No. 3 at p. 3;
Goodman, No. 7 at p. 2) AHRI stated
that DOE should use the average
lifetime of 18.4 years for central air
conditioners and 15.2 years for heat
pumps stated in the January 2016 Final
Rule for small, large, and very large
commercial package air conditioning
and heating equipment. (AHRI, No. 2 at
p. 6) Carrier stated that the lifetime is
overestimated and suggested a range of
10 to 15 years (Carrier, No. 3 at p. 3)
Goodman suggested using a lifetime that
is lower than the single-phase lifetime,
such as 15 years, because three-phase
products are typically installed in
commercial applications and thus
operate more hours per year and at more
extreme conditions, resulting in a
shorter lifetime. (Goodman, No. 7 at p.
2)
In its analysis for this NOPR, DOE did
not make any changes to the inputs into
the energy savings analysis that was
presented in the September 2020
NODA/RFI, including the average
lifetimes of 19 years for air conditioners
and 16.2 years for heat pumps. First,
DOE notes that the average lifetimes
cited by AHRI are from the September
30, 2014 NOPR and not the January 15,
2016 final rule. See 79 FR 58948, 58981
(Sept. 30, 2014). In the January 15, 2016
final rule, DOE updated the lifetimes
based on new shipment data. The
average lifetimes for small commercial
package air conditioning equipment
used in the January 15, 2016 final rule
was 21.1 years. 81 FR 2479, 2481
(January 15, 2016). As the commenters
provided a range of lifetimes, DOE
chose to maintain the average lifetimes
used in the September 2020 NODA/RFI.
DOE estimated the potential site,
primary, and full-fuel-cycle (FFC)
energy savings in quads (i.e., 1015 Btu)
for adopting ASHRAE 90.1–2019 for the
two equipment classes analyzed. The
potential energy savings of adopting
ASHRAE 90.1–2019 levels are measured
relative to the current Federal standards.
Table IV–1 displays the energy savings
at the ASHRAE level for air-cooled,
three-phase, split-system air
conditioners less than 65,000 Btu/h and
air-cooled, three-phase, split-system
heat pumps less than 65,000 Btu/h. The
values in the table below are identical
to the values presented in the
September 2020 NODA/RFI. 85 FR
60642, 60673 (Sept. 25, 2020)
TABLE IV–1—POTENTIAL ENERGY SAVINGS FOR AIR-COOLED, THREE-PHASE, SPLIT-SYSTEM, LESS THAN 65,000 BTU/H
AIR CONDITIONERS AND HEAT PUMPS
Split-system, air conditioner
ASHRAE efficiency level
I
Split system, heat pump
quads
ASHRAE efficiency level
I
quads
Site Energy Savings Estimate
Level 0—ASHRAE ..................................................
13.4 SEER2 .......................
0.0007
14.3 SEER2 .......................
7.5 HSPF2
0.0017
0.0017
14.3 SEER2 .......................
7.5 HSPF2
0.0044
0.0018
14.3 SEER2 .......................
7.5 HSPF2
0.0047
Primary Energy Savings Estimate
Level 0—ASHRAE ..................................................
13.4 SEER2 .......................
FFC Energy Savings Estimate
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Level 0—ASHRAE ..................................................
The significance of energy savings
offered by a new or amended energy
conservation standard cannot be
determined without knowledge of the
specific circumstances surrounding a
given rulemaking. 86 FR 70892, 70901
(Dec. 13, 2021) For example, the United
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13.4 SEER2 .......................
States rejoined the Paris Agreement on
February 19, 2021. As part of that
agreement, the United States has
committed to reducing GHG emissions
in order to limit the rise in mean global
temperature. As such, energy savings
that reduce GHG emissions have taken
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on greater importance. Additionally,
some covered products and equipment
have most of their energy consumption
occur during periods of peak energy
demand. The impacts of these products
on the energy infrastructure can be more
pronounced than products with
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relatively constant demand. In
evaluating the significance of energy
savings, DOE considers differences in
primary energy and FFC effects for
different covered products and
equipment when determining whether
energy savings are significant. Primary
energy and FFC effects include the
energy consumed in electricity
production (depending on load shape),
in distribution and transmission, and in
extracting, processing, and transporting
primary fuels (i.e., coal, natural gas,
petroleum fuels), and thus present a
more complete picture of the impacts of
energy conservation standards.
DOE conducted an analysis of the
emissions reductions at the ASHRAE
efficiency level for air-cooled, threephase, split-system, less than 65,000
Btu/h air conditioners and air-cooled,
three-phase, split-system, less than
65,000 Btu/h heat pumps. This
emissions analysis consists of two
components. The first component
estimates the effect of potential energy
conservation standards on power sector
combustion emissions of CO2, NOX,
SO2, and Hg. The second component
estimates the impacts of potential
standards on emissions of two
additional greenhouse gases, CH4 and
N2O, as well as the reductions to
emissions of other gases due to
‘‘upstream’’ activities in the fuel
production chain. These upstream
activities comprise extraction,
processing, and transporting fuels to the
site of combustion. Table IV–2 displays
the emissions reductions estimates for
the power sector, the upstream sector,
and the full-fuel-cycle.
TABLE IV–2—POTENTIAL EMISSIONS SAVINGS FOR AIR-COOLED, THREE-PHASE, SPLIT-SYSTEM, LESS THAN
65,000 BTU/H AIR CONDITIONERS AND HEAT PUMPS
Split system, air
conditioner
Split system, heat
pump
ASHRAE efficiency
level
ASHRAE efficiency
level
0.1
0.0
0.0
0.0
0.0
0.0
0.2
0.0
0.0
0.1
0.1
0.0
0.0
0.5
0.0
0.0
0.1
0.0
0.0
1.2
0.0
0.0
0.2
0.0
0.1
0.5
0.0
0.0
0.1
0.0
0.2
1.2
0.0
0.1
0.3
0.0
Power Sector Emissions:
CO2 (million metric tons) ..................................................................................................................
CH4 (thousand tons) .........................................................................................................................
N2O (thousand tons) ........................................................................................................................
SO2 (thousand tons) .........................................................................................................................
NOX (thousand tons) ........................................................................................................................
Hg (tons) ...........................................................................................................................................
Upstream Emissions:
CO2 (million metric tons) ..................................................................................................................
CH4 (thousand tons) .........................................................................................................................
N2O (thousand tons) ........................................................................................................................
SO2 (thousand tons) .........................................................................................................................
NOX (thousand tons) ........................................................................................................................
Hg (tons) ...........................................................................................................................................
Total FFC Emissions:
CO2 (million metric tons) ..................................................................................................................
CH4 (thousand tons) .........................................................................................................................
N2O (thousand tons) ........................................................................................................................
SO2 (thousand tons) .........................................................................................................................
NOX (thousand tons) ........................................................................................................................
Hg (tons) ...........................................................................................................................................
V. Conclusions
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A. Consideration of More Stringent
Efficiency Levels for Split Systems
As discussed, ASHRAE 90.1–2019
includes efficiency levels more stringent
than the current Federal standards for
three-phase, split-system, less than
65,000 Btu/h ACUACs and ACUHPs.
When triggered by an update to
ASHRAE Standard 90.1, EPCA requires
DOE to establish an amended uniform
national standard for equipment classes
at the minimum level specified in the
amended ASHRAE Standard 90.1 unless
DOE determines, by rule published in
the Federal Register, and supported by
clear and convincing evidence, that
adoption of a uniform national standard
more stringent than the amended
ASHRAE Standard 90.1 for the
equipment class would result in
significant additional conservation of
energy and is technologically feasible
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and economically justified. (42 U.S.C.
6313(a)(6)(A)(ii)(I)–(II)). As noted
previously, clear and convincing
evidence is a heightened standard, and
would only be met where the Secretary
has an abiding conviction, based on
available facts, data, and DOE’s own
analyses, that it is highly probable an
amended standard would result in a
significant additional amount of energy
savings, and is technologically feasible
and economically justified. See
American Public Gas Association v.
U.S. Dep’t of Energy, No. 20–1068, 2022
WL 151923, at *4 (D.C. Cir. January 18,
2022) (citing Colorado v. New Mexico,
467 U.S. 310, 316, 104 S.Ct. 2433, 81
L.Ed.2d 247 (1984)).
In the September 2020 NODA/RFI,
DOE did not consider more stringent
efficiency levels, as this would require
DOE to crosswalk the entire market for
this equipment. 85 FR 60642, 60674
(Sept. 25, 2020) The amended levels in
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ASHRAE 90.1–2019 rely on updated
metrics (SEER2 and HSPF2), which are
not applicable until 2023. Furthermore,
the single-phase market, which is nearly
identical to three-phase equipment, will
not begin to use SEER2 and HSPF2 until
2023. Single-phase and three-phase
models generally are manufactured on
the same production lines and are
physically identical to their
corresponding single-phase central air
conditioner and central air conditioning
heat pump models except the former
have three-phase electrical systems and
use components, primarily motors and
compressors, that are designed for threephase power input. 86 FR 70316, 70322
(Dec. 9, 2021). The amended levels for
three-phase, less than 65,000 Btu/h
ACUACs and ACUHPs in ASHRAE
90.1–2019 are the same efficiency levels
that will be required for single-phase air
conditioners and heat pumps in 2023
(See 10 CFR 430.32(c)(5)). Given that the
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amended levels for three-phase, less
than 65,000 Btu/h ACUACs and
ACUHPs and for three-phase, less than
65,000 Btu/h VRF, or those for singlephase air conditioners and heat pumps,
will not be effective until January 1,
2023 at the earliest, manufacturers have
not yet made representations using the
updated metrics. 85 FR 60642, 60674
(Sept. 25, 2020). As a result, there are
currently no public databases with
ratings in terms of the updated metrics.
EPCA states that in order for DOE to
adopt a standard more stringent than an
amended ASHRAE 90.1 standard, DOE
must support its decision with clear and
convincing evidence. In the September
2020 NODA/RFI, DOE tentatively
determined that the lack of market data
for the amended efficiency metric
creates substantial doubt in any analysis
of energy savings that would result from
efficiency levels more stringent than
those in ASHRAE 90.1–2019 given the
2023 compliance date. 85 FR 60642,
60674 (Sept. 25, 2020) Therefore, DOE
did not conduct any analysis of energy
savings from more stringent standards
for the two triggered classes of threephase, split-system, less than 65,000
Btu/h ACUACs and ACUHPs. DOE
requested data and information that
would enable it to determine whether
more stringent standards would result
in significant energy savings for the two
triggered equipment classes in the
September 2020 NODA/RFI. Id..
In response to the September 2020
NODA/RFI, AHRI and Rheem
commented in support of generally
adopting the amended ASHRAE 90.1–
2019 standard levels for all classes of
three-phase, less than 65,000 Btu/h
ACUACs and ACUHPs as the national
standards (AHRI, No. 2 at p. 1; Rheem,
No. 4 at p. 1) However, AHRI stated that
it did not have any data that it could
provide to DOE to develop more
stringent efficiency levels and
supported harmonization with the
ASHRAE 90.1–2019 levels. (AHRI, No. 2
at p. 6)
Similarly, Carrier commented that it
had no data that would suggest that
efficiency levels more stringent than
ASHRAE 90.1–2019 would result in
additional energy savings for classes
where DOE is triggered. (Carrier, No. 3
at p. 3)
Conversely, Joint Advocates and CA
IOUs encouraged DOE to evaluate morestringent standards than the ASHRAE
90.1–2019 levels and said that they
disagreed with DOE’s preliminary
conclusion in the September 2020
NODA/RFI that the test metric change
created uncertainty that would prevent
an adequate evaluation of more
stringent standards. (Joint Advocates,
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No. 6 at pp. 2, 3–4; CA IOUs, No. 5 at
p. 2) These commenters asserted that
only when economic analyses are
complete can the determination be
made as to whether the statutory ‘‘clear
and convincing evidence’’ requirement
has been met. Id. Further, CA IOUs
encouraged DOE to evaluate on a caseby-case basis whether the standard of
‘‘clear and convincing evidence’’ of
energy savings has been met for
increasing stringency of standards when
there is a metric change. (CA IOUs, No
5 at 2) CA IOUs presented the concern
that if DOE were to generalize the
position taken in the September 2020
NODA/RFI to other product categories,
some members of the ASHRAE 90.1
committee will be less likely to support
updates to the test procedure if they
believe that DOE will use the update as
a reason to decline to conduct further
analysis. (Id.)
CA IOUs requested that DOE
complete an analysis using information
from the Compliance and Certification
Management System (‘‘CCMS’’)
database, noting that the maximum
SEER rating in the database has
increased since the previous final rule
(Id. at pp. 2–3) CA IOUs also noted that
DOE successfully used a crosswalk to
compare SEER and SEER2 as well as
HSPF and HSPF2 metrics for singlephase products in the January 2017
CAC/HP ECS DFR. (Id. at p. 3)
Likewise, the Joint Advocates stated
that it is not unprecedented for DOE to
adopt amended standards at levels
higher than the ASHRAE Standard 90.1
levels based on a revised metric,
referencing a prior standards
rulemaking for ACUACs in which DOE
adopted integrated energy efficiency
ratio (‘‘IEER’’) standards at levels that
were more stringent than the
corresponding ASHRAE 90.1 levels in a
2016 direct final rule (81 FR 2420 (Jan.
15, 2016)). (Joint Advocates, No. 6 at p.
4)
In response to the comments from
Joint Advocates and CA IOUs, DOE
notes that it makes determinations
pursuant to the ASHRAE trigger (and
the six-year look back review) by
evaluating the information and data
available specific to the equipment
under review. In this NOPR, DOE is not
making a general determination on
whether the clear and convincing
threshold can be met in instances in
which there is a metric change. The
preliminary position taken in the
September 2020 NODA/RFI and in this
NOPR on whether the clear and
convincing evidence requirement for
showing that more stringent standards
would result in significant additional
energy savings is specific to three-phase,
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less than 65,000 Btu/h ACUACs and
ACUHPs. As suggested by CA IOUs,
DOE makes this determination on a
case-by-case basis. As to the concern
that the preliminary determination put
forward in this NOPR may cause some
members of the ASHRAE Standard 90.1
committee to be less likely to support
updates to industry test procedures,
DOE notes that EPCA requires DOE to
review periodically the test procedures
for covered equipment and make
amendments to the extent justified. (42
U.S.C. 6314(a)(1))
As discussed in the September 2020
NODA/RFI, an estimation of energy
savings potentials of energy efficiency
levels more stringent than the amended
ASHRAE 90.1 levels would require
developing efficiency data for the entire
three-phase, less than 65,000 Btu/h
ACUACs and ACUHPs market in terms
of the SEER2 and HSPF2 metrics. 85 FR
60642, 60674 (Sept 25, 2020). Because
there are minimal market efficiency data
currently available in terms of SEER2
and HSPF2, this would require a
crosswalk analysis much broader than
the analysis used to evaluate ASHRAE
90.1–2019 levels. Id. The crosswalk
analysis of ASHRAE 90.1–2019 levels
presented in this NOPR required only
that DOE translate the efficiency levels
between the metrics at the baseline
levels, and not that DOE translate all
efficiency levels currently represented
in the market (i.e., high efficiency
levels). To obtain SEER2 and HSPF2
market data for purposes of analysis of
standard levels more stringent than
ASHRAE 90.1–2019, DOE would be
required to translate the individual
SEER and HSPF ratings to SEER2 and
HSPF2 ratings for all three-phase, splitsystem, less than 65,000 Btu/h ACUACs
and ACUHPs models certified in DOE’s
CCMS Database. As noted in the
September 2020 NODA/RFI, there is the
added issue of the new metrics not
being applicable until 2023, which
compounds the problem of a lack of
market data. Id. The change in metrics
and the future compliance date create
uncertainty in the development of more
stringent efficiency levels as well as the
market distribution by efficiency. Id.
Because of the lack of market data and
the test metric change, DOE has
tentatively determined that it lacks clear
and convincing evidence that a more
stringent standard level would result in
significant additional conservation of
energy and is technologically feasible
and economically justified. Therefore,
DOE has tentatively decided not to
conduct further analysis for this
particular rulemaking because DOE
lacks the data necessary to assess
potential energy conservation. Although
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DOE has not conducted an analysis of
manufacturer impacts resulting from
more stringent standards, DOE would
expect that standards for three-phase
equipment more stringent than the
ASHRAE 90.1–2019 levels could impose
burden to manufacturers by potentially
requiring them to develop and
manufacture new models of three-phase
equipment that are not otherwise
identical to models of single-phase
products for sale.
In this specific instance, DOE
disagrees with comments from CA IOUs
and Joint Advocates that the statutory
clear and convincing evidence criterion
can only be assessed after full economic
analyses have been conducted. EPCA
requires that DOE determine, supported
by clear and convincing evidence, that
adoption of a uniform national standard
more stringent than the amended
ASHRAE 90.1 for three-phase, splitsystem, less than 65,000 Btu/h ACUACs
and ACUHPs would result in significant
additional conservation of energy and is
technologically feasible and
economically justified. (42 U.S.C.
6313(a)(6)(A)(ii)(II); emphasis added)
The inability to make a determination,
supported by clear and convincing
evidence, with regard to any one of the
statutory criteria prohibits DOE from
adopting more stringent standards
regardless of determinations as to the
other criteria. As a result, DOE has
tentatively determined that at this time
there is insufficient data specific to
three-phase, split-system, less than
65,000 Btu/h ACUACs and ACUHPs
(including but not limited to market
efficiency data in terms of the new
efficiency metric) to provide clear and
convincing evidence of significant
additional energy savings from threephase, split-system, less than 65,000
Btu/h ACUACs and ACUHPs efficiency
levels more stringent than ASHRAE
90.1–2019 levels.
The CA IOUs cited as precedent the
crosswalk in the January 2017 CAC/HP
ECS DFR, but that crosswalk was not
analogous to the present NOPR for
three-phase, less than 65,000 Btu/h
ACUACs and ACUHPs. Specifically, for
single-phase CACs and HPs, DOE
conducted its analysis in terms of the
metrics at the time, SEER and HSPF.
After selecting amended efficiency
levels, DOE then crosswalked the
selected levels to SEER2 and HSPF2
using a methodology consistent with the
recommendations of the CAC/HP
Working Group. 82 FR 1786, 1849 (Jan.
6, 2017). DOE did not crosswalk the
entire market for single-phase CACs and
HPs—the crosswalk addressed only
single-phase CAC and HPs with rated
efficiency at the selected levels. Because
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ASHRAE 90.1–2019 included efficiency
levels for three-phase, less than 65,000
Btu/h ACUACs and ACUHPs based on
SEER2 and HSPF2, DOE is unable to
conduct an analysis based on SEER and
HSPF metrics as it did for single-phase
CACs and HPs.
Likewise, the past ACUAC
rulemaking cited by the Joint Advocates
as precedent was not analogous to the
present situation for three-phase, splitsystem, less than 65,000 Btu/h ACUACs
and ACUHPs, because at the time that
ACUAC rulemaking began, the IEER
metric was already in use by the
ACUAC industry. See 81 FR 2419, 2441
(Jan. 15, 2014).6 Specifically, the vast
majority of ACUAC models on the
market were already rated for IEER (in
addition to Energy Efficiency Ratio
(EER), which was the federally regulated
metric at the time), and these IEER
market data for ACUACs were available
in the AHRI Directory at the time.7
In contrast, during the development of
this NOPR, there was no available
SEER2 and HSPF2 market data.
Specifically, the CCMS database and the
AHRI directory do not currently rate any
units with SEER2 or HSPF2 as the
compliance date for these metrics is not
until 2023.
After considering the stakeholder
comments and the lack of sufficient
SEER2 and HSPF2 market data available
following the September 2020 NODA/
RFI, DOE maintains its preliminary
decision not to conduct additional
analysis of more stringent standards for
this rulemaking. The lack of market and
performance data in terms of the new
metric limits the analysis of energy
savings that would result from
efficiency levels more stringent than the
amended ASHRAE 90.1–2019 levels for
this equipment. Given the limits of any
energy use analysis resulting from this
lack of data, DOE has tentatively
concluded that it lacks clear and
convincing evidence that more stringent
standards would result in a significant
additional amount of energy savings as
required for DOE to establish morestringent standards.
6 DOE noted that AHRI Standard 340/360–2007
already included methods and procedures for
testing and rating equipment with the IEER metric.
ASHRAE, through its Standard 90.1, includes
requirements based on the part-load performance
metric, IEER. These IEER requirements were first
established in Addenda to the 2008 Supplement to
Standard 90.1–2007, and were required for
compliance with ASHRAE Standard 90.1 on
January 1, 2010. 81 FR 2419, 2441 (Jan. 15, 2014).
7 As part of a NODA/RFI for energy conservation
standards for ACUACs published on February 1,
2013 (78 FR 7296), DOE made available a document
that provides the methodology and results of an
investigation of EER and IEER market data for
ACUACs. See Docket No. EERE–2013–BT–STD–
0007–0001.
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18303
As a result, DOE has tentatively
determined that, due to the lack of
market and performance data for the
market as a whole in terms of SEER2
and HSPF2, it is unable to estimate
potential energy savings from more
stringent standards that meets the clear
and convincing evidence threshold
required by statute to justify standards
more stringent than the amended
ASHRAE 90.1 efficiency levels for threephase, split-system, less than 65,000
Btu/h ACUACs and ACUHPs.
B. Review Under Six Year Lookback
As discussed, DOE is required to
conduct an evaluation of each class of
covered equipment in ASHRAE
Standard 90.1 every six years. (42 U.S.C.
6313(a)(6)(C)(i)) Accordingly, in this
document, DOE is evaluating also the
three-phase, less than 65,000 Btu/h
equipment for which ASHRAE 90.1–
2019 did not increase the stringency of
the standards: (1) Three-phase, single
package, less than 65,000 Btu/h
ACUACs and ACUHPs; (2) S–C, threephase, less than 65,000 Btu/h ACUACs
and ACUHPs; (3) SDHV, three-phase,
less than 65,000 Btu/h ACUACs and
ACUHPs; and (4) three-phase, less than
65,000 Btu/h VRF.
As discussed in section III of this
NOPR, DOE has tentatively concluded
that there are no models on the market
in the equipment classes of: (1) S–C,
three-phase, less than 65,000 Btu/h
ACUACs and ACUHPs; (2) SDHV, threephase, less than 65,000 Btu/h ACUACs
and ACUHPs; and (3) three-phase, less
than 65,000 Btu/h VRF. Therefore, there
would be no potential energy savings
associated with more stringent
standards for these classes, and DOE did
not conduct further analyses of more
stringent standards for these classes.
For three-phase, single package, less
than 65,000 Btu/h ACUACs and
ACUHPs, similar to the triggered classes
discussed in section V.A of this
document (i.e., three-phase, splitsystem, less than 65,000 Btu/h ACUACs
and ACUHPs), there are limited SEER2
and HSPF2 data for models of varying
efficiencies, and there is not a
comparable industry analysis (i.e.,
translating ratings to the updated metric
for these models on the market) for
comparison. The market-wide analysis
necessary to evaluate whether amended
standards would result in significant
energy savings and be technologically
feasible and economically justified
under the clear and convincing
threshold would require more than
baseline data.
Therefore, in line with the same
initial reasoning presented in DOE’s
evaluation of more stringent standards
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for those classes of three-phase, less
than 65,000 Btu/h ACUACs and
ACUHPs for which ASHRAE updated
the industry standards (i.e., split
systems), DOE tentatively determines
that the ‘‘clear and convincing’’
threshold is not met for three-phase,
single-package, less than 65,000 Btu/h
ACUACs and ACUHPs. As such, DOE
did not conduct an energy savings
analysis of standard levels more
stringent than the current Federal
standard levels for three-phase, single
package, less than 65,000 Btu/h
ACUACs and ACUHPs not triggered by
ASHRAE 90.1–2019.
1. Proposed Addendum to ASHRAE
90.1–2019
On November 8, 2021, ASHRAE
published the First Public Review Draft
of Addendum ‘ay’ to ASHRAE 90.1–
2019 (‘‘the first public review draft’’).
The first public review draft proposes to
update the efficiency metrics for threephase, less than 65,000 Btu/h VRF to be
in terms of SEER2 and HSPF2 starting
January 1, 2023. The first public review
draft also proposes to update the test
procedure for three-phase, less than
65,000 Btu/h VRF to specify AHRI
1230–2014 with addendum 1 prior to
Jan 1, 2023, and then AHRI 210/240–
2023 starting Jan 1, 2023.
While the proposed Addendum ay to
ASHRAE 90.1–2019 includes SEER2
and HSPF2 levels for three-phase, less
than 65,000 Btu/h VRF, those levels are
not yet formally incorporated into an
approved version of ASHRAE 90.1. As
a result, DOE is not triggered by the
EPCA requirement to consider adopting
amended standards at the new ASHRAE
efficiency level. (42 U.S.C.
6313(a)(6)(A)(ii)) Because there are no
models of three-phase, less than 65,000
Btu/h VRF currently on the market, DOE
tentatively finds that there would be no
potential energy savings associated with
adopting the levels in the first public
review draft, and thus no energy savings
analysis would be required. Therefore, if
ASHRAE finalizes a future version of
ASHRAE 90.1 that (1) publishes prior to
DOE publishing a final rule for amended
energy conservation standards for threephase, less than 65,000 Btu/h VRF and
(2) includes SEER2/HSPF2 levels for
three-phase, less than 65,000 Btu/h VRF
that are more stringent than the existing
federal standards, DOE proposes that it
would adopt those levels in a final rule.
Issue 2: DOE requests comment on its
proposal to adopt the more stringent
SEER2/HSPF2 efficiency levels for
three-phase, less than 65,000 Btu/h VRF
in the first public review draft of
Addendum ‘ay’ to ASHRAE 90.1–2019,
should such levels be incorporated into
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an updated version of ASHRAE
Standard 90.1 that publishes prior to
DOE publishing a final rule for amended
energy conservation standards for threephase, less than 65,000 Btu/h VRF.
C. Definitions for Space-Constrained
and Small-Duct, High-Velocity
Equipment
ASHRAE 90.1–2019 includes S–C and
SDHV equipment classes for threephase, less than 65,000 Btu/h ACUACs
and ACUHPs. Because DOE is proposing
to adopt separate standards for S–C,
split-system, and single-package
ACUACs and ACUHPs and SDHV
ACUACs and ACUHPs, DOE is
proposing the following definitions for
‘‘small-duct, high-velocity commercial
package air conditioning and heating
equipment’’ and ‘‘space-constrained
commercial package and heating
equipment’’ at 10 CFR 431.92. These
two definitions align with the
definitions specified in 10 CFR 430.2 for
single-phase CACs and HPs, which, as
discussed in section V.A, are identical
to three-phase products except for the
power input.
• Small-duct, High-velocity
Commercial Package Air Conditioning
and Heating Equipment means a basic
model of commercial package, splitsystem air conditioning and heating
equipment that: has a rated cooling
capacity no greater than 65,000 Btu/h; is
air-cooled; and is paired with an indoor
unit that (1) includes an indoor blower
housed with the coil; (2) is designed for,
and produces, at least 1.2 inches of
external static pressure when operated
at the certified air volume rate of 220–
350 CFM per rated ton cooling in the
highest default cooling airflow-controls
setting; and (3) when applied in the
field, uses high velocity room outlets
generally greater than 1,000 fpm that
have less than 6.0 square inches of free
area.
• Space-constrained Commercial
Package Air Conditioning and Heating
Equipment means a basic model of
commercial package air conditioning
and heating equipment (packaged or
split) that: (1) Is air-cooled; (2) has a
rated cooling capacity no greater than
30,000 Btu/h; (3) has an outdoor or
indoor unit having at least two overall
exterior dimensions or an overall
displacement that: (i) Is substantially
smaller than those of other units that
are: (A) Currently usually installed in
site-built single-family homes; and (B)
of a similar cooling, and, if a heat pump,
heating capacity; and (ii) if increased,
would certainly result in a considerable
increase in the usual cost of installation
or would certainly result in a significant
loss in the utility of the product to the
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consumer; and (3) of a product type that
was available for purchase in the United
States as of December 1, 2000.
D. Proposed Energy Conservation
Standards
1. Standard Levels
In this proposed rule, DOE is
proposing amended energy conservation
standards for three-phase, less than
65,000 Btu/h ACUACs and ACUHPs and
for three-phase, less than 65,000 Btu/h
VRF. The proposed amended energy
conservation standards are in terms of
SEER2 and HSPF2, which would align
with the efficiency metrics specified in
ASHRAE 90.1–2019 for three-phase, less
than 65,000 Btu/h ACUACs and
ACUHPs 8 and with the updated
industry test procedure AHRI 210/240–
2023.
DOE is proposing amended energy
conservation standards in terms of
SEER2 and HSPF2 that generally align
with the standard levels in ASHRAE
90.1–2019 for three-phase equipment
with some exceptions. For three-phase,
split-system, less than 65,000 Btu/h
ACUACs and ACUHPs, DOE is
proposing standards that align with the
more stringent levels in ASHRAE 90.1–
2019. For three-phase, single-package,
less than 65,000 Btu/h ACUACs and
ACUHPs, DOE is proposing standards
that align with the levels in ASHRAE
90.1–2019, which maintain equivalent
stringency to the current Federal
standards. For S–C split-system and
single-package ACUACs and ACUHPs,
SDHV ACUACs and ACUHPs, and for
three-phase, less than 65,000 Btu/h
VRF, DOE is proposing standards that
differ from the values specified in
ASHRAE 90.1–2019. These standards
are equivalent stringency to the current
Federal standards but are translated to
the new metrics SEER2 and HSPF2. The
proposed standards are presented in
Table I.1 and Table I.2 of this document.
2. Compliance Date
In the September 2020 NODA/RFI,
DOE discussed the potential compliance
dates for amended standards for three8 While ASHRAE 90.1–2019 does not specify
updated standards in terms of SEER2 and HSPF2
for three-phase, less than 65,000 Btu/h VRF, the
proposed levels for three-phase, less than 65,000
Btu/h VRF are consistent with the updated industry
test procedure for this equipment. Specifically, as
discussed in section III.B.3 of this document, the
updated industry test procedure applicable to threephase, less than 65,000 Btu/h VRF is AHRI 210/
240–2023, which measures performance in terms of
the SEER2 and HSPF2 metrics. Further, as
discussed in section V.B.1 of this document,
industry has shown intent to adopt efficiency levels
in terms of SEER2 and HSPF2 for this equipment
in ASHRAE Standard 90.1 in the first public review
draft of Addendum ay to ASHRAE 90.1–2019.
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phase, less than 65,000 Btu/h ACUACs
and ACUHPs. 85 FR 60642, 60671 (Sept.
25, 2020). In that September 2020
NODA/RFI, DOE determined that for the
two equipment classes where DOE was
triggered by an increase in stringency in
ASHRAE 90.1–2019 (three-phase, splitsystem, less than 65,000 Btu/h ACUACs
and ACUHPs) the earliest compliance
date for amended Federal standards
would be two years after the ASHRAE
90.1–2019 compliance date (January 1,
2023), resulting in a compliance date of
January 1, 2025. Id. DOE also discussed
that EPCA specifies similar
considerations on compliance date if
DOE were to adopt amended standards
more stringent than the ASHRAE 90.1
levels 9 for the two equipment classes
for which DOE is evaluating standards
under its 6-year lookback authority
(three-phase, single-package, less than
65,000 Btu/h ACUACs and ACUHPs).
Id. Ultimately, DOE determined that it
did not have clear and convincing
evidence to justify adopting standards
more stringent than the ASHRAE 90.1–
2019 levels, and, therefore, the threeyear and/or six-year delay period would
not apply. DOE presented an
approximate compliance date of January
1, 2025 for all four equipment classes of
three-phase, less than 65,000 Btu/h
ACUACs and ACUHPs. Id.
In response to the September 2020
NODA/RFI, Rheem agreed that the
compliance date for amended Federal
standards should be January 1, 2025 for
three-phase, less than 65,000 Btu/h
ACUACs and ACUHPs, based on the
statutory provision by EPCA for a sixyear lookback to amend uniform
national standards. (Rheem, No. 4 at p.
1) Carrier, Goodman, and Trane
requested that DOE align the
compliance date of amended standards
in terms of SEER2 and HSPF2 for threephase equipment with the
corresponding compliance date for
single-phase products of January 1,
2023, arguing that discrepancy in
compliance dates between single-phase
products and three-phase equipment
would be undesirable and confusing for
consumers and manufacturers. (Carrier,
No. 3 at p. 2; Goodman, No. 7 at p. 2;
Trane, No. 8 at p. 2)
In response to the comments from
Carrier, Goodman, and Trane, DOE
notes that while there may be benefits
to aligning the compliance dates for
SEER2 and HSPF2 standards between
single-phase products and three-phase
9 EPCA states that any such standard shall apply
to equipment manufactured after a date that is the
latter of the date three years after publication of the
final rule establishing such standard or six years
after the effective date for the current standard (42
U.S.C. 6313(a)(6)(C)(iv).
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equipment, DOE cannot prescribe a
compliance date for amended standards
that would violate its obligations under
EPCA. As discussed, EPCA requires that
DOE specify a compliance date no
earlier than 2 years after the compliance
date specified in ASHRAE Standard
90.1 for triggered classes of three-phase,
less than 65,000 Btu/h ACUACs and
ACUHPs. As a result, to provide a
consistent compliance date for
standards in terms of SEER2 and HSPF2
for all three-phase, less than 65,000 Btu/
h equipment, DOE proposes that the
amended standards proposed in this
NOPR would apply for all three-phase,
less than 65,000 Btu/h equipment that is
manufactured on or after January 1,
2025.
VI. Procedural Issues and Regulatory
Review
A. Review Under Executive Orders
12866 and 13563
Executive Order (‘‘E.O.’’) 12866,
‘‘Regulatory Planning and Review,’’ as
supplemented and reaffirmed by E.O.
13563, ‘‘Improving Regulation and
Regulatory Review, 76 FR 3821 (Jan. 21,
2011), requires agencies, to the extent
permitted by law, to (1) propose or
adopt a regulation only upon a reasoned
determination that its benefits justify its
costs (recognizing that some benefits
and costs are difficult to quantify); (2)
tailor regulations to impose the least
burden on society, consistent with
obtaining regulatory objectives, taking
into account, among other things, and to
the extent practicable, the costs of
cumulative regulations; (3) select, in
choosing among alternative regulatory
approaches, those approaches that
maximize net benefits (including
potential economic, environmental,
public health and safety, and other
advantages; distributive impacts; and
equity); (4) to the extent feasible, specify
performance objectives, rather than
specifying the behavior or manner of
compliance that regulated entities must
adopt; and (5) identify and assess
available alternatives to direct
regulation, including providing
economic incentives to encourage the
desired behavior, such as user fees or
marketable permits, or providing
information upon which choices can be
made by the public. DOE emphasizes as
well that E.O. 13563 requires agencies to
use the best available techniques to
quantify anticipated present and future
benefits and costs as accurately as
possible. In its guidance, the Office of
Information and Regulatory Affairs
(‘‘OIRA’’) in the Office of Management
and Budget (‘‘OMB’’) has emphasized
that such techniques may include
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18305
identifying changing future compliance
costs that might result from
technological innovation or anticipated
behavioral changes. For the reasons
stated in the preamble, this proposed
regulatory action is consistent with
these principles.
Section 6(a) of E.O. 12866 also
requires agencies to submit ‘‘significant
regulatory actions’’ to OIRA for review.
OIRA has determined that this proposed
regulatory action does not constitute a
‘‘significant regulatory action’’ under
section 3(f) of E.O. 12866. Accordingly,
this action was not submitted to OIRA
for review under E.O. 12866.
B. Review Under the Regulatory
Flexibility Act
The Regulatory Flexibility Act (5
U.S.C. 601 et seq.) requires preparation
of 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: www.energy.gov/gc/
office-general-counsel. DOE reviewed
this proposed rule under the provisions
of the Regulatory Flexibility Act and the
procedures and policies published on
February 19, 2003.
The following sections detail DOE’s
IRFA for this energy conservation
standards proposed rulemaking.
1. Description of Reasons Why Action Is
Being Considered
DOE is proposing to amend the
existing DOE energy conservation
standards for three-phase, less than
65,000 Btu/h ACUACs and ACUHPs and
three-phase, less than 65,000 Btu/h
VRF. EPCA requires DOE to consider
amending the existing Federal energy
conservation standard for certain types
of listed commercial and industrial
equipment (generally, commercial water
heaters, commercial packaged boilers,
commercial air conditioning and
heating equipment, and packaged
terminal air conditioners and heat
pumps) each time ASHRAE Standard
90.1 is amended with respect to such
equipment. (42 U.S.C. 6313(a)(6)(A)) For
each type of equipment, EPCA directs
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that if ASHRAE Standard 90.1 is
amended, DOE must adopt amended
energy conservation standards at the
new efficiency level in ASHRAE
Standard 90.1, unless clear and
convincing evidence supports a
determination that adoption of a more
stringent efficiency level as a national
standard would produce significant
additional energy savings and be
technologically feasible and
economically justified. (42 U.S.C.
6313(a)(6)(A)(ii)) This is referred to as
‘‘the ASHRAE trigger.’’ DOE must also
review and determine whether to amend
standards of each class of covered
equipment in ASHRAE Standard 90.1
every 6 years. (42 U.S.C.
6313(a)(6)(C)(i)).
2. Objectives of, and Legal Basis for,
Rule
EPCA requires DOE to consider
amending the existing Federal energy
conservation standard each time
ASHRAE Standard 90.1 is amended
with respect to such equipment. (42
U.S.C. 6313(a)(6)(A)) ASHRAE officially
released ASHRAE 90.1–2019 on October
25, 2019, thereby triggering DOE’s
previously referenced obligations to
determine, for certain classes of threephase, less than 65,000 Btu/h ACUAC,
ACUHP, and VRF systems, whether: (1)
The amended industry standard levels
should be adopted; or (2) clear and
convincing evidence exists to justify
more-stringent standard levels. For any
class where DOE was not triggered, the
Department routinely considers those
classes under EPCA’s 6-year-lookback
provision at the same time, to address
the subject equipment in a
comprehensive fashion.
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3. Description on Estimated Number of
Small Entities Regulated
For manufacturers of three-phase, less
than 65,000 Btu/h ACUACs and
ACUHPs and three-phase, less than
65,000 Btu/h VRF, the Small Business
Administration (‘‘SBA’’) has set a size
threshold. DOE used the SBA’s small
business size standards to determine
whether any small entities would be
subject to the requirements of the
proposed rule. See 13 CFR part 121. The
equipment covered by this proposed
rule is classified under North American
Industry Classification System
(‘‘NAICS’’) code 333415,10 ‘‘AirConditioning and Warm Air Heating
Equipment and Commercial and
Industrial Refrigeration Equipment
10 The size standards are listed by NAICS code
and industry description and are available at:
www.sba.gov/document/support--table-sizestandards (Last accessed on February 24, 2022).
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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 reviewed the energy
conservation standards proposed in this
NOPR under the provisions of the
Regulatory Flexibility Act and the
procedures and policies published on
February 19, 2003. DOE relied on the
Compliance Certification Database 11 in
identifying manufacturers. For threephase, less than 65,000 Btu/h ACUACs
and ACUHPs, DOE identified 17
original equipment manufacturers
(‘‘OEM’’). Of those 17 OEMs, DOE
screened out companies that do not
meet the definition of a ‘‘small
business’’ or are foreign-owned and
operated. DOE used subscription-based
business information tools to determine
headcount and revenue of the small
businesses. DOE identified 4 small,
domestic OEMs for consideration. DOE
did not identify any manufacturers of
three-phase, less than 65,000 Btu/h
VRF.
Issue 3: DOE seeks comment on the
number of small manufacturers
producing three-phase, less than 65,000
Btu/h ACUACs and ACUHPs and threephase, less than 65,000 Btu/h VRF.
4. Description and Estimate of
Compliance Requirements Including
Differences in Cost, if Any, for Different
Groups of Small Entities
In this NOPR, DOE proposes to:
• Adopt amended energy
conservations standards for three-phase,
less than 65,000 Btu/h ACUACs and
ACUHPs corresponding to the minimum
efficiency levels in ASHRAE 90.1–2019.
The levels are in terms of new metrics
seasonal energy efficiency ratio-2
(SEER2) and heating seasonal
performance factor-2 (HSPF2);
• Separate energy conservation
standards for three-phase, less than
65,000 Btu/h ACUAC and ACUHP
further into: (1) Three-phase, S–C,
commercial split-system air
conditioners (‘‘S–C ACUACs’’); (2)
three-phase, S–C, commercial splitsystem heat pumps (‘‘S–C ACUHPs’’);
(3) S–C single-package ACUACs; (4) S–
C single-package ACUHPs; (5) threephase, SDHV commercial air
conditioners (‘‘SDHV ACUACs’’); and
(6) three-phase, SDHV commercial heat
pumps (‘‘SDHV ACUHPs’’). These
additional equipment classes are
included in ASHRAE 90.1–2019 for
three-phase, less than 65,000 Btu/h
ACUACs and ACUHPs; and
11 DOE’s Compliance Certification Database is
available at: www.regulations.doe.gov/ccms.
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• Adopt amended energy
conservation standards for three-phase,
less than 65,000 Btu/h VRF. Because the
levels for this equipment were not
updated in ASHRAE 90.1–2019, the
proposed standards are translated from
the existing Federal regulatory metrics
(SEER and HSPF) to the updated metrics
(SEER2 and HSPF2)—as measured per
the updated industry test procedure
AHRI 210/240–2023.
For S–C ACUACs and ACUHPs and
SDHV ACUACs and ACUHPs, the
current applicable Federal standards are
more stringent than the ASHRAE 90.1–
2019 levels. To avoid backsliding (as
required by EPCA), DOE cannot adopt
the ASHRAE 90.1–2019 levels for these
classes and is therefore proposing
standards for S–C ACUACs and
ACUHPs and SDHV ACUACs and
ACUHPs equipment in terms of SEER2
and HSPF2 that maintain equivalent
stringency to the applicable current
Federal standards (in terms of SEER and
HSPF). Of note, DOE has tentatively
concluded that there are no models of
S–C ACUACs and ACUHPs and SDHV
ACUACs and ACUHPs on the market.
For three-phase, single-package, less
than 65,000 Btu/h ACUACs and
ACUHPs as well as three-phase, less
than 65,000 Btu/h VRF, the ASHRAE
90.1–2019 levels are of equivalent
stringency to the current Federal
standards. Therefore, DOE’s proposal to
adopt standards in terms of the new
metrics SEER2 and HSPF2 that are
crosswalked from the current Federal
standards would not increase the
stringency of standards.
ASHRAE 90.1–2019 includes
minimum efficiency levels for threephase, split-system, less than 65,000
Btu/h ACUACs and ACUHPs that are
more stringent than the current Federal
standards. DOE must adopt amended
standards at the amended ASHRAE
efficiency levels unless DOE
determines, supported by clear and
convincing evidence, that adoption of a
more stringent standard would produce
significant additional conservation of
energy and would be technologically
feasible and economically justified. (42
U.S.C. 6313(a)(6)(A)(ii). Because DOE
proposes no such determination, this
NOPR proposes to adopt amended
standards at the amended ASHRAE
efficiency levels for three-phase, splitsystem, less than 65,000 Btu/h ACUACs
and ACUHPs.
In estimating the impact to small
manufacturers, DOE recognizes that
manufacturers may incur conversion
costs as a result of the proposed
standards for three-phase, split-system,
less than 65,000 Btu/h ACUACs and
ACUHPs. In reviewing all commercially
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available models of three-phase, splitsystem. less than 65,000 Btu/h ACUACs
and ACUHPs in DOE’s Compliance
Certification Database, the 4 small
manufacturers account for 30 percent of
model offerings. For each of the 4 small
manufacturers, approximately 58
percent of the companies’ current
models would meet the proposed levels.
For the current models that do not meet
the proposed levels, the small
manufacturers would need to either
discontinue or redesign non-compliant
models. However, adoption of standards
at least as stringent as the ASHRAE
levels is required under EPCA;
furthermore, adopting standards above
ASHRAE levels (DOE’s only other
option under 42 U.S.C. 6313(a)(6)(A)(ii))
would lead to an even greater portion of
small manufacturer models requiring
redesign. Therefore, DOE has tentatively
determined that the proposed efficiency
level provides the least cost option for
small manufacturers.
Issue 4: DOE requests comment on its
understanding of the current market
accounted for by small manufacturers.
DOE also requests comment on its
understanding of the efficiency of the
equipment offered by such
manufacturers.
5. Duplication, Overlap, and Conflict
With Other Rules and Regulations
DOE is not aware of any rules or
regulations that duplicate, overlap, or
conflict with this rule.
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6. Significant Alternatives to the Rule
As EPCA requires DOE to either adopt
the ASHRAE levels or to propose higher
standards, DOE is limited in options to
mitigate impacts to small businesses
from the more stringent ASHRAE
Standard 90.1 levels. DOE’s proposal to
adopt the more stringent levels in
ASHRAE 90.1–2019 for three-phase,
split-system, less than 65,000 Btu/h
ACUACs and ACUHPs is the least cost
option to industry.
Manufacturers subject to DOE’s
energy efficiency standards may apply
to DOE’s Office of Hearings and Appeals
for exception relief under certain
circumstances. Manufacturers should
refer to 10 CFR part 1003 for additional
details.
C. Review Under the Paperwork
Reduction Act
Manufacturers of three-phase, less
than 65,000 Btu/h ACUACs and
ACUHPs and three-phase, less than
65,000 Btu/h VRF must certify to DOE
that their products comply with any
applicable energy conservation
standards. In certifying compliance,
manufacturers must test their products
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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 three-phase, less than 65,000
Btu/h ACUACs and ACUHPs and for
three-phase, less than 65,000 Btu/h
VRF. 76 FR 12422 (Mar. 7, 2011); 80 FR
5099 (Jan. 30, 2015). 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
DOE is analyzing this proposed
regulation in accordance with the
National Environmental Policy Act of
1969 (‘‘NEPA’’) and DOE’s NEPA
implementing regulations (10 CFR part
1021). DOE’s regulations include a
categorical exclusion for rulemakings
that establish energy conservation
standards for consumer products or
industrial equipment. 10 CFR part 1021,
subpart D, appendix B5.1. DOE
anticipates that this rulemaking
qualifies for categorical exclusion
B5.1(b) because it is a proposed
rulemaking that establishes energy
conservation standards for consumer
products or industrial equipment, none
of the exceptions identified in
categorical exclusion B5.1(b) apply, no
extraordinary circumstances exist that
require further environmental analysis,
and it otherwise meets the requirements
for application of a categorical
exclusion. See 10 CFR 1021.410. DOE
will complete its NEPA review before
issuing the final rule.
E. Review Under Executive Order 13132
E.O. 13132, ‘‘Federalism,’’ 64 FR
43255 (Aug. 10, 1999), imposes certain
requirements on Federal agencies
formulating and implementing policies
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18307
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 tentatively 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 equipment
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. 6316(a) and (b); 42
U.S.C. 6297) Therefore, no further
action is required by Executive Order
13132.
F. Review Under Executive Order 12988
With respect to the review of existing
regulations and the promulgation of
new regulations, section 3(a) of E.O.
12988, ‘‘Civil Justice Reform,’’ 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. 61 FR 4729 (Feb. 7, 1996).
Regarding the review required by
section 3(a), section 3(b) of E.O. 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
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3(c) of Executive Order 12988 requires
Executive agencies to review regulations
in light of applicable standards in
section 3(a) and section 3(b) to
determine whether they are met or it is
unreasonable to meet one or more of
them. DOE has completed the required
review and determined that, to the
extent permitted by law, this proposed
rule meets the relevant standards of E.O.
12988.
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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,
section 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 them. On March 18, 1997, DOE
published a statement of policy on its
process for intergovernmental
consultation under UMRA. 62 FR
12820. DOE’s policy statement is also
available at www.energy.gov/sites/prod/
files/gcprod/documents/umra_97.pdf.
This proposed rule does not contain
a Federal intergovernmental mandate,
nor is it expected to require
expenditures of $100 million or more in
any one year by the private sector. As
a result, the analytical requirements of
UMRA 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
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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
Pursuant to E.O. 12630,
‘‘Governmental Actions and Interference
with Constitutionally Protected Property
Rights,’’ 53 FR 8859 (Mar. 15, 1988),
DOE has determined that this proposed
rule would not result in any takings that
might require compensation under the
Fifth Amendment to the U.S.
Constitution.
J. Review Under the 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 Federal agencies to review most
disseminations of information to the
public under information quality
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%20
Guidelines%20Dec%202019.pdf. DOE
has reviewed this NOPR 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
E.O. 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 OIRA at OMB, a Statement of Energy
Effects for any proposed significant
energy action. A ‘‘significant energy
action’’ is defined as any action by an
agency that promulgates 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,
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and of reasonable alternatives to the
action and their expected benefits on
energy supply, distribution, and use.
DOE has tentatively concluded that
this proposed rule, which proposes
amended energy conservation standards
for three-phase, less than 65,000 Btu/h
ACUACs and ACUHPs and three-phase,
less than 65,000 Btu/h VRF, is not a
significant energy action because the
proposed standards are not likely to
have a significant adverse effect on the
supply, distribution, or use of energy,
nor has it been designated as such by
the Administrator at OIRA. Accordingly,
DOE has not prepared a Statement of
Energy Effects on this proposed rule.
L. Information Quality
On December 16, 2004, OMB, in
consultation with the Office of Science
and Technology Policy (‘‘OSTP’’),
issued its Final Information Quality
Bulletin for Peer Review (‘‘the
Bulletin’’). 70 FR 2664 (Jan. 14, 2005).
The Bulletin establishes that certain
scientific information shall be peer
reviewed by qualified specialists before
it is disseminated by the Federal
Government, including influential
scientific information related to agency
regulatory actions. The purpose of the
bulletin is to enhance the quality and
credibility of the Government’s
scientific information. Under the
Bulletin, the energy conservation
standards rulemaking analyses are
‘‘influential scientific information,’’
which the Bulletin defines as ‘‘scientific
information the agency reasonably can
determine will have, or does have, a
clear and substantial impact on
important public policies or private
sector decisions.’’ 70 FR 2664, 2667.
In response to OMB’s Bulletin, DOE
conducted formal peer reviews of the
energy conservation standards
development process and the analyses
that are typically used and has prepared
a report describing that peer review.12
Generation of this report involved a
rigorous, formal, and documented
evaluation using objective criteria and
qualified and independent reviewers to
make a judgment as to the technical/
scientific/business merit, the actual or
anticipated results, and the productivity
and management effectiveness of
programs and/or projects. Because
available data, models, and
technological understanding have
changed since 2007, DOE has engaged
with the National Academy of Sciences
to review DOE’s analytical
12 The 2007 ‘‘Energy Conservation Standards
Rulemaking Peer Review Report’’ is available at:
www.energy.gov/eere/buildings/downloads/energyconservation-standards-rulemaking-peer-reviewreport-0 (last accessed December 10, 2021).
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methodologies to ascertain whether
modifications are needed to improve the
Department’s analyses. DOE is in the
process of evaluating the resulting
report.13
VII. Public Participation
A. Participation in the Webinar
The time and date for the webinar
meeting are listed in the DATES section
at the beginning of this document.
Webinar registration information,
participant instructions, and
information about the capabilities
available to webinar participants will be
published on DOE’s
website:www.energy.gov/eere/buildings/
public-meetings-and-commentdeadlines. Participants are responsible
for ensuring their systems are
compatible with the webinar software.
khammond on DSKJM1Z7X2PROD with PROPOSALS
B. Procedure for Submitting Prepared
General Statements for Distribution
Any person who has an interest in the
topics addressed in this document, 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
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.
C. Conduct of the Webinar
DOE will designate a DOE official to
preside at the webinar and may also use
a professional facilitator to aid
13 The report is available at
www.nationalacademies.org/our-work/review-ofmethods-for-setting-building-and-equipmentperformance-standards.
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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 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 proposed
rulemaking. The official conducting the
webinar will accept additional
comments or questions from those
attending, as time permits. The
presiding official will announce any
further procedural rules or modification
of the above procedures that may be
needed for the proper conduct of the
webinar.
A transcript of the webinar will be
included in the docket, which can be
viewed as described in the Docket
section at the beginning of this
document. In addition, any person may
buy a copy of the transcript from the
transcribing reporter.
D. Submission of Comments
DOE will accept comments, data, and
information regarding this proposed
rule before or after the public meeting,
but no later than the date provided in
the DATES section at the beginning of
this proposed rule. Interested parties
may submit comments, data, and other
information using any of the methods
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18309
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 itself or in any
documents attached to your comment.
Any information that you do not want
to be publicly viewable should not be
included in your comment, nor in any
document attached to your comment.
Otherwise, persons viewing comments
will see only first and last names,
organization names, correspondence
containing comments, and any
documents submitted with the
comments.
Do not submit to www.regulations.gov
information for which disclosure is
restricted by statute, such as trade
secrets and commercial or financial
information (hereinafter referred to as
Confidential Business Information
(‘‘CBI’’)). Comments submitted through
www.regulations.gov cannot be claimed
as CBI. Comments received through the
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
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Federal Register / Vol. 87, No. 61 / Wednesday, March 30, 2022 / Proposed Rules
contact information in a cover letter.
Include your first and last names, email
address, telephone number, and
optional mailing address. The cover
letter will not be publicly viewable as
long as it does not include any
comments.
Include contact information each time
you submit comments, data, documents,
and other information to DOE. No
telefacsimiles (‘‘faxes’’) will be
accepted.
Comments, data, and other
information submitted to DOE
electronically should be provided in
PDF (preferred), Microsoft Word or
Excel, or text (ASCII) file format.
Provide documents that are not secured,
that are written in English, and that are
free of any defects or viruses.
Documents should not contain special
characters or any form of encryption
and, if possible, they should carry the
electronic signature of the author.
Campaign form letters. Please submit
campaign form letters by the originating
organization in batches of between 50 to
500 form letters per PDF or as one form
letter with a list of supporters’ names
compiled into one or more PDFs. This
reduces comment processing and
posting time.
Confidential Business Information.
Pursuant to 10 CFR 1004.11, any person
submitting information that he or she
believes to be confidential and exempt
by law from public disclosure should
submit via email 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).
khammond on DSKJM1Z7X2PROD with PROPOSALS
E. Issues on Which DOE Seeks Comment
Although DOE welcomes comments
on any aspect of this proposal, DOE is
particularly interested in receiving
comments and views of interested
parties concerning the following issues:
Issue 1: DOE requests comment on the
crosswalk methodology described in section
III.B of this document and the crosswalk
results in Table III–1 for three-phase, less
than 65,000 Btu/h ACUACs and ACUHPs and
three-phase, less than 65,000 Btu/h VRF.
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Issue 2: DOE requests comment on its
proposal to adopt the more stringent SEER2/
HSPF2 efficiency levels for three-phase, less
than 65,000 Btu/h VRF in the first public
review draft of Addendum ‘ay’ to ASHRAE
90.1–2019, should such levels be
incorporated into an updated version of
ASHRAE Standard 90.1 that publishes prior
to DOE publishing a final rule for amended
energy conservation standards for threephase, less than 65,000 Btu/h VRF.
Issue 3: DOE seeks comment on the
number of small manufacturers producing
three-phase, less than 65,000 Btu/h ACUACs
and ACUHPs and three-phase, less than
65,000 Btu/h VRF.
Issue 4: DOE requests comment on its
understanding of the current market
accounted for by small manufacturers. DOE
also requests comment on its understanding
of the efficiency of the equipment offered by
such manufacturers.
Additionally, DOE welcomes
comments on other issues relevant to
the conduct of this proposed rulemaking
that may not specifically be identified in
this document.
VIII. Approval of the Office of the
Secretary
The Secretary of Energy has approved
publication of this notice of proposed
rulemaking and request for comment.
List of Subjects in 10 CFR Part 431
Administrative practice and
procedure, Confidential business
information, Energy conservation test
procedures, and Reporting and
recordkeeping requirements.
Signing Authority
This document of the Department of
Energy was signed on March 23, 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 March 23,
2022.
Treena V. Garrett,
Federal Register Liaison Officer, U.S.
Department of Energy.
For the reasons set forth in the
preamble, DOE proposes to amend part
431 of chapter II, subchapter D, of title
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10 of the Code of Federal Regulations,
as set forth below:
PART 431—ENERGY EFFICIENCY
PROGRAM FOR CERTAIN
COMMERCIAL AND INDUSTRIAL
EQUIPMENT
1. The authority citation for part 431
continues to read as follows:
■
Authority: 42 U.S.C 6291–6317; 28 U.S.C
2461 note.
2. Section 431.92 is amended by
adding, in alphabetical order,
definitions for ‘‘Small-duct, Highvelocity Commercial Package Air
Conditioning and Heating Equipment’’
and ‘‘Space-constrained Commercial
Package Air Conditioning and Heating
Equipment’’ to read as follows:
■
§ 431.92 Definitions concerning
commercial air conditioners and heat
pumps.
*
*
*
*
*
Small-duct, High-velocity Commercial
Package Air Conditioning and Heating
Equipment means a basic model of
commercial package, split-system air
conditioning and heating equipment
that:
(1) Has a rated cooling capacity no
greater than 65,000 Btu/h;
(2) Is air-cooled; and
(3) Is paired with an indoor unit that
(i) Includes an indoor blower housed
with the coil;
(ii) Is designed for, and produces, at
least 1.2 inches of external static
pressure when operated at the certified
air volume rate of 220–350 CFM per
rated ton cooling in the highest default
cooling airflow-controls setting; and
(iii) When applied in the field, uses
high velocity room outlets generally
greater than 1,000 fpm that have less
than 6.0 square inches of free area.
Space-constrained Commercial
Package Air Conditioning and Heating
Equipment means a basic model of
commercial package air conditioning
and heating equipment (packaged or
split) that:
(1) Is air-cooled;
(2) Has a rated cooling capacity no
greater than 30,000 Btu/h;
(3) Has an outdoor or indoor unit
having at least two overall exterior
dimensions or an overall displacement
that:
(i) Is substantially smaller than those
of other units that are:
(A) Currently usually installed in sitebuilt single-family homes; and
(B) Of a similar cooling, and, if a heat
pump, heating capacity;
and
(ii) If increased, would certainly result
in a considerable increase in the usual
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cost of installation or would certainly
result in a significant loss in the utility
of the product to the consumer;
and
(4) Of a product type that was
available for purchase in the United
States as of December 1, 2000.
*
*
*
*
*
■ 3. Section 431.97 is amended by:
■ a. Removing the rows of Table 1 to
paragraph (b), under the column
heading, ‘‘Equipment Type’’ for: ‘‘Small
Commercial Package Air Conditioning
and Heating Equipment (Air-Cooled, 3Phase, Split-System)’’ and ‘‘Small
Commercial Package Air Conditioning
and Heating Equipment (Air-Cooled, 3Phase, Single-Package)’’;
■ b. Removing each instance in Table 1
to paragraph (b), ‘‘2’’ and ‘‘3’’ and adding
in their place ‘‘1’’ and ‘‘2’’;
■ c. Removing footnote 1 in Table 1 to
paragraph (b) and redesignating
footnotes ‘‘2’’ and ‘‘3’’ as footnotes ‘‘1’’
and ‘‘2’’, respectively;
■ d. Removing ‘‘June 16, 2008.’’ and
adding in its place ‘‘June 16, 2008.2’’, in
row 13, ‘‘Small Commercial Package
Air-Conditioning and Heating
Equipment (Air-Cooled, 3-Phase, SplitSystem)’’, in Table 3 to paragraph (b)
under the column heading,
‘‘Compliance date: Equipment
manufactured starting on . . .’’;
■ e. Removing ‘‘January 1, 2017.’’ and
adding in its place ‘‘January 1, 2017.2’’,
in row 14, ‘‘Small Commercial Package
Air-Conditioning and Heating
Equipment (Air-Cooled, 3-Phase, SplitSystem)’’, in Table 3 to paragraph (b)
under the column heading,
‘‘Compliance date: Equipment
manufactured starting on . . .’’;
f. Removing ‘‘January 1, 2017.’’ and
adding in its place ‘‘January 1, 2017.2’’,
in row 15, ‘‘Small Commercial Package
Air-Conditioning and Heating
Equipment (Air-Cooled, 3-Phase, SinglePackage)’’, in Table 3 to paragraph (b)
under the column heading,
‘‘Compliance date: Equipment
manufactured starting on . . .’’;
■ g. Removing ‘‘January 1, 2017.’’ and
adding in its place ‘‘January 1, 2017.2’’,
in row 16, ‘‘Small Commercial Package
Air-Conditioning and Heating
Equipment (Air-Cooled, 3-Phase, SinglePackage)’’, in Table 3 to paragraph (b)
under the column heading,
‘‘Compliance date: Equipment
manufactured starting on . . .’’;
■ h. Adding, immediately following
footnote 1 below Table 3 to paragraph
(b), ‘‘2 And manufactured before January
1, 2025. For equipment manufactured
on or after January 1, 2025, see Table 14
to paragraph (g) of this section for
updated efficiency standards.’’;
■ i. Removing ‘‘January 1, 2017.’’ and
adding in its place ‘‘January 1, 2017.3’’,
in row 1, ‘‘Small Commercial Package
Air Conditioning and Heating
Equipment (Air-Cooled, 3-Phase, SplitSystem)’’, in Table 4 to paragraph (b)
under the column heading,
‘‘Compliance date: Equipment
manufactured starting on . . .’’;
■ j. Removing the words ‘‘January 1,
2017.’’ and adding in its place ‘‘January
1, 2017.3’’, in row 2, ‘‘Small Commercial
Package Air Conditioning and Heating
Equipment (Air-Cooled, 3-Phase, Single
Package)’’, in Table 4 to paragraph (b)
under the column heading,
‘‘Compliance date: Equipment
manufactured starting on . . .’’;
■
18311
k. Adding, immediately following
footnote 2 below Table 4 to paragraph
(b), ‘‘3 And manufactured before January
1, 2025. For equipment manufactured
on or after January 1, 2025, see Table 14
to paragraph (g) of this section for
updated efficiency standards.’’;
■ l. Removing ‘‘June 16, 2008.’’ and
adding in its place ‘‘June 16, 2008.2’’, in
rows 1, VRF Multi-Split Air
Conditioners (Air-Cooled)’’, and 7,
‘‘VRF Multi-Split Heat Pumps (AirCooled)’’, of Table 13 to paragraph (f)
under the column heading:
‘‘Compliance date: Products
manufactured on and after . . .’’;
■ m. Adding, immediately following
footnote 1 below Table 13 to paragraph
(f), ‘‘2 And manufactured before January
1, 2025. For equipment manufactured
on or after January 1, 2025, see Table 14
to paragraph (g) of this section for
updated efficiency standards.’’; and
■ n. Adding a new paragraph (g) and
Table 14 to read as follows:
■
§ 431.97 Energy efficiency standards and
their compliance dates.
*
*
*
*
*
(g) Each air-cooled, three-phase, small
commercial package air conditioning
and heating equipment with a cooling
capacity of less than 65,000 Btu/h and
air-cooled, three-phase variable
refrigerant flow multi-split air
conditioning and heating equipment
with a cooling capacity of less than
65,000 Btu/h manufactured on or after
January 1, 2025, or if certifying to
SEER2/HSPF2, must meet the
applicable minimum energy efficiency
standard level(s) set forth in Table 14 of
this section.
TABLE 14 TO § 431.97—UPDATED MINIMUM EFFICIENCY STANDARDS FOR AIR-COOLED, THREE-PHASE, SMALL
COMMERCIAL PACKAGE AIR CONDITIONING AND HEATING EQUIPMENT WITH A COOLING CAPACITY OF LESS THAN
65,000 BTU/H AND AIR-COOLED, THREE-PHASE, SMALL VARIABLE REFRIGERANT FLOW MULTI-SPLIT AIR CONDITIONING
AND HEATING EQUIPMENT WITH A COOLING CAPACITY OF LESS THAN 65,000 BTU/H
Equipment type
Size category
(cooling)
Subcategory
Minimum
efficiency
Air Conditioners .........................................................................
<65,000 Btu/h ..........................
Heat Pumps ...............................................................................
<65,000 Btu/h ..........................
Split-System ............................
Single-Package .......................
Split-System ............................
13.4 SEER2.
13.4 SEER2.
14.3 SEER2.
7.5 HSPF2.
13.4 SEER2.
6.7 HSPF2.
12.7 SEER2.
13.9 SEER2.
13.9 SEER2.
7.0 HSPF2.
13.9 SEER2.
6.7 HSPF2.
13.0 SEER2.
14.0 SEER2.
6.9 HSPF2.
13.0 SEER2.
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Single-Package .......................
Space-Constrained Air Conditioners .........................................
≤30,000 Btu/h ..........................
Space-Constrained Heat Pumps ...............................................
≤30,000 Btu/h ..........................
Split-System ............................
Single-Package .......................
Split-System ............................
Single-Package .......................
Small-Duct, High-Velocity Air Conditioners ...............................
Small-Duct, High-Velocity Heat Pumps .....................................
<65,000 Btu/h ..........................
<65,000 Btu/h ..........................
Split-System ............................
Split-System ............................
VRF Air Conditioners .................................................................
<65,000 Btu/h ..........................
..................................................
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TABLE 14 TO § 431.97—UPDATED MINIMUM EFFICIENCY STANDARDS FOR AIR-COOLED, THREE-PHASE, SMALL COMMERCIAL PACKAGE AIR CONDITIONING AND HEATING EQUIPMENT WITH A COOLING CAPACITY OF LESS THAN—Continued
65,000 BTU/H AND AIR-COOLED, THREE-PHASE, SMALL VARIABLE REFRIGERANT FLOW MULTI-SPLIT AIR CONDITIONING
AND HEATING EQUIPMENT WITH A COOLING CAPACITY OF LESS THAN 65,000 BTU/H
Equipment type
Size category
(cooling)
Subcategory
Minimum
efficiency
VRF Heat Pumps ......................................................................
<65,000 Btu/h ..........................
..................................................
13.0 SEER2.
6.5 HSPF2.
[FR Doc. 2022–06450 Filed 3–29–22; 8:45 am]
Paper Comments
BILLING CODE 6450–01–P
• Send paper comments to Secretary,
Securities and Exchange Commission,
100 F Street NE, Washington, DC
20549–1090.
All submissions should refer to File
Number S7–11–22. This file number
should be included on the subject line
if email is used. To help us process and
review your comments more efficiently,
please use only one method of
submission. The Commission will post
all comments on the Commission’s
website (https://www.sec.gov/rules/
proposed.shtml). Comments are also
available for website viewing and
printing in the Commission’s Public
Reference Room, 100 F Street NE,
Washington, DC 20549, on official
business days between the hours of 10
a.m. and 3 p.m. Operating conditions
may limit access to the Commission’s
Public Reference Room. All comments
received will be posted without change;
we do not edit personal identifying
information from comment submissions.
You should submit only information
that you wish to make publicly
available.
Studies, memoranda, or other
substantive items may be added by the
Commission or staff to the comment file
during this rulemaking. A notification of
the inclusion in the comment file of any
such materials will be made available
on the Commission’s website. To ensure
direct electronic receipt of such
notifications, sign up through the ‘‘Stay
Connected’’ option at www.sec.gov to
receive notifications by email.
FOR FURTHER INFORMATION CONTACT: John
Guidroz, Branch Chief, Laura Gold,
Special Counsel, Jessica Kloss,
Attorney-Adviser, or Josephine Tao,
Assistant Director, in the Office of
Trading Practices, at (202) 551–5777,
Division of Trading and Markets, U.S.
Securities and Exchange Commission,
100 F Street NE, Washington, DC 20549.
SUPPLEMENTARY INFORMATION: The
Commission is proposing to amend the
existing exceptions found in 17 CFR
242.101 (‘‘Rule 101’’) and 17 CFR
242.102 (‘‘Rule 102’’) for investmentgrade nonconvertible debt securities,
SECURITIES AND EXCHANGE
COMMISSION
17 CFR Parts 240 and 242
[Release No. 34–94499; File No. S7–11–22]
RIN 3235–AL14
Removal of References to Credit
Ratings From Regulation M
Securities and Exchange
Commission.
ACTION: Proposed rule.
AGENCY:
The Securities and Exchange
Commission (‘‘Commission’’) is reproposing amendments to remove the
references to credit ratings included in
certain Commission rules. The DoddFrank Wall Street Reform and Consumer
Protection Act (‘‘Dodd-Frank Act’’),
among other things, requires the
Commission to remove any references to
credit ratings from its regulations. In
one rule governing the activity of
distribution participants, the
Commission is proposing to remove the
reference to credit ratings, substitute
alternative measures of creditworthiness, and impose related
recordkeeping obligations in certain
instances. In another rule governing the
activity of issuers and selling security
holders during a distribution, the
Commission is proposing to eliminate
the exception for investment-grade
nonconvertible debt, nonconvertible
preferred securities, and asset-backed
securities.
DATES: Comments should be received on
or before May 23, 2022.
ADDRESSES: Comments may be
submitted by any of the following
methods:
khammond on DSKJM1Z7X2PROD with PROPOSALS
SUMMARY:
Electronic Comments
• Use the Commission’s internet
comment form (https://www.sec.gov/
rules/submitcomments.htm); or
• Send an email to rule-comments@
sec.gov. Please include File Number S7–
11–22 on the subject line; or
VerDate Sep<11>2014
16:44 Mar 29, 2022
Jkt 256001
PO 00000
Frm 00023
Fmt 4702
Sfmt 4702
nonconvertible preferred securities, and
asset-backed securities. Specifically, the
Commission is proposing to remove the
requirement to qualify for the exception
in each of these rules that these
securities be rated investment grade by
at least one nationally recognized
statistical rating organization
(‘‘NRSRO’’). In its place, in Rule 101,
the Commission proposes to except (1)
nonconvertible debt securities and
nonconvertible preferred securities
(collectively, ‘‘Nonconvertible
Securities’’) that meet a specified
probability of default threshold, and (2)
asset-backed securities that are offered
pursuant to an effective shelf
registration statement filed on the
Commission’s Form SF–3. In addition,
the Commission is proposing to
eliminate the existing exception in Rule
102 for investment-grade
Nonconvertible Securities, and assetbacked securities. The Commission is
also proposing amendments to 17 CFR
240.17a–4(b) (‘‘Rule 17a–4(b)’’) under
the Securities Exchange Act of 1934
(‘‘Exchange Act’’) to require brokerdealers to maintain the written
probability of default determination.
Table of Contents
I. Background
II. Prior Proposals To Remove References to
Credit Ratings in Regulation M
A. 2008 Proposal
B. 2011 Proposal
III. Application of Regulation M to
Distributions of Nonconvertible
Securities and Asset-Backed Securities
IV. Proposed Amendments to Rules 101 and
102 To Remove References to Credit
Ratings
A. Rule 101
B. Rule 102
V. Recordkeeping Requirement: Rule 17a–
4(b)(17)
A. Proposed Recordkeeping Requirement
B. Request for Comment
VI. General Request for Comment
VII. Paperwork Reduction Act Analysis
A. Background
B. Proposed Use of Information
C. Information Collections
D. Collection of Information Is Mandatory
E. Confidentiality
F. Retention Period of Recordkeeping
Requirement
G. Request for Comment
E:\FR\FM\30MRP1.SGM
30MRP1
]]>Agencies
[Federal Register Volume 87, Number 61 (Wednesday, March 30, 2022)]
[Proposed Rules]
[Pages 18290-18312]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2022-06450]
========================================================================
Proposed Rules
Federal Register
________________________________________________________________________
This section of the FEDERAL REGISTER contains notices to the public of
the proposed issuance of rules and regulations. The purpose of these
notices is to give interested persons an opportunity to participate in
the rule making prior to the adoption of the final rules.
========================================================================
Federal Register / Vol. 87, No. 61 / Wednesday, March 30, 2022 /
Proposed Rules
[[Page 18290]]
DEPARTMENT OF ENERGY
10 CFR Part 431
[EERE-2022-BT-STD-0008]
RIN 1904-AF32
Energy Conservation Program: Energy Conservation Standards for
Air Cooled, Three-Phase, Small Commercial Air Conditioners and Heat
Pumps With a Cooling Capacity of Less Than 65,000 Btu/h and Air-Cooled,
Three-Phase, Variable Refrigerant Flow Air Conditioners and Heat Pumps
With a Cooling Capacity of Less Than 65,000 Btu/h
AGENCY: Office of Energy Efficiency and Renewable Energy, Department of
Energy.
ACTION: Notice of proposed rulemaking and request for comment.
-----------------------------------------------------------------------
SUMMARY: The Energy Policy and Conservation Act, as amended (``EPCA''),
prescribes energy conservation standards for various consumer products
and certain commercial and industrial equipment, including small,
large, and very large commercial package air conditioning and heating
equipment, of which air cooled, three-phase, small commercial air
conditioners and heat pumps with a cooling capacity of less than 65,000
Btu/h and air-cooled, three-phase, variable refrigerant flow air
conditioners and heat pumps with a cooling capacity of less than 65,000
Btu/h are categories. EPCA requires the U.S. Department of Energy
(``DOE'' or ``the Department'') to consider the need for amended
standards each time the relevant industry standard is amended with
respect to the standard levels or design requirements applicable to
that equipment, or periodically under a six-year-lookback review
provision. For the three-phase equipment that is the subject of this
notice of proposed rulemaking (``NOPR''), DOE is proposing amended
energy conservation standards that rely on new efficiency metrics and
align with amended efficiency levels in the industry standard. DOE has
preliminarily determined that it lacks clear and convincing evidence
required by the statute to adopt standards more stringent than the
levels specified in the industry standard. This NOPR also announces a
webinar to receive comment on these proposed standards and associated
analyses and results.
DATES: Meeting: DOE will hold a public meeting via webinar on Monday,
May 16, 2022, from 1:00 p.m. to 4:00 p.m., in Washington, DC. See
section VII, ``Public Participation'' for webinar registration
information, participant instructions, and information about the
capabilities available to webinar participants.
Comments: DOE will accept comments, data, and information regarding
this NOPR no later than May 31, 2022.
Comments regarding the likely competitive impact of the proposed
standard should be sent to the Department of Justice contact listed in
the ADDRESSES section on or before April 29, 2022.
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-2022-BT-STD-0008,
by any of the following methods:
1. Federal eRulemaking Portal: www.regulations.gov. Follow the
instructions for submitting comments.
2. Email: to [email protected]. Include docket
number EERE-2022-BT-STD-0008 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 VII 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 for this activity, which includes Federal
Register notices, 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, not all
documents listed in the index may be publicly available, such as
information that is exempt from public disclosure.
The docket web page can be found at www.regulations.gov/#!docketDetail;D=EERE-2022-BT-STD-0008. The docket web page contains
instructions on how to access all documents, including public comments,
in the docket. See section VII for information on how to submit
comments through www.regulations.gov.
Written comments regarding the burden-hour estimates or other
aspects of the collection-of-information requirements contained in this
proposed rule may be submitted to Office of Energy Efficiency and
Renewable Energy following the instructions at www.RegInfo.gov.
EPCA requires the U.S. Attorney General to provide DOE a written
determination of whether the proposed standard is likely to lessen
competition. The U.S. Department of Justice Antitrust Division invites
input from market participants and other interested persons with views
on the likely competitive impact of the proposed standard. Interested
persons may contact the Antitrust Division at
[email protected] on or before the date specified in the DATES
section. Please indicate in the ``Subject'' line of your email the
title and Docket Number of this proposed rulemaking.
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,
[[Page 18291]]
DC 20585-0121. Telephone: (202) 586-7335. Email:
[email protected].
Ms. Kristin Koernig, U.S. Department of Energy, Office of the
General Counsel, GC-33, 1000 Independence Avenue SW, Washington, DC
20585-0121. Telephone: (202) 586-3593. Email:
[email protected].
For further information on how to submit a comment, review other
public comments and the docket, or participate in the public meeting,
contact the Appliance and Equipment Standards Program staff at (202)
287-1445 or by email: [email protected].
SUPPLEMENTARY INFORMATION:
Table of Contents
I. Synopsis of the Proposed Rule
II. Introduction
A. Authority
B. Background
1. Current Standards
2. ASHRAE 90.1-2019
3. September 2020 NODA/RFI
III. Discussion of Crosswalk Analysis
A. Crosswalk Background
B. Crosswalk Methodology
1. Crosswalk for Three-Phase, Less Than 65,000 Btu/h, Single-
Package and Split-System ACUACs and ACUHPs
2. Crosswalk for Three-Phase, Less Than 65,000 Btu/h, Space-
Constrained and Small-Duct, High-Velocity ACUACs and ACUHPs
a. Space-Constrained Equipment
b. Small-Duct, High-Velocity Equipment
3. Crosswalk for Three-Phase, Less Than 65,000 Btu/h VRF
C. Crosswalk Results
IV. Estimates of Potential Energy Savings
V. Conclusions
A. Consideration of More Stringent Efficiency Levels for Split
Systems
B. Review Under Six Year Lookback
1. Proposed Addendum to ASHRAE 90.1-2019
C. Definitions for Space-Constrained and Small-Duct, High-
Velocity Equipment
D. Proposed Energy Conservation Standards
1. Standard Levels
2. Compliance Date
VI. Procedural Issues and Regulatory Review
A. Review Under Executive Orders 12866 and 13563
B. Review Under the Regulatory Flexibility Act
1. Description of Reasons Why Action Is Being Considered
2. Objectives of, and Legal Basis for, Rule
3. Description on Estimated Number of Small Entities Regulated
4. Description and Estimate of Compliance Requirements Including
Differences in Cost, if Any, for Different Groups of Small Entities
5. Duplication, Overlap, and Conflict With Other Rules and
Regulations
6. Significant Alternatives to the Rule
C. Review Under the Paperwork Reduction Act
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 the Treasury and General Government
Appropriations Act, 2001
K. Review Under Executive Order 13211
L. Information Quality
VII. Public Participation
A. Participation in the Webinar
B. Procedure for Submitting Prepared General Statements for
Distribution
C. Conduct of the Webinar
D. Submission of Comments
E. Issues on Which DOE Seeks Comment
VIII. Approval of the Office of the Secretary
I. Synopsis of the Proposed Rule
Title III, Part C \1\ of EPCA \2\ established the Energy
Conservation Program for Certain Industrial Equipment. (42 U.S.C. 6311-
6317) Such equipment includes air cooled, three-phase, small commercial
air conditioners and heat pumps (``ACUACs and ACUHPS'') with a cooling
capacity of less than 65,000 Btu/h (``three-phase, less than 65,000
Btu/h ACUACs and ACUHPs'') and air-cooled, three-phase, variable
refrigerant flow (``VRF'') air conditioners and heat pumps with a
cooling capacity of less than 65,000 Btu/h (``three-phase, less than
65,000 Btu/h VRF''), the subject of this proposed rulemaking.
Pursuant to EPCA, DOE is required to consider amending the energy
efficiency standards for certain types of covered commercial and
industrial equipment, including the equipment at issue in this
document, whenever the American Society of Heating, Refrigerating, and
Air-Conditioning Engineers (``ASHRAE'') amends the standard levels or
design requirements prescribed in ASHRAE 90.1, ``Energy Standard for
Buildings Except Low-Rise Residential Buildings,'' (``ASHRAE 90.1''),
and at a minimum, every 6 years (42 U.S.C. 6313(a)(6)(A)-(C)). For each
type of equipment, EPCA directs that if ASHRAE 90.1 is amended, DOE
must adopt amended energy conservation standards at the new efficiency
level in ASHRAE 90.1, unless clear and convincing evidence supports a
determination that adoption of a more-stringent efficiency level would
produce significant additional energy savings and be technologically
feasible and economically justified (42 U.S.C. 6313(a)(6)(A)(ii)
(referred to as the ``ASHRAE trigger'')). If DOE adopts an amended
uniform national standard at the efficiency level specified in the
amended ASHRAE 90.1, DOE must establish such standard no later than 18
months after publication of the amended industry standard. (42 U.S.C.
6313(a)(6)(A)(ii)(I)) If DOE determines that a more-stringent standard
is appropriate under the statutory criteria, DOE must establish such a
more-stringent standard no later than 30 months after publication of
the revised ASHRAE 90.1. (42 U.S.C. 6313(a)(6)(B)(i))
Under EPCA, DOE must also review its energy conservation standards
for three-phase, less than 65,000 Btu/h ACUAC, ACUHP, and VRF equipment
every six years and either: (1) Issue a notice of determination that
the standards do not need to be amended, as adoption of a more-
stringent level under the relevant statutory criteria is not supported
by clear and convincing evidence; or (2) issue a notice of proposed
rulemaking including new proposed standards based on certain criteria
and procedures in subparagraph (B).\1\ (42 U.S.C. 6313(a)(6)(C)(i))
---------------------------------------------------------------------------
\1\ In relevant part, subparagraph (B) specifies that: (1) In
making a determination of economic justification, DOE must consider,
to the maximum extent practicable, the benefits and burdens of an
amended standard based on the seven criteria described in EPCA; (2)
DOE may not prescribe any standard that increases the energy use or
decreases the energy efficiency of a covered equipment; and (3) DOE
may not prescribe an amended standard that interested persons have
established by a preponderance of evidence is likely to result in
the unavailability in the United States of any product type (or
class) of performance characteristics (including reliability,
features, sizes, capacities, and volumes) that are substantially the
same as those generally available in the United States. (42 U.S.C.
6313(a)(6)(B)(ii)-(iii))
---------------------------------------------------------------------------
ASHRAE officially released the 2019 version of Standard 90.1
(``ASHRAE 90.1-2019'') on October 25, 2019, thereby triggering DOE's
previously referenced obligations, pursuant to EPCA, to determine for
certain classes of three-phase, less than 65,000 Btu/h ACUAC, ACUHP,
and VRF systems whether: (1) The amended industry standard should be
adopted; or (2) clear and convincing evidence exists to justify more-
stringent standard levels. For any classes where DOE was not triggered
by ASHRAE 90.1-2019, the Department routinely considers those classes
under EPCA's six-year-lookback provision at the same time to address
the subject equipment in a comprehensive fashion.
The current Federal energy conservation standards for three-phase,
less than 65,000 Btu/h ACUACs and ACUHPs and three-phase, less than
65,000 Btu/h VRF are codified in DOE's regulations at 10 CFR 431.97.
These standards for both equipment types are specified in terms of
seasonal energy
[[Page 18292]]
efficiency ratio (``SEER'') for cooling mode and heating seasonal
performance factor (``HSPF'') for heating mode. The current Federal
test procedure at 10 CFR 431.96 for three-phase, less than 65,000 Btu/h
ACUACs and ACUHPs references American National Standards Institute
(``ANSI'')/Air-Conditioning, Heating, and Refrigeration Institute
(``AHRI'') Standard 210/240-2008, ``Performance Rating of Unitary Air-
Conditioning & Air-Source Heat Pump Equipment,'' approved by ANSI on
October 27, 2011, and updated by Addendum 1 in June 2011 and Addendum 2
in March 2012 (``AHRI 210/240-2008''). The current Federal test
procedure at 10 CFR 431.96 for three-phase, less than 65,000 Btu/h VRF
references ANSI/AHRI 1230-2010, ``2010 Standard for Performance Rating
of Variable Refrigerant Flow (VRF) Multi-Split Air-Conditioning and
Heat Pump Equipment,'' approved August 2, 2010 and updated by Addendum
1 in March 2011 (``ANSI/AHRI 1230-2010'').
As set forth in ASHRAE 90.1-2019, the efficiency levels for three-
phase, less than 65,000 Btu/h ACUACs and ACUHPs are specified in terms
of seasonal energy efficiency ratio-2 (``SEER2'') for cooling mode and
heating seasonal performance factor-2 (``HSPF2'') for heating mode.
These efficiency levels are measured per ANSI/AHRI 210/240, ``2023
Standard for Performance Rating of Unitary Air-conditioning & Air-
source Heat Pump Equipment'' (``AHRI 210/240-2023''). Furthermore,
ASHRAE 90.1-2019 and AHRI 210/240-2023 align the test procedures for
three-phase, less than 65,000 Btu/h equipment with those of their
single-phase counterparts (i.e., measuring performance in terms of
SEER2 and HSPF2), which, aside from the three-phase power supply, are
otherwise identical.\2\
---------------------------------------------------------------------------
\2\ See, e.g., 80 FR 42614, 42622 (July 17, 2015), 83 FR 49501,
49504 (Oct. 2, 2018), and 86 FR 70316, 70322 (Dec. 9, 2021).
---------------------------------------------------------------------------
DOE is also proposing definitions for space-constrained (``S-C'')
commercial package air conditioning and heating equipment (``S-C ACUACs
and ACUHPs'') and for small-duct, high-velocity (``SDHV'') commercial
package air conditioning and heating equipment (``SDHV ACUACs and
ACUHPs'') as described in section V.C. Additionally, DOE is proposing
to separate equipment classes and corresponding energy conservation
standards for three-phase, less than 65,000 Btu/h ACUAC and ACUHP that
are (1) S-C split-system ACUACs; (2) S-C split-system ACUHPs; (3) S-C
single-package ACUACs; (4) S-C single-package ACUHPs; (5) SDHV ACUACs;
and (6) SDHV ACUHPs. These additional equipment classes are included in
ASHRAE 90.1-2019 for three-phase, less than 65,000 Btu/h ACUACs and
ACUHPs.
As described in detail in section III of this document, DOE
conducted a crosswalk analysis to translate the current SEER and HSPF
standards (measured per the current DOE test procedure) to SEER2 and
HSPF2 levels, respectively (measured per the latest version of AHRI
Standard AHRI 210/240 (i.e., AHRI 210/240-2023)). DOE then compared
these crosswalked metrics to those presented in ASHRAE 90.1-2019 to
determine which equipment classes are triggered by the increased
stringency in ASHRAE 90.1-2019.
In this document, DOE proposes to update the minimum energy
conservation standard levels found at Tables 3, 4, and 13 of 10 CFR
431.97. The proposed standards for three-phase, less than 65,000 Btu/h
ACUACs and ACUHPs and for three-phase, less than 65,000 Btu/h VRF
systems, which are expressed in SEER2 and HSPF2, are presented in Table
I-1 and Table I-2.\3\ If adopted, the standards in Table I-1 are
proposed for all three-phase, less than 65,000 Btu/h ACUACs and ACUHPs
manufactured in or imported into the United States starting January 1,
2025. If adopted, the standards in Table I-2 would apply to all three-
phase, less than 65,000 Btu/h VRF manufactured in or imported into the
United States starting January 1, 2025.
---------------------------------------------------------------------------
\3\ Energy conservations standards for air-cooled, three-phase,
small, commercial packaged air conditioners and heat pumps with a
cooling capacity of greater than 65,000 Btu/h and air-cooled, VRF,
multi-split systems with a cooling capacity of greater than 65,000
Btu/h are not addressed in this NOPR. Instead this equipment will be
addressed in separate energy conservation standards rulemakings.
---------------------------------------------------------------------------
As described in section V of this document, DOE has tentatively
determined that insufficient data are available to determine, based on
clear and convincing evidence, that more-stringent standards would
result in significant additional energy savings and be technologically
feasible and economically justified. The clear and convincing threshold
is a heightened standard, and would only be met where the Secretary has
an abiding conviction, based on available facts, data, and DOE's own
analyses, that it is highly probable an amended standard would result
in a significant additional amount of energy savings, and is
technologically feasible and economically justified. See American
Public Gas Association v. U.S. Dep't of Energy, No. 20-1068, 2022 WL
151923, at *4 (D.C. Cir. January 18, 2022) (citing Colorado v. New
Mexico, 467 U.S. 310, 316, 104 S.Ct. 2433, 81 L.Ed.2d 247 (1984)).
DOE normally performs multiple in-depth analyses to determine
whether there is clear and convincing evidence to support more
stringent energy conservation standards (i.e., whether more stringent
standards would produce significant additional conservation of energy
and be technologically feasible and economically justified). However,
as discussed in the section V of this NOPR, due to the lack of
available market and performance data, DOE is unable to conduct the
analysis necessary to evaluate the potential energy savings or evaluate
whether more stringent standards would be technologically feasible or
economically justifiable, with sufficient certainty. As such, DOE is
not proposing standards at levels more stringent than those specified
in ASHRAE Standard 90.1. Rather, DOE is proposing to adopt the levels
specified in ASHRAE 90.1-2019 for three-phase, less than 65,000 Btu/h
ACUACs and ACUHPs, as required by EPCA, except for S-C ACUACs and
ACUHPs, SDHV ACUACs and ACUHPs, and three-phase less than 65,000 Btu/h
VRF equipment, for which DOE is proposing crosswalked levels that
maintain equivalent stringency to the currently applicable Federal
standards but do not align with the levels in ASHRAE 90.1-2019.
For S-C ACUACs and ACUHPs and SDHV ACUACs and ACUHPs, DOE has
tentatively concluded that the levels specified in ASHRAE 90.1-2019 are
less stringent than the applicable current Federal standards.
Therefore, to avoid backsliding (as required by EPCA),\4\ DOE is
proposing standards for S-C ACUACs and ACUHPs and SDHV ACUACs and
ACUHPs in terms of SEER2 and HSPF2 that maintain equivalent stringency
to the applicable current Federal standards (in terms of SEER and
HSPF).
---------------------------------------------------------------------------
\4\ EPCA's anti-backsliding provision prevents the Secretary
from prescribing any amended standard that either increases the
maximum allowable energy use or decreases the minimum required
energy efficiency of a covered product. (42 U.S.C.
6313(a)(6)(B)(iii)(I))
---------------------------------------------------------------------------
For three-phase, less than 65,000 Btu/h VRF equipment, ASHRAE 90.1-
2019 did not update the efficiency metrics to be in terms of SEER2 and
HSPF2 and instead left the metrics in terms of SEER and HSPF with no
change to efficiency levels. In this document, DOE is proposing
translated standard levels in terms of SEER2 and HSPF2 that are of
equivalent stringency to the current SEER and HSPF Federal standards.
[[Page 18293]]
Table I-1--Proposed Energy Conservation Standards for Air-Cooled, Three-Phase, Small Commercial Package Air
Conditioners and Heat Pumps With a Cooling Capacity of Less Than 65,000 Btu/h
----------------------------------------------------------------------------------------------------------------
Equipment type Size category (cooling) Subcategory Minimum efficiency
----------------------------------------------------------------------------------------------------------------
Air Conditioners.................... <65,000 Btu/h.......... Split System........... 13.4 SEER2
Single-Package......... 13.4 SEER2
Heat Pumps.......................... <65,000 Btu/h.......... Split System........... 14.3 SEER2
7.5 HSPF2
Single-Package......... 13.4 SEER2
6.7 HSPF2
Space-Constrained Air Conditioners.. <=30,000 Btu/h......... Split System........... 13.9 SEER2
Single-Package......... 13.9 SEER2
Space-Constrained Heat Pumps........ <=30,000 Btu/h......... Split System........... 13.9 SEER2
7.0 HSPF2
Single-Package......... 13.9 SEER2
6.7 HSPF2
Small-Duct, High-Velocity Air <65,000 Btu/h.......... Split System........... 13.0 SEER2
Conditioners.
Small-Duct, High-Velocity Heat Pumps <65,000 Btu/h.......... Split System........... 14.0 SEER2
6.9 HSPF2
----------------------------------------------------------------------------------------------------------------
Table I-2--Proposed Energy Conservation Standards for Air-Cooled, Three-Phase, VRF Multi-Split Air Conditioners
and Heat Pumps With a Cooling Capacity of Less Than 65,000 Btu/h
----------------------------------------------------------------------------------------------------------------
Equipment type Size category (cooling) Subcategory Minimum efficiency
----------------------------------------------------------------------------------------------------------------
VRF Air Conditioners................ <65,000 Btu/h.......... Split System........... 12.9 SEER2
VRF Heat Pumps...................... <65,000 Btu/h.......... Split System........... 12.9 SEER2
6.5 HSPF2
----------------------------------------------------------------------------------------------------------------
II. Introduction
The following section briefly discusses the statutory authority
underlying this proposed rule, as well as some of the relevant
historical background related to the establishment of standards for
three-phase, less than 65,000 Btu/h ACUACs and ACUHPs and three-phase,
less than 65,000 Btu/h VRF.
A. Authority
EPCA authorizes DOE to regulate the energy efficiency of a number
of consumer products and certain industrial equipment. Title III, Part
C of EPCA, added by Public Law 95-619, Title IV, section 441(a) (42
U.S.C. 6311-6317, as codified), established the Energy Conservation
Program for Certain Industrial Equipment, which sets forth a variety of
provisions designed to improve energy efficiency for covered equipment.
This covered equipment includes small, large, and very large commercial
package air conditioning and heating equipment, including three-phase,
less than 65,000 Btu/h ACUACs and ACUHPs and three-phase, less than
65,000 Btu/h VRF, the subject of this document. (42 U.S.C. 6311(1)(B)-
(D)) Additionally, DOE must consider amending the energy efficiency
standards for certain types of commercial and industrial equipment,
including the equipment at issue in this document, whenever ASHRAE
amends the standard levels or design requirements prescribed in ASHRAE/
IES Standard 90.1, and, at a minimum, every 6 years. (42 U.S.C.
6313(a)(6)(A)-(C))
The energy conservation program under EPCA consists essentially of
four parts: (1) Testing, (2) labeling, (3) the establishment of Federal
energy conservation standards, and (4) certification and enforcement
procedures. Relevant provisions of EPCA include definitions (42 U.S.C.
6311), test procedures (42 U.S.C. 6314), labeling provisions (42 U.S.C.
6315), energy conservation standards (42 U.S.C. 6313), and the
authority to require information and reports from manufacturers (42
U.S.C. 6316; 42 U.S.C. 6296).
Federal energy efficiency requirements for covered equipment
established under EPCA generally supersede State laws and regulations
concerning energy conservation testing, labeling, and standards. (See
42 U.S.C. 6316(a)-(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 set forth under
EPCA. (See 42 U.S.C. 6316(b)(2)(D))
Subject to certain criteria and conditions, DOE is required to
develop test procedures to measure the energy efficiency, energy use,
or estimated annual operating cost of each covered product. (42 U.S.C.
6314) Manufacturers of covered equipment must use the Federal test
procedures 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. The DOE test procedures for three-phase, less than 65,000
Btu/h ACUACs and ACUHPs and for three-phase, less than 65,000 Btu/h VRF
appear at 10 CFR 431, subpart F, appendix A.
ASHRAE 90.1 sets industry energy efficiency levels for small,
large, and very large commercial package air-conditioning and heating
equipment, packaged terminal air conditioners, packaged terminal heat
pumps, warm air furnaces, packaged boilers, storage water heaters,
instantaneous water heaters, and unfired hot water storage tanks
(collectively ``ASHRAE equipment''). For each type of listed ASHRAE
equipment, EPCA directs that if ASHRAE amends Standard 90.1, DOE must
adopt amended standards at the new ASHRAE efficiency level, unless DOE
determines, supported by clear and
[[Page 18294]]
convincing evidence, that adoption of a more stringent level would
produce significant additional conservation of energy and would be
technologically feasible and economically justified. (42 U.S.C.
6313(a)(6)(A)(ii))
Under EPCA, DOE must also review energy efficiency standards for
three-phase, less than 65,000 Btu/h ACUACs and ACUHPs and three-phase,
less than 65,000 Btu/h VRF every six years and either: (1) Issue a
notice of determination that the standards do not need to be amended as
adoption of a more stringent level is not supported by clear and
convincing evidence; or (2) issue a notice of proposed rulemaking
including new proposed standards based on certain criteria and
procedures in subparagraph (B). (42 U.S.C. 6313(a)(6)(C))
In deciding whether a more-stringent standard is economically
justified, under either the provisions of 42 U.S.C. 6313(a)(6)(A) or 42
U.S.C. 6313(a)(6)(C), DOE must determine whether the benefits of the
standard exceed its burdens. DOE must make this determination after
receiving comments on the proposed standard and by considering, to the
maximum extent practicable, the following seven factors:
(1) The economic impact of the standard on manufacturers and
consumers of products subject to the standard;
(2) The savings in operating costs throughout the estimated average
life of the covered products in the type (or class) compared to any
increase in the price, initial charges, or maintenance expenses for the
covered equipment that are likely to result from the standard;
(3) The total projected amount of energy savings likely to result
directly from the standard;
(4) Any lessening of the utility or the performance of the covered
product likely to result from the standard;
(5) The impact of any lessening of competition, as determined in
writing by the Attorney General, that is likely to result from the
standard;
(6) The need for national energy conservation; and
(7) Other factors the Secretary of Energy considers relevant.
(42 U.S.C. 6313(a)(6)(B)(ii)(I)-(VII))
As discussed previously, EPCA also contains what is known as an ``anti-
backsliding'' provision, which prevents the Secretary from prescribing
any amended standard that either increases the maximum allowable energy
use or decreases the minimum required energy efficiency of a covered
product. (42 U.S.C. 6313(a)(6)(B)(iii)(I)) Also, the Secretary may not
prescribe an amended or new standard if interested persons have
established by a preponderance of the evidence that the standard is
likely to result in the unavailability in the United States in any
covered product type (or class) of performance characteristics
(including reliability, features, sizes, capacities, and volumes) that
are substantially the same as those generally available in the United
States. (42 U.S.C. 6313(a)(6)(B)(iii)(II)(aa))
B. Background
1. Current Standards
EPCA defines ``commercial package air conditioning and heating
equipment'' as air-cooled, water-cooled, evaporatively-cooled, or
water-source (not including ground water source) electrically operated,
unitary central air conditioners and central air conditioning heat
pumps for commercial application. (42 U.S.C. 6311(8)(A); 10 CFR 431.92)
EPCA further classifies ``commercial package air conditioning and
heating equipment'' into categories based on cooling capacity (i.e.,
small, large, and very large categories). (42 U.S.C. 6311(8)(B)-(D); 10
CFR 431.92) ``Small commercial package air conditioning and heating
equipment'' means equipment rated below 135,000 Btu per hour (cooling
capacity). (42 U.S.C. 6311(8)(B); 10 CFR 431.92) ``Large commercial
package air conditioning and heating equipment'' means equipment rated:
(i) At or above 135,000 Btu per hour; and (ii) below 240,000 Btu per
hour (cooling capacity). (42 U.S.C. 6311(8)(C); 10 CFR 431.92) ``Very
large commercial package air conditioning and heating equipment'' means
equipment rated: (i) At or above 240,000 Btu per hour; and (ii) below
760,000 Btu per hour (cooling capacity). (42 U.S.C. 6311(8)(D); 10 CFR
431.92)
The energy conservation standards for three-phase, less than 65,000
Btu/h ACUACs and ACUHPs were most recently amended through a final rule
for energy conservation standards and test procedures for certain
commercial HVAC and water heating equipment published in the Federal
Register on July 17, 2015 (July 2015 final rule). 80 FR 42614. For
three of the four equipment classes of three-phase, less than 65,000
Btu/h ACUACs and ACUHPs (packaged air conditioners, packaged heat
pumps, and split-system heat pumps), the July 2015 final rule adopted
energy conservation standards that correspond to the levels in the 2013
revision of ASHRAE Standard 90.1. For the remaining equipment class
(split-system air conditioners), the July 2015 final rule did not amend
the energy conservation standards.
DOE's current energy conservation standards for three-phase, less
than 65,000 Btu/h ACUACs and ACUHPs are codified at Tables 1 and 2 of
10 CFR 431.97. The current equipment classes are differentiated by
configuration (split system or single package) and by heating
capability (air conditioner or heat pump) and repeated in Table II-1 of
this document.
Pursuant to its authority under EPCA (42 U.S.C. 6313(a)(6)(A)) and
in response to updates to ASHRAE Standard 90.1, DOE has established the
category of VRF multi-split systems, which meets the EPCA definition of
``commercial package air conditioning and heating equipment,'' but
which EPCA did not expressly identify. See 10 CFR 431.92; 10 CFR
431.97.
DOE defines ``variable refrigerant flow air conditioner'' as a unit
of commercial package air-conditioning and heating equipment that is
configured as a split system air conditioner incorporating a single
refrigerant circuit, with one or more outdoor units, at least one
variable-speed compressor or an alternate compressor combination for
varying the capacity of the system by three or more steps, and multiple
indoor fan coil units, each of which is individually metered and
individually controlled by an integral control device and common
communications network and which can operate independently in response
to multiple indoor thermostats. Variable refrigerant flow implies three
or more steps of capacity control on common, inter-connecting piping.
10 CFR 431.92.
DOE defines ``variable refrigerant flow multi-split heat pump'' as
a unit of commercial package air-conditioning and heating equipment
that is configured as a split system heat pump that uses reverse cycle
refrigeration as its primary heating source and which may include
secondary supplemental heating by means of electrical resistance,
steam, hot water, or gas. The equipment incorporates a single
refrigerant circuit, with one or more outdoor units, at least one
variable-speed compressor or an alternate compressor combination for
varying the capacity of the system by three or more steps, and multiple
indoor fan coil units, each of which is individually metered and
individually controlled by a control device and common communications
network and which can operate independently in response to multiple
indoor thermostats. Variable refrigerant flow implies three or more
steps of capacity control on common, inter-connecting piping. 10 CFR
431.92.
[[Page 18295]]
DOE adopted energy conservation standards for VRF multi-split
systems in a final rule published on May 16, 2012 (May 2012 Final
Rule). 77 FR 28928. When determining the appropriate standard levels,
DOE considered updates to the 2010 edition of ASHRAE Standard 90.1
(``ASHRAE 90.1-2010''), which designated separate equipment classes for
VRF multi-split systems for the first time. Id. at 77 FR 28934. For
three-phase, less than 65,000 Btu/h VRF, DOE maintained the standards
from the equipment class under which the corresponding VRF multi-split
system equipment class was previously regulated (i.e., three-phase,
less than 65,000 Btu/h VRF had previously been covered as three-phase,
less than 65,000 Btu/h ACUACs and ACUHPs). Id. at 77 FR 28938.
DOE's current equipment classes for three-phase, less than 65,000
Btu/h VRF are differentiated only by refrigeration cycle (air
conditioners or heat pumps). DOE's current standards for VRF multi-
split systems are set forth at Table 13 to 10 CFR 431.97 and repeated
in Table II-2 of this document.
Table II-1--Current Federal Energy Conservation Standards for Air-Cooled, Three-Phase, Small Commercial Package Air Conditioners and Heating Equipment
With a Cooling Capacity of Less Than
65,000 Btu/h
--------------------------------------------------------------------------------------------------------------------------------------------------------
Equipment type Cooling capacity Subcategory Heating type Efficiency level Compliance date
--------------------------------------------------------------------------------------------------------------------------------------------------------
Small Commercial Package Air <65,000 Btu/h........ AC.................. All................. 13 SEER............. June 16, 2008.
Conditioner and Heating Equipment HP.................. All................. 14 SEER............. January 1, 2017.
(Air-Cooled, 3-Phase, Split- 8.2 HSPF............
System).
Small Commercial Package Air <65,000 Btu/h........ AC.................. All................. 14 SEER............. January 1, 2017.
Conditioning and Heating HP.................. All................. 14 SEER............. January 1, 2017.
Equipment (Air-Cooled, 3-Phase, 8.0 HSPF............
Single-Package).
--------------------------------------------------------------------------------------------------------------------------------------------------------
Table II-2--Current Federal Energy Conservation Standards for Air-Cooled, Three-Phase, Variable Refrigerant Flow
Air Conditioners and Heat Pumps With a Cooling Capacity of Less Than 65,000 Btu/h
----------------------------------------------------------------------------------------------------------------
Equipment type Cooling capacity Heating type Efficiency level Compliance date
----------------------------------------------------------------------------------------------------------------
VRF Multi-Split Air <65,000 Btu/h.... All.............. 13 SEER.......... June 16, 2008.
Conditioners (Air-Cooled).
VRF Multi-Split Heat Pumps <65,000 Btu/h.... All.............. 13 SEER.......... June 16, 2008.
(Air-Cooled). 7.7 HSPF.........
----------------------------------------------------------------------------------------------------------------
2. ASHRAE 90.1-2019
As previously discussed, ASHRAE released ASHRAE 90.1-2019 on
October 25, 2019, which updated the test procedure references for
three-phase, less than 65,000 Btu/h ACUACs and ACUHPs and for three-
phase, less than 65,000 Btu/h VRF. ASHRAE 90.1-2019 also updated the
efficiency metrics for less than 65,000 Btu/h ACUACs and ACUHPs from
SEER and HSPF to SEER2 and HSPF2 and updated the efficiency levels for
all classes to reflect the new metrics. ASHRAE 90.1-2019 did not update
the efficiency metrics or efficiency levels for three-phase, less than
65,000 Btu/h VRF.
For three-phase, less than 65,000 Btu/h ACUACs and ACUHPs, the
current DOE test procedure references the industry test procedure ANSI/
AHRI Standard 210/240-2008 with Addenda 1 and 2, Performance Rating of
Unitary Air-Conditioning and Air-Source Heat Pump Equipment (``AHRI
210/240-2008'') and measures performance in terms of SEER and HSPF.
ASHRAE 90.1-2019 references the updated industry test procedure ANSI/
AHRI Standard 210/240-2023, 2023 Performance Rating of Unitary Air-
conditioning & Air-source Heat Pump Equipment, (``AHRI 210/240-2023'')
beginning on January 1, 2023, which measures performance in terms of
SEER2 and HSPF2. As discussed in section III.A.2 of this document, DOE
conducted a preliminary crosswalk analysis to determine whether the new
metrics and efficiency levels in ASHRAE 90.1-2019 represent at least
equivalent stringency as compared to the existing DOE standards in
terms of SEER and HSPF. As discussed in section I.A.1 of this document,
DOE's preliminary crosswalk analysis determined that ASHRAE 90.1-2019
increased the stringency of cooling and heating mode efficiency levels
for the two DOE equipment classes of three-phase, split-system, less
than 65,000 Btu/h ACUAC and ACUHP equipment while leaving unchanged the
stringency of single-packaged, three-phase equipment.
Regarding three-phase, less than 65,000 Btu/h VRF, ASHRAE 90.1-2019
also updates the relevant industry test procedure. The current DOE test
procedure references AHRI Standard 1230-2010 with Addendum 1,
Performance Rating of Variable Refrigerant Flow (VRF) Multi-split Air-
conditioning and Heat Pump Equipment (``AHRI 1230-2010''). ASHRAE 90.1-
2019 updates this reference to the more recent version of this
standard: AHRI Standard 1230-2014 with Addendum 1. As discussed in a
separate rulemaking for commercial VRF multi-split systems with rated
cooling capacity of greater than 65,000 Btu/h, DOE determined that the
test procedure changes between AHRI 1230-2010 and AHRI 1230-2014 do not
have a significant impact on the measured heating or cooling efficiency
of VRF multi-split systems, therefore a crosswalk analysis was not
required. 86 FR 70644, 70650 (Dec. 10, 2021). ASHRAE 90.1-2019 did not
update the efficiency metrics or standards levels for three-phase, less
than 65,000 Btu/h VRF--which are still specified in terms of SEER and
HSPF.
3. September 2020 NODA/RFI
DOE published a notice of data availability and request for
information (``NODA/RFI'') in response to the amendments to ASHRAE
90.1-2019 in the Federal Register on September 25, 2020 (``September
2020 NODA/RFI''). 85 FR 60642. In the September 2020 NODA/RFI, DOE
compared the current Federal standards for three-phase, less than
65,000 Btu/h ACUACs and ACUHPs (in terms of SEER and HSPF) to the
levels in ASHRAE 90.1-2019 (in terms of SEER2 and HSPF2) and
[[Page 18296]]
requested comment on its preliminary findings. Id. at 85 FR 60662-
60666. The September 2020 NODA/RFI did not address standards for three-
phase, less than 65,000 Btu/h VRF. DOE received comments in response to
the September 2020 NODA/RFI from interested parties listed in Table II-
2.
Table II.2--List of Commenters With Written Submissions to the September
2020 NODA/RFI
------------------------------------------------------------------------
Commenter(s) Abbreviation Commenter type
------------------------------------------------------------------------
Air-Conditioning, Heating and AHRI.............. Manufacturer
Refrigeration Institute. Trade Group.
Carrier Corporation.............. Carrier........... Manufacturer.
Goodman Manufacturing Company, Goodman........... Manufacturer.
L.P.
Rheem Manufacturing Company...... Rheem............. Manufacturer.
California Investor-Owned CA IOUs........... Utility.
Utilities.
Northwest Energy Alliance, Joint Advocates... Advocacy Group.
Appliance Standards Awareness
Project, Natural Resources
Defense Council.
Trane Technologies............... Trane............. Manufacturer.
------------------------------------------------------------------------
III. Discussion of Crosswalk Analysis
A. Crosswalk Background
The energy conservation standards proposed in this document were
developed in response to updates to the relevant industry test standard
(i.e., AHRI 210/240-2023), as well as updates to the minimum efficiency
levels specified in ASHRAE 90.1-2019. As stated in section II.A, DOE
must consider amending the energy efficiency standards for certain
types of commercial and industrial equipment, including the equipment
at issue in this document, whenever ASHRAE amends the standard levels
or design requirements prescribed in ASHRAE Standard 90.1, and at a
minimum, every 6 years. (42 U.S.C. 6313(a)(6)(A)-(C)) EPCA also
prohibits DOE from prescribing any amended standard that either
increases the maximum allowable energy use or decreases the minimum
required energy efficiency of a covered product. (42 U.S.C.
6313(a)(6)(B)(iii)(I)); commonly referred to as EPCA's ``anti-
backsliding provision'') DOE conducted separate crosswalk analyses for
each equipment class to ensure that EPCA's anti-backsliding provision
would not be violated if DOE were to adopt the standards proposed in
this NOPR.
As described in the following sections, DOE presented a preliminary
crosswalk in the September 2020 NODA/RFI for three-phase, less than
65,000 Btu/h ACUACs and ACUHPs that qualitatively evaluated whether the
levels presented in ASHRAE 90.1-2019 were of higher, lower, or
equivalent stringency to the existing Federal standard levels. 85 FR
60642, 60662-60663 (Sept. 25, 2020). The September 2020 NODA/RFI did
not consider standards for three-phase, less than 65,000 Btu/h VRF and
therefore did not conduct a crosswalk translation for such equipment.
In the September 2020 NODA/RFI, DOE accounted for the changes in the
updated industry test standard AHRI 210/240-2023. Id. at 85 FR 60663.
Specifically, DOE evaluated the impact to measured efficiency resulting
from increased external static pressure requirements and changes to the
heating load line in AHRI 210/240-2023. Id. at 85 FR 60662. In AHRI
210/240-2023, most equipment classes have increased external static
pressure testing requirements for ducted systems as compared to the
current Federal test procedures. As a result, most classes of three-
phase, less than 65,000 Btu/h equipment consume more power under the
updated test procedure and thus have lower numerical values of SEER2
and HSPF2 when translated from a given SEER or HSPF rating,
respectively. Id. AHRI 210/240-2023 also includes changes to the
heating load line calculations. Specifically, AHRI 210/240-2023
includes different slope factors for the heating load line, which
results in higher calculated heating demand for most systems. The
increased heating demand has an overall impact of decreased numerical
values for HSPF2 as compared to HSPF. Id.
On January 6, 2017, DOE published a direct final rule concerning
energy conservation standards for residential central air conditioners
and heat pumps (``CACs and HPs'') (``January 2017 CAC/HP ECS DFR''). 82
FR 1786. The January 2017 CAC/HP ECS DFR established crosswalk
translations for CACs and HPs from SEER and HSPF (measured per 10 CFR
part 430, subpart B, appendix M (``Appendix M'')) to SEER2 and HSPF2
(measured per 10 CFR part 430, subpart B, appendix M1 (``Appendix
M1'')). Specifically, in the January 2017 CAC/HP ECS DFR DOE
established multiple SEER-to-SEER2 translations that were unique to the
test conditions for each product class. Id. at 82 FR 1849. In the
January 2017 CAC/HP ECS DFR, DOE also established an HSPF-to-HSPF2
translation and concluded that the 15 percent reduction from HSPF to
HSPF2 that was observed in an earlier rule for split-system and single-
package heat pumps was appropriate also for S-C and SDHV heat pumps.
Id. at 82 FR 1850.
As described in the September 2020 NODA/RFI, AHRI 210/240-2023
aligns test methods and ratings to be consistent with DOE's test
procedure for single-phase central air conditioners at appendix M1. 85
FR 60642, 60647 (Sept. 25, 2020). Given that three-phase equipment are
generally identical to their single-phase counterparts, aside for
three-phase power input, DOE presented a preliminary metric translation
for three-phase, less than 65,000 Btu/h ACUACs and ACUHPs based on the
metric translation used for single-phase CAC/HPs presented in the
January 2017 CAC/HP ECS DFR in the September 2020 NODA/RFI. Id. at 85
FR 60662. For three-phase equipment classes with Federal standards
matching SEER and HPSF standards in Table V-29 of the January 2017 CAC/
HP ECS DFR, DOE used the corresponding SEER2 and HSPF2 value from Table
V-30 of the January 2017 CAC/HP ECS DFR. For three-phase equipment
classes that did not having matching SEER and/or HSPF values in Table
V-29 of the January 2017 CAC/HP ECS DFR, DOE evaluated the stringency
of the ASHRAE 90.1-2019 SEER2 and HSPF2 levels relative to the Federal
SEER and HSPF standards by qualitatively assessing how the testing
method changes made for single phase switching from SEER/HSPF to SEER2/
HSPF2 would impact three-phase equipment. See id. at 85 FR 60662-60663.
DOE received multiple comments in response to this preliminary
crosswalk analysis in the September 2020 NODA/RFI. AHRI, Carrier,
Goodman, and the Joint Advocates all commented in support of DOE's
crosswalk methodology. (AHRI, No. 2 at p. 5; Carrier, No. 3 at p. 2;
Goodman, No. 7 at p. 2; Joint Advocates, No. 6 at p. 2)
[[Page 18297]]
Goodman commented further that all efficiency levels in ASHRAE 90.1-
2019, effective January 1, 2023, are greater than or equal to the
current Federal standards. (Goodman, No. 7 at p. 2) In response to
comments received from stakeholders, DOE is evaluating its preliminary
crosswalk analysis and is proposing an additional crosswalk analysis
for three-phase, less than 65,000 Btu/h VRF in this document.
B. Crosswalk Methodology
1. Three-Phase, Less Than 65,000 Btu/h, Single-Package and Split-System
ACUACs and ACUHPs
Because three-phase, less than 65,000 Btu/h single-package air
conditioners and heat pumps have directly comparable single-phase
product classes, DOE was able to utilize the same crosswalk as
described in the January 2017 CAC/HP ECS DFR when evaluating the
relative stringency of ASHRAE 90.1-2019 levels. See 82 FR 1786, 1848-
1851 (Jan. 6, 2017). In the September 2020 NODA/RFI, DOE determined
that the ASHRAE 90.1-2019 efficiency standards are equivalent to the
translated Federal efficiency standards for single-package ACUACs and
ACUHPs. 85 FR 60642, 60662-60663 (Sept. 25, 2020). However, for three-
phase, split-system, less than 65,000 Btu/h ACUACs and ACUHPs, DOE's
preliminary crosswalk analysis determined that the levels in ASHRAE
90.1-2019 are more stringent than current Federal standards, which
triggered DOE's review of the standard levels for three-phase, split-
system equipment. Id.
In response to the proposed crosswalk in the September 2020 NODA/
RFI, Goodman requested that DOE provide specific crosswalk values for
the equipment classes where DOE determined that the post-2023 levels in
ASHRAE 90.1-2019 are more stringent than the current Federal standards
(i.e., the two classes of three-phase, split-system, less than 65,000
Btu/h ACUACs and ACUHPs). (Goodman, No. 7 at p. 2) Specifically,
Goodman requested that DOE provide specific crosswalked values for the
translation from 13 SEER to SEER2 and from 8.2 HSPF to HSPF2. (Id.)
Goodman asserted that these values would be useful to help eliminate
potential market confusion in the years 2023-2024, where some products
on the market may be rated to SEER/HSPF (in compliance with current
Federal standards) while other products would simultaneously be rated
early to SEER2/HSPF2. (Id.)
As discussed, DOE conducted the crosswalk to evaluate the relative
stringency of ASHRAE 90.1-2019 levels as compared to the existing
Federal standards to ensure that backsliding would not result were the
ASHRAE 90.1 levels adopted. Based on the crosswalk, DOE finds that it
is unnecessary to provide specific crosswalk values for the two
equipment classes of three-phase, split-system, less than 65,000 Btu/h
ACUACs and ACUHPs for which ASHRAE 90.1-2019 increased stringency as
compared to the current Federal standards.
2. Three-Phase, Less Than 65,000 Btu/h, Space-Constrained and Small-
Duct, High-Velocity ACUACs and ACUHPs
In its preliminary crosswalk analysis in the September 2020 NODA/
RFI, DOE determined that the post-2023 standards levels for S-C and
SDHV equipment found in ASHRAE 90.1-2019 are less stringent than the
current Federal standards for the following six equipment classes: (1)
S-C, split-system ACUAC; (2) S-C, split-system ACUHP; (3) S-C, single-
package ACUAC; (4) S-C, single-package ACUHP; (5) SDHV split-system
ACUAC; and (6) SDHV split-system ACUHP. DOE's preliminary crosswalk
showed that the crosswalked Federal standard levels for these equipment
classes are qualitatively higher than the SEER2 and/or HSPF2 levels
found in ASHRAE 90.1-2019, however DOE did not determine specific
values for an appropriate crosswalk. In the September 2020 NODA/RFI,
DOE noted that although the post-2023 values for S-C and SDHV equipment
are less stringent than current Federal standards, it still intended to
consider these ASHRAE classes separately in this rulemaking as part of
the six-year-lookback review. 85 FR 60642, 60663 (Sept. 25, 2020).
In response to the September 2020 NODA/RFI, AHRI commented that it
disagreed with DOE's preliminary determination that it could not adopt
the ASHRAE 90.1-2019 standard levels for S-C ACUACs and ACUHPs and SDHV
ACUACs and ACUHPs that are aligned with their single-phase
counterparts. AHRI contended that these products could not meet the
general levels established for three-phase equipment and urged DOE to
set levels for three-phase S-C and SDHV equipment at the levels
prescribed by ASHRAE 90.1-2019, which are harmonized with the single-
phase equivalents for those products. AHRI further stated that it is
not aware of any three-phase S-C or SDHV products on the market and
speculated that S-C products are unlikely to exist because the
equipment class is limited to products having capacity less than 30,000
Btu/h. (AHRI, No. 2 at p. 5)
In a NOPR published on January 8, 2015, which covered energy
conservation standards for commercial HVAC equipment, including three-
phase, less than 65,000 Btu/h air conditioners and heat pumps
(``January 2015 ASHRAE 90.1 NOPR''), DOE stated that EPCA does not
separate these six additional equipment classes from other types of
small commercial package air conditioning and heating equipment in its
definitions, and, therefore, EPCA's definition of ``small commercial
package air conditioning and heating equipment'' includes SDHV and S-C
air conditioners and heat pumps. 80 FR 1172, 1184. DOE reiterated this
position in the September 2020 NODA/RFI. 85 FR 60642, 60662 (Sept. 25,
2020). EPCA generally directs DOE to establish amended uniform national
standards for three-phase, less than 65,000 Btu/h ACUACs and ACUHPs at
the minimum levels specified in ASHRAE Standard 90.1. (43 U.S.C.
6313(a)(6)(A)(ii)(I)) As DOE has previously stated, when considering
the ASHRAE trigger, DOE evaluates ASHRAE amendments at the class level.
Because the six equipment classes of three-phase S-C and SDHV equipment
prescribed in ASHRAE 90.1-2019 are covered as small commercial package
air conditioning and heating equipment, DOE cannot propose standard
levels that are any lower than the current Federal standards. However,
to distinguish S-C and SDHV equipment from the three-phase, split-
system, less than 65,000 Btu/h ACUACs and ACUHPs equipment for which
DOE was triggered by more stringent levels in ASHRAE 90.1-2019, DOE
proposes to establish six separate equipment classes of three-phase S-C
and SDHV equipment with separate standard levels. Consistent with EPCA,
the levels that DOE is proposing for these S-C and SDHV equipment
classes maintain equivalent stringency to the current applicable
Federal standards, and are therefore more stringent than the
corresponding levels set forth in ASHRAE 90.1-2019.
In this document, DOE proposes to extend its preliminary crosswalk
analysis for these types of equipment (the September 2020 NODA/RFI
presented a qualitative discussion of relative stringency) and propose
specific efficiency levels in terms of SEER2 and HSPF2 that are
crosswalked from the existing Federal standards for small commercial
package air conditioning and heating equipment. DOE developed a
crosswalk for S-C, split-system, and single-package ACUACs and ACUHPs
and SDHV ACUACs and ACUHPs by
[[Page 18298]]
applying similar translations as observed in the January 2017 CAC/HP
ECS DFR for single-phase S-C and SDHV equipment to the existing Federal
standards for small commercial package air conditioners and heat pumps.
a. Space-Constrained Equipment
Single-phase S-C air conditioners, which are not further separated
into split-systems and single-package systems, have a DOE minimum SEER
of 12 that was translated to 11.7 SEER2. 82 FR 1786, 1848-1849 (Jan. 6,
2017). Single-phase S-C heat pumps also have a minimum SEER of 12, but
the January 2017 CAC/HP ECS DFR established a different translated
SEER2 of 11.9. Id. This difference in the SEER2 requirement between S-C
air conditioners and S-C heat pumps is due to differences in the
requirements for determination of represented values codified at Table
1 to paragraph (a)(1) of 10 CFR 429.16. In a December 9, 2021, NOPR to
amend the test procedure for three-phase ACUACs and ACUHPs with cooling
capacity of less than 65,000 Btu/h and three-phase VRF with cooling
capacity of less than 65,000 Btu/h (``December 2021 Three-Phase TP
NOPR''), DOE proposed to align the representation requirements for
three-phase, less than 65,000 Btu/h equipment with the representation
requirements for single-phase CACs and HPs. 86 FR 70316, 70326-70327.
Accordingly, DOE is proposing in this document to utilize the same
cooling-metric translations for three-phase, space-constrained
equipment as the translations present for single-phase, space-
constrained equipment (i.e., applying a 0.3 point SEER2 decrement for
space-constrained air conditioners and a 0.1 point SEER2 decrement for
space-constrained heat pumps). DOE notes that split-system S-C ACUACs
are currently covered under the Federal standard of 13.0 SEER for
three-phase, split-system, less than 65,000 Btu/h ACUACs, whereas S-C
split-system ACUHPs and S-C single-packaged ACUACs and ACUHPs are each
covered under corresponding DOE equipment classes with a standard of 14
SEER.\5\
---------------------------------------------------------------------------
\5\ See table in paragraph (c)(1) of 10 CFR 430.32 for current
standards.
---------------------------------------------------------------------------
With regards to the translation from HSPF to HSPF2 for S-C ACUACs
and ACUHPs, DOE is proposing to use the same 15 percent reduction from
the January 2017 CAC/HP ECS DFR when translating from HSPF to HSPF2 at
an equivalent stringency. Because the changes to the heating load line
between AHRI 210/240-2008 and AHRI 210/240-2023 are equivalent to the
changes in the heating load line between appendix M and appendix M1,
DOE has tentatively concluded that utilizing the same HSPF2 translation
from single-phase CACs and HPs is appropriate for S-C ACUACs and
ACUHPs.
b. Small-Duct, High-Velocity Equipment
For single-phase SDHV CACs and HPs, there is no increase in
external static pressure requirements in appendix M1 as compared to
appendix M. Consequently, in the January 2017 CAC/HP ECS DFR, there was
no decrease in numerical value when translating standards from SEER to
SEER2. 82 FR 1786, 1848-1849 (Jan. 6, 2017). Given that the test
procedures for three-phase, less than 65,000 Btu/h ACUACs and ACUHPs
are aligned with the test procedures for single-phase CACs and HPs,
there are also no increases in external static pressure requirements
for SDHV ACUACs and ACUHPs in AHRI 210/240-2023. Therefore, DOE is
proposing no decrement when translating from SEER to SEER2 for SDHV
ACUACs and ACUHPs.
For the heating mode for SDHV ACUHPs, DOE is proposing to use the
same 15 percent reduction from the January 2017 CAC/HP ECS DFR when
translating from HSPF to HSPF2. Id. at 82 FR 1850. Because the changes
to the heating load line between AHRI 210/240-2008 and AHRI 210/240-
2023 are equivalent to the changes in the heating load line between
appendix M and appendix M1, DOE has tentatively concluded that
utilizing the same HSPF2 translation from single-phase CACs and HPs is
appropriate for SDHV ACUACs and ACUHPs.
3. Three-Phase, Less Than 65,000 Btu/h VRF
The current DOE test procedure for VRF multi-split systems
(including three-phase, less than 65,000 Btu/h VRF) references AHRI
1230-2010 with addendum 1. For three-phase, less than 65,000 Btu/h VRF,
AHRI 1230-2010 is used to calculate cooling and heating efficiency in
terms of the SEER and HSPF metrics, respectively. In May 2021, AHRI
published AHRI 1230-2021, which excludes from its scope three-phase,
less than 65,000 Btu/h VRF. Accordingly, in the December 2021 Three-
Phase TP NOPR, DOE proposed to remove its reference to AHRI 1230-2010
and instead to reference AHRI 210/240-2023 in the test procedure for
three-phase, less than 65,000 Btu/h VRF. 86 FR 70316, 70321-70322 (Dec.
9, 2021). In that proposed rule, DOE noted that AHRI 210/240-2023
includes in its scope three-phase, less than 65,000 Btu/h VRF systems
and harmonizes with the updated Federal test method for single-phase
central air conditioners and central air conditioning heat pumps with
rated cooling capacities of less than 65,000 Btu/h (i.e., appendix M1,
effective January 1, 2023), which includes single-phase, air-cooled,
VRF systems with a cooling capacity of less than 65,000 Btu/h. Id. at
85 FR 70322. Like appendix M1, AHRI 210/240-2023 is used to calculate
cooling and heating efficiency in terms of updated metrics, SEER2 and
HSPF2, respectively. As discussed in section II.B.2, ASHRAE 90.1-2019
established SEER2 and HSPF2 levels for three-phase, less than 65,000
Btu/h CUACs and CUHPs (some with increased stringency over current DOE
levels) but did not consider new metrics or an increase in stringency
for three-phase, less than 65,000 Btu/h VRF. Accordingly, DOE is
proposing in this document to update its efficiency metrics for three-
phase, less than 65,000 Btu/h VRF from SEER and HSPF measured per AHRI
1230-2010 to SEER2 and HSPF2 measured per AHRI 210/240-2023.
To translate the existing SEER and HSPF levels to SEER2 and HSPF2
levels with equivalent stringency, DOE conducted a crosswalk analysis.
As described in section III.B, there are several classes of three-
phase, less than 65,000 Btu/h CUACs and CUHPs for which DOE was able to
apply identical crosswalk methodologies as were used for corresponding
product classes of single-phase residential CACs and HPs in the January
2017 CAC/HP ECS DFR. However, there are not separate product classes
for single-phase, residential, multi-split CACs and HPs (the consumer
products that correspond to three-phase, less than 65,000 Btu/h VRF).
Therefore, DOE could not rely on existing analysis specific to multi-
split systems from the January 2017 CAC/HP ECS DFR and instead
conducted an analytical crosswalk by evaluating changes in the test
procedure between AHRI 1230-2010 and AHRI 210/240-2023. Additionally,
DOE is not aware of any models of three-phase, less than 65,000 Btu/h
VRF currently on the market.
When deciding how to translate SEER to SEER2 for three-phase, less
than 65,000 Btu/h VRF, DOE considered the external static pressure
testing requirements in AHRI 1230-2010 and AHRI 210/240-2023. While DOE
is not aware of the existence of any models of three-phase, less than
65,000 Btu/h VRF, the Department expects that, should they exist, the
most common configuration would likely be non-ducted indoor units,
similar to other categories of VRF systems (e.g., single-
[[Page 18299]]
phase, residential, multi-split CACs and HPs). Because both AHRI 1230-
2010 and AHRI 210/240-2023 require testing at zero external static
pressure (``ESP'') for non-ducted indoor units, there would be no
change in the numerical value translating from SEER to SEER2 for
systems comprising of non-ducted indoor units. For systems rated with
ducted indoor units, AHRI 1230-2010 specifies ESP requirements that
vary with indoor unit cooling capacity (varying between 0.1 to 0.2 in
H2O), while AHRI 210/240-2023 specifies ESP requirements of
0.1 in H2O for low-static indoor units and 0.3 in
H2O for mid-static indoor units. Therefore, the ESP
requirements would only result in different ratings for certain
combinations of ducted indoor units. For example, DOE expects a typical
configuration would be low-static indoor units with per-indoor-unit
cooling capacity less than 28,800 Btu/h (given an overall system
capacity less than 65,000 Btu/h)--in which case both test procedures
require testing at 0.1 in H2O. Consequently, DOE has
tentatively determined that for a significant majority of three-phase,
less than 65,000 Btu/h VRF systems (should they exist in the future),
there would be no change in the required external static pressure when
testing to the updated industry test procedure AHRI 210/240-2023.
Therefore, DOE is not proposing a change in the numerical value of
SEER2 standards crosswalked from existing SEER standards.
With regards to the translation from HSPF to HSPF2 for three-phase,
less than 65,000 Btu/h VRF, DOE is proposing to use the same 15 percent
reduction from the January 2017 CAC/HP ECS DFR when translating from
HSPF to HSPF2 at an equivalent stringency. Because the changes to the
heating load line between AHRI 1230-2010 and AHRI 210/240-2023 are
equivalent to the changes in the heating load line between appendix M
and appendix M1, DOE has tentatively concluded that utilizing the same
HSPF2 translation from single-phase CACs and HPs is appropriate for
three-phase, less than 65,000 Btu/h VRF.
C. Crosswalk Results
DOE conducted the crosswalk discussed in section III.B of this
document to translate the current Federal standards to the SEER2 and
HSPF2 metrics and determine whether the levels specified in ASHRAE
90.1-2019 represent more, less, or equivalent stringency as compared to
the current Federal standards. DOE's crosswalk results for three-phase,
less than 65,000 Btu/h ACUACs and ACUHPs and for three-phase, less than
65,000 Btu/h VRF are presented in Table III-1
Table III--1 Crosswalk Results for Air-Cooled, Three-Phase, Less Than 65,000 Btu/h ACUAC, ACUHP, and VRF Equipment
--------------------------------------------------------------------------------------------------------------------------------------------------------
Federal energy Energy efficiency Comparison of ASHRAE
ASHRAE 90.1-2019 equipment class Current federal conservation Crosswalk of current levels in ASHRAE 90.1- 90.1-2019 to
equipment class standard(s) federal standard(s) 2019 crosswalk \1\
--------------------------------------------------------------------------------------------------------------------------------------------------------
Air-cooled Air Conditioner, Three- Air-cooled Air 14.0 SEER............. 13.4 SEER2........... 14.0 SEER before 1/1/ Equivalent.
Phase, Single-Package, <65,000 Btu/ Conditioner, Three- 2023.
h. Phase, Single- 13.4 SEER2 on and
Package, <65,000 Btu/ after 1/1/2023.
h.
Air-cooled Air Conditioner, Three- Air-cooled Air 13.0 SEER............. <13.0 SEER2 \2\...... 13.0 SEER before 1/1/ More Stringent.
Phase, Split-System, <65,000 Btu/h. Conditioner, Three- 2023.
Phase, Split-System, 13.4 SEER2 on and
<65,000 Btu/h. after 1/1/2023.
Air-cooled Heat Pump, Three-Phase, Air-cooled Heat Pump, 14.0 SEER............. 13.4 SEER2........... 14.0 SEER/8.0 HSPF Equivalent.
Single-Package, <65,000 Btu/h. Three-Phase, Single- 8.0 HSPF.............. 6.7 HSPF2............ before 1/1/2023.
Package, <65,000 Btu/ 13.4 SEER2/6.7 HSPF
h. on and after 1/1/
2023.
Air-cooled Heat Pump, Three-Phase, Air-cooled Heat Pump, 14.0 SEER............. 13.4 SEER2........... 14.0 SEER/8.2 HSPF More Stringent.
Split-System, <65,000 Btu/h. Three-Phase, Split- 8.2 HSPF.............. <7.5 HSPF2 \3\....... before 1/1/2023.
System, <65,000 Btu/h. 14.3 SEER2/7.5 HSPF2
on and after 1/1/
2023.
Space-Constrained, Air-cooled Air Air-cooled Air 14.0 SEER............. 13.9 SEER2........... 12.0 SEER before 1/1/ Less Stringent.\3\
Conditioner, Three-Phase, Single- Conditioner, Three- 2023.
Package, <=30,000 Btu/h. Phase, Single- 11.7 SEER2 on and
Package, <65,000 Btu/ after 1/1/2023.
h.
Space-Constrained, Air-cooled Air Air-cooled Air 13.0 SEER............. 12.7 SEER2........... 12.0 SEER before 1/1/ Less Stringent.\3\
Conditioner, Three-Phase, Split- Conditioner, Three- 2023.
System, <=30,000 Btu/h. Phase, Split-System, 11.7 SEER2 on and
<65,000 Btu/h. after 1/1/2023.
Space-Constrained, Air-Cooled Heat Air-cooled Heat Pump, 14.0 SEER............. 13.9 SEER2........... 12.0 SEER/7.4 HSPF Less Stringent.\3\
Pump, Three-Phase, Single-Package, Three-Phase, Single- 8.0 HSPF.............. 6.7 HSPF2............ before 1/1/2023.
<=30,000 Btu/h. Package, <65,000 Btu/ 11.7 SEER2/6.3 HSPF2
h. on and after 1/1/
2023.
Space-Constrained, Air-cooled Heat Air-cooled Heat Pump, 14.0 SEER............. 13.9 SEER2........... 12.0 SEER/7.4 HSPF Less Stringent.\3\
Pump, Three-Phase, Split-System, three-phase, Split- 8.2 HSPF.............. 7.0 HSPF2............ before 1/1/2023.
<=30,000 Btu/h. System, <65,000 Btu/h. 11.7 SEER2/6.3 HSPF2
on and after 1/1/
2023.
Small Duct High Velocity, Air- Air-cooled Air 13.0 SEER............. 13.0 SEER2........... 12.0 SEER before 1/1/ Less Stringent.\3\
cooled Air Conditioner, Three- Conditioner, Three- 2023.
Phase, Split-System, <65,000 Btu/h. Phase, Split-System, 12.0 SEER2 on and
<65,000 Btu/h. after 1/1/2023.
Small Duct, High Velocity, Air- Air-cooled Heat Pump, 14.0 SEER............. 14.0 SEER2........... 12.0 SEER/7.2 HSPF Less Stringent.\3\
cooled Heat Pump, Three-Phase, Three-Phase, Split- 8.2 HSPF.............. 6.9 HSPF2............ before 1/1/2023.
Split-System, <65,000 Btu/h. Package, <65,000 Btu/ 12.0 SEER2/6.1 HSPF2
h. on and after 1/1/
2023.
VRF, Air-Cooled, Air Conditioner... Air-cooled VRF Multi- 13.0 SEER............. 12.9 SEER2........... 13.0 SEER............ Equivalent.\4\
Split Air
Conditioners, <
65,000 Btu/h.
VRF, Air-Cooled, Heat Pump......... Air-cooled VRF Multi- 13.0 SEER............. 12.9 SEER2........... 13.0 SEER............ Equivalent.\4\
Split Heat Pumps, < 7.7 HSPF.............. 6.5 HSPF2............ 7.7 HSPF.............
65,000 Btu/h.
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Column indicates whether the ASHRAE 90.1-2019 levels, beginning on January 1, 2023, are less stringent, equivalent to, or more stringent than the
crosswalked Federal standards.
\2\ The Federal SEER standard is lower than the ASHRAE 90.1-2019 SEER2 level indicating that the crosswalked Federal SEER2 standard will also be lower
than the ASHRAE 90.1-2019 SEER2 level.
\3\ For S-C and SDHV equipment, the ASHRAE 90.1 levels are less stringent than the crosswalked Federal efficiency levels because these classes are split
off from split-system and single-package, respectively.
[[Page 18300]]
\4\ As discussed in section III.B.3, ASHRAE 90.1-2019 did not establish SEER2/HSPF2 levels for three-phase, less than 65,000 Btu/h VRF equipment. DOE's
crosswalk values represent an equivalent-stringency translation.
Issue 1: DOE requests comment on the crosswalk methodology
described in section III.B of this proposed rule and the crosswalk
results in Table III-1 for three-phase, less than 65,000 Btu/h ACUACs
and ACUHPs and three-phase, less than 65,000 Btu/h VRF.
IV. Estimates of Potential Energy Savings
As required under 42 U.S.C. 6313(a)(6)(A)(i), for three-phase, less
than 65,000 Btu/h CUAC equipment classes for which ASHRAE 90.1-2019 set
more stringent levels than the current Federal standards, DOE performed
an assessment to determine the energy-savings potential of amending
Federal standard levels to reflect the efficiency levels specified in
ASHRAE 90.1-2019. The two equipment classes analyzed in the September
2020 NODA/RFI were air-cooled, three-phase, split-system, less than
65,000 Btu/h air conditioners and air-cooled, three-phase, split-
system, less than 65,000 Btu/h heat pumps. In the September 2020 NODA/
RFI, DOE presented the methodology to determine energy savings along
with the findings of the energy savings potential for the two equipment
classes and sought comment on the analysis. 85 FR 60642, 60666-60673
(Sep. 25, 2020).
In response to the September 2020 NODA/RFI, AHRI and Carrier
supported DOE's approach to develop unit energy consumption, shipments,
and the no-new standards efficiency distributions that were used to
estimate the energy savings potential of air-cooled, three-phase,
split-system air conditioners and heat pumps less than 65,000 Btu/h.
(AHRI, No. 2, at pp. 5-6; Carrier, No. 3 at pp. 2-3) However, AHRI,
Carrier, and Goodman all disagreed with DOE's approach to equipment
lifetime. (AHRI, No. 2, at p. 6; Carrier, No. 3 at p. 3; Goodman, No. 7
at p. 2) AHRI stated that DOE should use the average lifetime of 18.4
years for central air conditioners and 15.2 years for heat pumps stated
in the January 2016 Final Rule for small, large, and very large
commercial package air conditioning and heating equipment. (AHRI, No. 2
at p. 6) Carrier stated that the lifetime is overestimated and
suggested a range of 10 to 15 years (Carrier, No. 3 at p. 3) Goodman
suggested using a lifetime that is lower than the single-phase
lifetime, such as 15 years, because three-phase products are typically
installed in commercial applications and thus operate more hours per
year and at more extreme conditions, resulting in a shorter lifetime.
(Goodman, No. 7 at p. 2)
In its analysis for this NOPR, DOE did not make any changes to the
inputs into the energy savings analysis that was presented in the
September 2020 NODA/RFI, including the average lifetimes of 19 years
for air conditioners and 16.2 years for heat pumps. First, DOE notes
that the average lifetimes cited by AHRI are from the September 30,
2014 NOPR and not the January 15, 2016 final rule. See 79 FR 58948,
58981 (Sept. 30, 2014). In the January 15, 2016 final rule, DOE updated
the lifetimes based on new shipment data. The average lifetimes for
small commercial package air conditioning equipment used in the January
15, 2016 final rule was 21.1 years. 81 FR 2479, 2481 (January 15,
2016). As the commenters provided a range of lifetimes, DOE chose to
maintain the average lifetimes used in the September 2020 NODA/RFI. DOE
estimated the potential site, primary, and full-fuel-cycle (FFC) energy
savings in quads (i.e., 10\15\ Btu) for adopting ASHRAE 90.1-2019 for
the two equipment classes analyzed. The potential energy savings of
adopting ASHRAE 90.1-2019 levels are measured relative to the current
Federal standards. Table IV-1 displays the energy savings at the ASHRAE
level for air-cooled, three-phase, split-system air conditioners less
than 65,000 Btu/h and air-cooled, three-phase, split-system heat pumps
less than 65,000 Btu/h. The values in the table below are identical to
the values presented in the September 2020 NODA/RFI. 85 FR 60642, 60673
(Sept. 25, 2020)
Table IV-1--Potential Energy Savings for Air-Cooled, Three-Phase, Split-System, Less Than 65,000 Btu/h Air
Conditioners and Heat Pumps
----------------------------------------------------------------------------------------------------------------
Split-system, air conditioner Split system, heat pump
-----------------------------------------------------------------------------
ASHRAE efficiency ASHRAE efficiency
level quads level quads
----------------------------------------------------------------------------------------------------------------
Site Energy Savings Estimate
----------------------------------------------------------------------------------------------------------------
Level 0--ASHRAE................... 13.4 SEER2........... 0.0007 14.3 SEER2........... 0.0017
7.5 HSPF2............
----------------------------------------------------------------------------------------------------------------
Primary Energy Savings Estimate
----------------------------------------------------------------------------------------------------------------
Level 0--ASHRAE................... 13.4 SEER2........... 0.0017 14.3 SEER2........... 0.0044
7.5 HSPF2............
----------------------------------------------------------------------------------------------------------------
FFC Energy Savings Estimate
----------------------------------------------------------------------------------------------------------------
Level 0--ASHRAE................... 13.4 SEER2........... 0.0018 14.3 SEER2........... 0.0047
7.5 HSPF2............
----------------------------------------------------------------------------------------------------------------
The significance of energy savings offered by a new or amended
energy conservation standard cannot be determined without knowledge of
the specific circumstances surrounding a given rulemaking. 86 FR 70892,
70901 (Dec. 13, 2021) For example, the United States rejoined the Paris
Agreement on February 19, 2021. As part of that agreement, the United
States has committed to reducing GHG emissions in order to limit the
rise in mean global temperature. As such, energy savings that reduce
GHG emissions have taken on greater importance. Additionally, some
covered products and equipment have most of their energy consumption
occur during periods of peak energy demand. The impacts of these
products on the energy infrastructure can be more pronounced than
products with
[[Page 18301]]
relatively constant demand. In evaluating the significance of energy
savings, DOE considers differences in primary energy and FFC effects
for different covered products and equipment when determining whether
energy savings are significant. Primary energy and FFC effects include
the energy consumed in electricity production (depending on load
shape), in distribution and transmission, and in extracting,
processing, and transporting primary fuels (i.e., coal, natural gas,
petroleum fuels), and thus present a more complete picture of the
impacts of energy conservation standards.
DOE conducted an analysis of the emissions reductions at the ASHRAE
efficiency level for air-cooled, three-phase, split-system, less than
65,000 Btu/h air conditioners and air-cooled, three-phase, split-
system, less than 65,000 Btu/h heat pumps. This emissions analysis
consists of two components. The first component estimates the effect of
potential energy conservation standards on power sector combustion
emissions of CO2, NOX, SO2, and Hg.
The second component estimates the impacts of potential standards on
emissions of two additional greenhouse gases, CH4 and
N2O, as well as the reductions to emissions of other gases
due to ``upstream'' activities in the fuel production chain. These
upstream activities comprise extraction, processing, and transporting
fuels to the site of combustion. Table IV-2 displays the emissions
reductions estimates for the power sector, the upstream sector, and the
full-fuel-cycle.
Table IV-2--Potential Emissions Savings for Air-Cooled, Three-Phase,
Split-System, Less Than
65,000 Btu/h Air Conditioners and Heat Pumps
------------------------------------------------------------------------
Split system, air Split system, heat
conditioner pump
---------------------------------------
ASHRAE efficiency ASHRAE efficiency
level level
------------------------------------------------------------------------
Power Sector Emissions:
CO2 (million metric tons)... 0.1 0.2
CH4 (thousand tons)......... 0.0 0.0
N2O (thousand tons)......... 0.0 0.0
SO2 (thousand tons)......... 0.0 0.1
NOX (thousand tons)......... 0.0 0.1
Hg (tons)................... 0.0 0.0
Upstream Emissions:
CO2 (million metric tons)... 0.0 0.0
CH4 (thousand tons)......... 0.5 1.2
N2O (thousand tons)......... 0.0 0.0
SO2 (thousand tons)......... 0.0 0.0
NOX (thousand tons)......... 0.1 0.2
Hg (tons)................... 0.0 0.0
Total FFC Emissions:
CO2 (million metric tons)... 0.1 0.2
CH4 (thousand tons)......... 0.5 1.2
N2O (thousand tons)......... 0.0 0.0
SO2 (thousand tons)......... 0.0 0.1
NOX (thousand tons)......... 0.1 0.3
Hg (tons)................... 0.0 0.0
------------------------------------------------------------------------
V. Conclusions
A. Consideration of More Stringent Efficiency Levels for Split Systems
As discussed, ASHRAE 90.1-2019 includes efficiency levels more
stringent than the current Federal standards for three-phase, split-
system, less than 65,000 Btu/h ACUACs and ACUHPs. When triggered by an
update to ASHRAE Standard 90.1, EPCA requires DOE to establish an
amended uniform national standard for equipment classes at the minimum
level specified in the amended ASHRAE Standard 90.1 unless DOE
determines, by rule published in the Federal Register, and supported by
clear and convincing evidence, that adoption of a uniform national
standard more stringent than the amended ASHRAE Standard 90.1 for the
equipment class would result in significant additional conservation of
energy and is technologically feasible and economically justified. (42
U.S.C. 6313(a)(6)(A)(ii)(I)-(II)). As noted previously, clear and
convincing evidence is a heightened standard, and would only be met
where the Secretary has an abiding conviction, based on available
facts, data, and DOE's own analyses, that it is highly probable an
amended standard would result in a significant additional amount of
energy savings, and is technologically feasible and economically
justified. See American Public Gas Association v. U.S. Dep't of Energy,
No. 20-1068, 2022 WL 151923, at *4 (D.C. Cir. January 18, 2022) (citing
Colorado v. New Mexico, 467 U.S. 310, 316, 104 S.Ct. 2433, 81 L.Ed.2d
247 (1984)).
In the September 2020 NODA/RFI, DOE did not consider more stringent
efficiency levels, as this would require DOE to crosswalk the entire
market for this equipment. 85 FR 60642, 60674 (Sept. 25, 2020) The
amended levels in ASHRAE 90.1-2019 rely on updated metrics (SEER2 and
HSPF2), which are not applicable until 2023. Furthermore, the single-
phase market, which is nearly identical to three-phase equipment, will
not begin to use SEER2 and HSPF2 until 2023. Single-phase and three-
phase models generally are manufactured on the same production lines
and are physically identical to their corresponding single-phase
central air conditioner and central air conditioning heat pump models
except the former have three-phase electrical systems and use
components, primarily motors and compressors, that are designed for
three-phase power input. 86 FR 70316, 70322 (Dec. 9, 2021). The amended
levels for three-phase, less than 65,000 Btu/h ACUACs and ACUHPs in
ASHRAE 90.1-2019 are the same efficiency levels that will be required
for single-phase air conditioners and heat pumps in 2023 (See 10 CFR
430.32(c)(5)). Given that the
[[Page 18302]]
amended levels for three-phase, less than 65,000 Btu/h ACUACs and
ACUHPs and for three-phase, less than 65,000 Btu/h VRF, or those for
single-phase air conditioners and heat pumps, will not be effective
until January 1, 2023 at the earliest, manufacturers have not yet made
representations using the updated metrics. 85 FR 60642, 60674 (Sept.
25, 2020). As a result, there are currently no public databases with
ratings in terms of the updated metrics.
EPCA states that in order for DOE to adopt a standard more
stringent than an amended ASHRAE 90.1 standard, DOE must support its
decision with clear and convincing evidence. In the September 2020
NODA/RFI, DOE tentatively determined that the lack of market data for
the amended efficiency metric creates substantial doubt in any analysis
of energy savings that would result from efficiency levels more
stringent than those in ASHRAE 90.1-2019 given the 2023 compliance
date. 85 FR 60642, 60674 (Sept. 25, 2020) Therefore, DOE did not
conduct any analysis of energy savings from more stringent standards
for the two triggered classes of three-phase, split-system, less than
65,000 Btu/h ACUACs and ACUHPs. DOE requested data and information that
would enable it to determine whether more stringent standards would
result in significant energy savings for the two triggered equipment
classes in the September 2020 NODA/RFI. Id..
In response to the September 2020 NODA/RFI, AHRI and Rheem
commented in support of generally adopting the amended ASHRAE 90.1-2019
standard levels for all classes of three-phase, less than 65,000 Btu/h
ACUACs and ACUHPs as the national standards (AHRI, No. 2 at p. 1;
Rheem, No. 4 at p. 1) However, AHRI stated that it did not have any
data that it could provide to DOE to develop more stringent efficiency
levels and supported harmonization with the ASHRAE 90.1-2019 levels.
(AHRI, No. 2 at p. 6)
Similarly, Carrier commented that it had no data that would suggest
that efficiency levels more stringent than ASHRAE 90.1-2019 would
result in additional energy savings for classes where DOE is triggered.
(Carrier, No. 3 at p. 3)
Conversely, Joint Advocates and CA IOUs encouraged DOE to evaluate
more-stringent standards than the ASHRAE 90.1-2019 levels and said that
they disagreed with DOE's preliminary conclusion in the September 2020
NODA/RFI that the test metric change created uncertainty that would
prevent an adequate evaluation of more stringent standards. (Joint
Advocates, No. 6 at pp. 2, 3-4; CA IOUs, No. 5 at p. 2) These
commenters asserted that only when economic analyses are complete can
the determination be made as to whether the statutory ``clear and
convincing evidence'' requirement has been met. Id. Further, CA IOUs
encouraged DOE to evaluate on a case-by-case basis whether the standard
of ``clear and convincing evidence'' of energy savings has been met for
increasing stringency of standards when there is a metric change. (CA
IOUs, No 5 at 2) CA IOUs presented the concern that if DOE were to
generalize the position taken in the September 2020 NODA/RFI to other
product categories, some members of the ASHRAE 90.1 committee will be
less likely to support updates to the test procedure if they believe
that DOE will use the update as a reason to decline to conduct further
analysis. (Id.)
CA IOUs requested that DOE complete an analysis using information
from the Compliance and Certification Management System (``CCMS'')
database, noting that the maximum SEER rating in the database has
increased since the previous final rule (Id. at pp. 2-3) CA IOUs also
noted that DOE successfully used a crosswalk to compare SEER and SEER2
as well as HSPF and HSPF2 metrics for single-phase products in the
January 2017 CAC/HP ECS DFR. (Id. at p. 3)
Likewise, the Joint Advocates stated that it is not unprecedented
for DOE to adopt amended standards at levels higher than the ASHRAE
Standard 90.1 levels based on a revised metric, referencing a prior
standards rulemaking for ACUACs in which DOE adopted integrated energy
efficiency ratio (``IEER'') standards at levels that were more
stringent than the corresponding ASHRAE 90.1 levels in a 2016 direct
final rule (81 FR 2420 (Jan. 15, 2016)). (Joint Advocates, No. 6 at p.
4)
In response to the comments from Joint Advocates and CA IOUs, DOE
notes that it makes determinations pursuant to the ASHRAE trigger (and
the six-year look back review) by evaluating the information and data
available specific to the equipment under review. In this NOPR, DOE is
not making a general determination on whether the clear and convincing
threshold can be met in instances in which there is a metric change.
The preliminary position taken in the September 2020 NODA/RFI and in
this NOPR on whether the clear and convincing evidence requirement for
showing that more stringent standards would result in significant
additional energy savings is specific to three-phase, less than 65,000
Btu/h ACUACs and ACUHPs. As suggested by CA IOUs, DOE makes this
determination on a case-by-case basis. As to the concern that the
preliminary determination put forward in this NOPR may cause some
members of the ASHRAE Standard 90.1 committee to be less likely to
support updates to industry test procedures, DOE notes that EPCA
requires DOE to review periodically the test procedures for covered
equipment and make amendments to the extent justified. (42 U.S.C.
6314(a)(1))
As discussed in the September 2020 NODA/RFI, an estimation of
energy savings potentials of energy efficiency levels more stringent
than the amended ASHRAE 90.1 levels would require developing efficiency
data for the entire three-phase, less than 65,000 Btu/h ACUACs and
ACUHPs market in terms of the SEER2 and HSPF2 metrics. 85 FR 60642,
60674 (Sept 25, 2020). Because there are minimal market efficiency data
currently available in terms of SEER2 and HSPF2, this would require a
crosswalk analysis much broader than the analysis used to evaluate
ASHRAE 90.1-2019 levels. Id. The crosswalk analysis of ASHRAE 90.1-2019
levels presented in this NOPR required only that DOE translate the
efficiency levels between the metrics at the baseline levels, and not
that DOE translate all efficiency levels currently represented in the
market (i.e., high efficiency levels). To obtain SEER2 and HSPF2 market
data for purposes of analysis of standard levels more stringent than
ASHRAE 90.1-2019, DOE would be required to translate the individual
SEER and HSPF ratings to SEER2 and HSPF2 ratings for all three-phase,
split-system, less than 65,000 Btu/h ACUACs and ACUHPs models certified
in DOE's CCMS Database. As noted in the September 2020 NODA/RFI, there
is the added issue of the new metrics not being applicable until 2023,
which compounds the problem of a lack of market data. Id. The change in
metrics and the future compliance date create uncertainty in the
development of more stringent efficiency levels as well as the market
distribution by efficiency. Id.
Because of the lack of market data and the test metric change, DOE
has tentatively determined that it lacks clear and convincing evidence
that a more stringent standard level would result in significant
additional conservation of energy and is technologically feasible and
economically justified. Therefore, DOE has tentatively decided not to
conduct further analysis for this particular rulemaking because DOE
lacks the data necessary to assess potential energy conservation.
Although
[[Page 18303]]
DOE has not conducted an analysis of manufacturer impacts resulting
from more stringent standards, DOE would expect that standards for
three-phase equipment more stringent than the ASHRAE 90.1-2019 levels
could impose burden to manufacturers by potentially requiring them to
develop and manufacture new models of three-phase equipment that are
not otherwise identical to models of single-phase products for sale.
In this specific instance, DOE disagrees with comments from CA IOUs
and Joint Advocates that the statutory clear and convincing evidence
criterion can only be assessed after full economic analyses have been
conducted. EPCA requires that DOE determine, supported by clear and
convincing evidence, that adoption of a uniform national standard more
stringent than the amended ASHRAE 90.1 for three-phase, split-system,
less than 65,000 Btu/h ACUACs and ACUHPs would result in significant
additional conservation of energy and is technologically feasible and
economically justified. (42 U.S.C. 6313(a)(6)(A)(ii)(II); emphasis
added) The inability to make a determination, supported by clear and
convincing evidence, with regard to any one of the statutory criteria
prohibits DOE from adopting more stringent standards regardless of
determinations as to the other criteria. As a result, DOE has
tentatively determined that at this time there is insufficient data
specific to three-phase, split-system, less than 65,000 Btu/h ACUACs
and ACUHPs (including but not limited to market efficiency data in
terms of the new efficiency metric) to provide clear and convincing
evidence of significant additional energy savings from three-phase,
split-system, less than 65,000 Btu/h ACUACs and ACUHPs efficiency
levels more stringent than ASHRAE 90.1-2019 levels.
The CA IOUs cited as precedent the crosswalk in the January 2017
CAC/HP ECS DFR, but that crosswalk was not analogous to the present
NOPR for three-phase, less than 65,000 Btu/h ACUACs and ACUHPs.
Specifically, for single-phase CACs and HPs, DOE conducted its analysis
in terms of the metrics at the time, SEER and HSPF. After selecting
amended efficiency levels, DOE then crosswalked the selected levels to
SEER2 and HSPF2 using a methodology consistent with the recommendations
of the CAC/HP Working Group. 82 FR 1786, 1849 (Jan. 6, 2017). DOE did
not crosswalk the entire market for single-phase CACs and HPs--the
crosswalk addressed only single-phase CAC and HPs with rated efficiency
at the selected levels. Because ASHRAE 90.1-2019 included efficiency
levels for three-phase, less than 65,000 Btu/h ACUACs and ACUHPs based
on SEER2 and HSPF2, DOE is unable to conduct an analysis based on SEER
and HSPF metrics as it did for single-phase CACs and HPs.
Likewise, the past ACUAC rulemaking cited by the Joint Advocates as
precedent was not analogous to the present situation for three-phase,
split-system, less than 65,000 Btu/h ACUACs and ACUHPs, because at the
time that ACUAC rulemaking began, the IEER metric was already in use by
the ACUAC industry. See 81 FR 2419, 2441 (Jan. 15, 2014).\6\
Specifically, the vast majority of ACUAC models on the market were
already rated for IEER (in addition to Energy Efficiency Ratio (EER),
which was the federally regulated metric at the time), and these IEER
market data for ACUACs were available in the AHRI Directory at the
time.\7\
---------------------------------------------------------------------------
\6\ DOE noted that AHRI Standard 340/360-2007 already included
methods and procedures for testing and rating equipment with the
IEER metric. ASHRAE, through its Standard 90.1, includes
requirements based on the part-load performance metric, IEER. These
IEER requirements were first established in Addenda to the 2008
Supplement to Standard 90.1-2007, and were required for compliance
with ASHRAE Standard 90.1 on January 1, 2010. 81 FR 2419, 2441 (Jan.
15, 2014).
\7\ As part of a NODA/RFI for energy conservation standards for
ACUACs published on February 1, 2013 (78 FR 7296), DOE made
available a document that provides the methodology and results of an
investigation of EER and IEER market data for ACUACs. See Docket No.
EERE-2013-BT-STD-0007-0001.
---------------------------------------------------------------------------
In contrast, during the development of this NOPR, there was no
available SEER2 and HSPF2 market data. Specifically, the CCMS database
and the AHRI directory do not currently rate any units with SEER2 or
HSPF2 as the compliance date for these metrics is not until 2023.
After considering the stakeholder comments and the lack of
sufficient SEER2 and HSPF2 market data available following the
September 2020 NODA/RFI, DOE maintains its preliminary decision not to
conduct additional analysis of more stringent standards for this
rulemaking. The lack of market and performance data in terms of the new
metric limits the analysis of energy savings that would result from
efficiency levels more stringent than the amended ASHRAE 90.1-2019
levels for this equipment. Given the limits of any energy use analysis
resulting from this lack of data, DOE has tentatively concluded that it
lacks clear and convincing evidence that more stringent standards would
result in a significant additional amount of energy savings as required
for DOE to establish more-stringent standards.
As a result, DOE has tentatively determined that, due to the lack
of market and performance data for the market as a whole in terms of
SEER2 and HSPF2, it is unable to estimate potential energy savings from
more stringent standards that meets the clear and convincing evidence
threshold required by statute to justify standards more stringent than
the amended ASHRAE 90.1 efficiency levels for three-phase, split-
system, less than 65,000 Btu/h ACUACs and ACUHPs.
B. Review Under Six Year Lookback
As discussed, DOE is required to conduct an evaluation of each
class of covered equipment in ASHRAE Standard 90.1 every six years. (42
U.S.C. 6313(a)(6)(C)(i)) Accordingly, in this document, DOE is
evaluating also the three-phase, less than 65,000 Btu/h equipment for
which ASHRAE 90.1-2019 did not increase the stringency of the
standards: (1) Three-phase, single package, less than 65,000 Btu/h
ACUACs and ACUHPs; (2) S-C, three-phase, less than 65,000 Btu/h ACUACs
and ACUHPs; (3) SDHV, three-phase, less than 65,000 Btu/h ACUACs and
ACUHPs; and (4) three-phase, less than 65,000 Btu/h VRF.
As discussed in section III of this NOPR, DOE has tentatively
concluded that there are no models on the market in the equipment
classes of: (1) S-C, three-phase, less than 65,000 Btu/h ACUACs and
ACUHPs; (2) SDHV, three-phase, less than 65,000 Btu/h ACUACs and
ACUHPs; and (3) three-phase, less than 65,000 Btu/h VRF. Therefore,
there would be no potential energy savings associated with more
stringent standards for these classes, and DOE did not conduct further
analyses of more stringent standards for these classes.
For three-phase, single package, less than 65,000 Btu/h ACUACs and
ACUHPs, similar to the triggered classes discussed in section V.A of
this document (i.e., three-phase, split-system, less than 65,000 Btu/h
ACUACs and ACUHPs), there are limited SEER2 and HSPF2 data for models
of varying efficiencies, and there is not a comparable industry
analysis (i.e., translating ratings to the updated metric for these
models on the market) for comparison. The market-wide analysis
necessary to evaluate whether amended standards would result in
significant energy savings and be technologically feasible and
economically justified under the clear and convincing threshold would
require more than baseline data.
Therefore, in line with the same initial reasoning presented in
DOE's evaluation of more stringent standards
[[Page 18304]]
for those classes of three-phase, less than 65,000 Btu/h ACUACs and
ACUHPs for which ASHRAE updated the industry standards (i.e., split
systems), DOE tentatively determines that the ``clear and convincing''
threshold is not met for three-phase, single-package, less than 65,000
Btu/h ACUACs and ACUHPs. As such, DOE did not conduct an energy savings
analysis of standard levels more stringent than the current Federal
standard levels for three-phase, single package, less than 65,000 Btu/h
ACUACs and ACUHPs not triggered by ASHRAE 90.1-2019.
1. Proposed Addendum to ASHRAE 90.1-2019
On November 8, 2021, ASHRAE published the First Public Review Draft
of Addendum `ay' to ASHRAE 90.1-2019 (``the first public review
draft''). The first public review draft proposes to update the
efficiency metrics for three-phase, less than 65,000 Btu/h VRF to be in
terms of SEER2 and HSPF2 starting January 1, 2023. The first public
review draft also proposes to update the test procedure for three-
phase, less than 65,000 Btu/h VRF to specify AHRI 1230-2014 with
addendum 1 prior to Jan 1, 2023, and then AHRI 210/240-2023 starting
Jan 1, 2023.
While the proposed Addendum ay to ASHRAE 90.1-2019 includes SEER2
and HSPF2 levels for three-phase, less than 65,000 Btu/h VRF, those
levels are not yet formally incorporated into an approved version of
ASHRAE 90.1. As a result, DOE is not triggered by the EPCA requirement
to consider adopting amended standards at the new ASHRAE efficiency
level. (42 U.S.C. 6313(a)(6)(A)(ii)) Because there are no models of
three-phase, less than 65,000 Btu/h VRF currently on the market, DOE
tentatively finds that there would be no potential energy savings
associated with adopting the levels in the first public review draft,
and thus no energy savings analysis would be required. Therefore, if
ASHRAE finalizes a future version of ASHRAE 90.1 that (1) publishes
prior to DOE publishing a final rule for amended energy conservation
standards for three-phase, less than 65,000 Btu/h VRF and (2) includes
SEER2/HSPF2 levels for three-phase, less than 65,000 Btu/h VRF that are
more stringent than the existing federal standards, DOE proposes that
it would adopt those levels in a final rule.
Issue 2: DOE requests comment on its proposal to adopt the more
stringent SEER2/HSPF2 efficiency levels for three-phase, less than
65,000 Btu/h VRF in the first public review draft of Addendum `ay' to
ASHRAE 90.1-2019, should such levels be incorporated into an updated
version of ASHRAE Standard 90.1 that publishes prior to DOE publishing
a final rule for amended energy conservation standards for three-phase,
less than 65,000 Btu/h VRF.
C. Definitions for Space-Constrained and Small-Duct, High-Velocity
Equipment
ASHRAE 90.1-2019 includes S-C and SDHV equipment classes for three-
phase, less than 65,000 Btu/h ACUACs and ACUHPs. Because DOE is
proposing to adopt separate standards for S-C, split-system, and
single-package ACUACs and ACUHPs and SDHV ACUACs and ACUHPs, DOE is
proposing the following definitions for ``small-duct, high-velocity
commercial package air conditioning and heating equipment'' and
``space-constrained commercial package and heating equipment'' at 10
CFR 431.92. These two definitions align with the definitions specified
in 10 CFR 430.2 for single-phase CACs and HPs, which, as discussed in
section V.A, are identical to three-phase products except for the power
input.
Small-duct, High-velocity Commercial Package Air
Conditioning and Heating Equipment means a basic model of commercial
package, split-system air conditioning and heating equipment that: has
a rated cooling capacity no greater than 65,000 Btu/h; is air-cooled;
and is paired with an indoor unit that (1) includes an indoor blower
housed with the coil; (2) is designed for, and produces, at least 1.2
inches of external static pressure when operated at the certified air
volume rate of 220-350 CFM per rated ton cooling in the highest default
cooling airflow-controls setting; and (3) when applied in the field,
uses high velocity room outlets generally greater than 1,000 fpm that
have less than 6.0 square inches of free area.
Space-constrained Commercial Package Air Conditioning and
Heating Equipment means a basic model of commercial package air
conditioning and heating equipment (packaged or split) that: (1) Is
air-cooled; (2) has a rated cooling capacity no greater than 30,000
Btu/h; (3) has an outdoor or indoor unit having at least two overall
exterior dimensions or an overall displacement that: (i) Is
substantially smaller than those of other units that are: (A) Currently
usually installed in site-built single-family homes; and (B) of a
similar cooling, and, if a heat pump, heating capacity; and (ii) if
increased, would certainly result in a considerable increase in the
usual cost of installation or would certainly result in a significant
loss in the utility of the product to the consumer; and (3) of a
product type that was available for purchase in the United States as of
December 1, 2000.
D. Proposed Energy Conservation Standards
1. Standard Levels
In this proposed rule, DOE is proposing amended energy conservation
standards for three-phase, less than 65,000 Btu/h ACUACs and ACUHPs and
for three-phase, less than 65,000 Btu/h VRF. The proposed amended
energy conservation standards are in terms of SEER2 and HSPF2, which
would align with the efficiency metrics specified in ASHRAE 90.1-2019
for three-phase, less than 65,000 Btu/h ACUACs and ACUHPs \8\ and with
the updated industry test procedure AHRI 210/240-2023.
---------------------------------------------------------------------------
\8\ While ASHRAE 90.1-2019 does not specify updated standards in
terms of SEER2 and HSPF2 for three-phase, less than 65,000 Btu/h
VRF, the proposed levels for three-phase, less than 65,000 Btu/h VRF
are consistent with the updated industry test procedure for this
equipment. Specifically, as discussed in section III.B.3 of this
document, the updated industry test procedure applicable to three-
phase, less than 65,000 Btu/h VRF is AHRI 210/240-2023, which
measures performance in terms of the SEER2 and HSPF2 metrics.
Further, as discussed in section V.B.1 of this document, industry
has shown intent to adopt efficiency levels in terms of SEER2 and
HSPF2 for this equipment in ASHRAE Standard 90.1 in the first public
review draft of Addendum ay to ASHRAE 90.1-2019.
---------------------------------------------------------------------------
DOE is proposing amended energy conservation standards in terms of
SEER2 and HSPF2 that generally align with the standard levels in ASHRAE
90.1-2019 for three-phase equipment with some exceptions. For three-
phase, split-system, less than 65,000 Btu/h ACUACs and ACUHPs, DOE is
proposing standards that align with the more stringent levels in ASHRAE
90.1-2019. For three-phase, single-package, less than 65,000 Btu/h
ACUACs and ACUHPs, DOE is proposing standards that align with the
levels in ASHRAE 90.1-2019, which maintain equivalent stringency to the
current Federal standards. For S-C split-system and single-package
ACUACs and ACUHPs, SDHV ACUACs and ACUHPs, and for three-phase, less
than 65,000 Btu/h VRF, DOE is proposing standards that differ from the
values specified in ASHRAE 90.1-2019. These standards are equivalent
stringency to the current Federal standards but are translated to the
new metrics SEER2 and HSPF2. The proposed standards are presented in
Table I.1 and Table I.2 of this document.
2. Compliance Date
In the September 2020 NODA/RFI, DOE discussed the potential
compliance dates for amended standards for three-
[[Page 18305]]
phase, less than 65,000 Btu/h ACUACs and ACUHPs. 85 FR 60642, 60671
(Sept. 25, 2020). In that September 2020 NODA/RFI, DOE determined that
for the two equipment classes where DOE was triggered by an increase in
stringency in ASHRAE 90.1-2019 (three-phase, split-system, less than
65,000 Btu/h ACUACs and ACUHPs) the earliest compliance date for
amended Federal standards would be two years after the ASHRAE 90.1-2019
compliance date (January 1, 2023), resulting in a compliance date of
January 1, 2025. Id. DOE also discussed that EPCA specifies similar
considerations on compliance date if DOE were to adopt amended
standards more stringent than the ASHRAE 90.1 levels \9\ for the two
equipment classes for which DOE is evaluating standards under its 6-
year lookback authority (three-phase, single-package, less than 65,000
Btu/h ACUACs and ACUHPs). Id. Ultimately, DOE determined that it did
not have clear and convincing evidence to justify adopting standards
more stringent than the ASHRAE 90.1-2019 levels, and, therefore, the
three-year and/or six-year delay period would not apply. DOE presented
an approximate compliance date of January 1, 2025 for all four
equipment classes of three-phase, less than 65,000 Btu/h ACUACs and
ACUHPs. Id.
---------------------------------------------------------------------------
\9\ EPCA states that any such standard shall apply to equipment
manufactured after a date that is the latter of the date three years
after publication of the final rule establishing such standard or
six years after the effective date for the current standard (42
U.S.C. 6313(a)(6)(C)(iv).
---------------------------------------------------------------------------
In response to the September 2020 NODA/RFI, Rheem agreed that the
compliance date for amended Federal standards should be January 1, 2025
for three-phase, less than 65,000 Btu/h ACUACs and ACUHPs, based on the
statutory provision by EPCA for a six-year lookback to amend uniform
national standards. (Rheem, No. 4 at p. 1) Carrier, Goodman, and Trane
requested that DOE align the compliance date of amended standards in
terms of SEER2 and HSPF2 for three-phase equipment with the
corresponding compliance date for single-phase products of January 1,
2023, arguing that discrepancy in compliance dates between single-phase
products and three-phase equipment would be undesirable and confusing
for consumers and manufacturers. (Carrier, No. 3 at p. 2; Goodman, No.
7 at p. 2; Trane, No. 8 at p. 2)
In response to the comments from Carrier, Goodman, and Trane, DOE
notes that while there may be benefits to aligning the compliance dates
for SEER2 and HSPF2 standards between single-phase products and three-
phase equipment, DOE cannot prescribe a compliance date for amended
standards that would violate its obligations under EPCA. As discussed,
EPCA requires that DOE specify a compliance date no earlier than 2
years after the compliance date specified in ASHRAE Standard 90.1 for
triggered classes of three-phase, less than 65,000 Btu/h ACUACs and
ACUHPs. As a result, to provide a consistent compliance date for
standards in terms of SEER2 and HSPF2 for all three-phase, less than
65,000 Btu/h equipment, DOE proposes that the amended standards
proposed in this NOPR would apply for all three-phase, less than 65,000
Btu/h equipment that is manufactured on or after January 1, 2025.
VI. Procedural Issues and Regulatory Review
A. Review Under Executive Orders 12866 and 13563
Executive Order (``E.O.'') 12866, ``Regulatory Planning and
Review,'' as supplemented and reaffirmed by E.O. 13563, ``Improving
Regulation and Regulatory Review, 76 FR 3821 (Jan. 21, 2011), requires
agencies, to the extent permitted by law, to (1) propose or adopt a
regulation only upon a reasoned determination that its benefits justify
its costs (recognizing that some benefits and costs are difficult to
quantify); (2) tailor regulations to impose the least burden on
society, consistent with obtaining regulatory objectives, taking into
account, among other things, and to the extent practicable, the costs
of cumulative regulations; (3) select, in choosing among alternative
regulatory approaches, those approaches that maximize net benefits
(including potential economic, environmental, public health and safety,
and other advantages; distributive impacts; and equity); (4) to the
extent feasible, specify performance objectives, rather than specifying
the behavior or manner of compliance that regulated entities must
adopt; and (5) identify and assess available alternatives to direct
regulation, including providing economic incentives to encourage the
desired behavior, such as user fees or marketable permits, or providing
information upon which choices can be made by the public. DOE
emphasizes as well that E.O. 13563 requires agencies to use the best
available techniques to quantify anticipated present and future
benefits and costs as accurately as possible. In its guidance, the
Office of Information and Regulatory Affairs (``OIRA'') in the Office
of Management and Budget (``OMB'') has emphasized that such techniques
may include identifying changing future compliance costs that might
result from technological innovation or anticipated behavioral changes.
For the reasons stated in the preamble, this proposed regulatory action
is consistent with these principles.
Section 6(a) of E.O. 12866 also requires agencies to submit
``significant regulatory actions'' to OIRA for review. OIRA has
determined that this proposed regulatory action does not constitute a
``significant regulatory action'' under section 3(f) of E.O. 12866.
Accordingly, this action was not submitted to OIRA for review under
E.O. 12866.
B. Review Under the Regulatory Flexibility Act
The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) requires
preparation of 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: www.energy.gov/gc/office-general-counsel. DOE
reviewed this proposed rule under the provisions of the Regulatory
Flexibility Act and the procedures and policies published on February
19, 2003.
The following sections detail DOE's IRFA for this energy
conservation standards proposed rulemaking.
1. Description of Reasons Why Action Is Being Considered
DOE is proposing to amend the existing DOE energy conservation
standards for three-phase, less than 65,000 Btu/h ACUACs and ACUHPs and
three-phase, less than 65,000 Btu/h VRF. EPCA requires DOE to consider
amending the existing Federal energy conservation standard for certain
types of listed commercial and industrial equipment (generally,
commercial water heaters, commercial packaged boilers, commercial air
conditioning and heating equipment, and packaged terminal air
conditioners and heat pumps) each time ASHRAE Standard 90.1 is amended
with respect to such equipment. (42 U.S.C. 6313(a)(6)(A)) For each type
of equipment, EPCA directs
[[Page 18306]]
that if ASHRAE Standard 90.1 is amended, DOE must adopt amended energy
conservation standards at the new efficiency level in ASHRAE Standard
90.1, unless clear and convincing evidence supports a determination
that adoption of a more stringent efficiency level as a national
standard would produce significant additional energy savings and be
technologically feasible and economically justified. (42 U.S.C.
6313(a)(6)(A)(ii)) This is referred to as ``the ASHRAE trigger.'' DOE
must also review and determine whether to amend standards of each class
of covered equipment in ASHRAE Standard 90.1 every 6 years. (42 U.S.C.
6313(a)(6)(C)(i)).
2. Objectives of, and Legal Basis for, Rule
EPCA requires DOE to consider amending the existing Federal energy
conservation standard each time ASHRAE Standard 90.1 is amended with
respect to such equipment. (42 U.S.C. 6313(a)(6)(A)) ASHRAE officially
released ASHRAE 90.1-2019 on October 25, 2019, thereby triggering DOE's
previously referenced obligations to determine, for certain classes of
three-phase, less than 65,000 Btu/h ACUAC, ACUHP, and VRF systems,
whether: (1) The amended industry standard levels should be adopted; or
(2) clear and convincing evidence exists to justify more-stringent
standard levels. For any class where DOE was not triggered, the
Department routinely considers those classes under EPCA's 6-year-
lookback provision at the same time, to address the subject equipment
in a comprehensive fashion.
3. Description on Estimated Number of Small Entities Regulated
For manufacturers of three-phase, less than 65,000 Btu/h ACUACs and
ACUHPs and three-phase, less than 65,000 Btu/h VRF, the Small Business
Administration (``SBA'') has set a size threshold. DOE used the SBA's
small business size standards to determine whether any small entities
would be subject to the requirements of the proposed rule. See 13 CFR
part 121. The equipment covered by this proposed rule is classified
under North American Industry Classification System (``NAICS'') code
333415,\10\ ``Air-Conditioning and Warm Air Heating Equipment and
Commercial and Industrial Refrigeration Equipment Manufacturing.'' In
13 CFR 121.201, the SBA sets a threshold of 1,250 employees or fewer
for an entity to be considered as a small business for this category.
---------------------------------------------------------------------------
\10\ The size standards are listed by NAICS code and industry
description and are available at: www.sba.gov/document/support--table-size-standards (Last accessed on February 24, 2022).
---------------------------------------------------------------------------
DOE reviewed the energy conservation standards proposed in this
NOPR under the provisions of the Regulatory Flexibility Act and the
procedures and policies published on February 19, 2003. DOE relied on
the Compliance Certification Database \11\ in identifying
manufacturers. For three-phase, less than 65,000 Btu/h ACUACs and
ACUHPs, DOE identified 17 original equipment manufacturers (``OEM'').
Of those 17 OEMs, DOE screened out companies that do not meet the
definition of a ``small business'' or are foreign-owned and operated.
DOE used subscription-based business information tools to determine
headcount and revenue of the small businesses. DOE identified 4 small,
domestic OEMs for consideration. DOE did not identify any manufacturers
of three-phase, less than 65,000 Btu/h VRF.
---------------------------------------------------------------------------
\11\ DOE's Compliance Certification Database is available at:
www.regulations.doe.gov/ccms.
---------------------------------------------------------------------------
Issue 3: DOE seeks comment on the number of small manufacturers
producing three-phase, less than 65,000 Btu/h ACUACs and ACUHPs and
three-phase, less than 65,000 Btu/h VRF.
4. Description and Estimate of Compliance Requirements Including
Differences in Cost, if Any, for Different Groups of Small Entities
In this NOPR, DOE proposes to:
Adopt amended energy conservations standards for three-
phase, less than 65,000 Btu/h ACUACs and ACUHPs corresponding to the
minimum efficiency levels in ASHRAE 90.1-2019. The levels are in terms
of new metrics seasonal energy efficiency ratio-2 (SEER2) and heating
seasonal performance factor-2 (HSPF2);
Separate energy conservation standards for three-phase,
less than 65,000 Btu/h ACUAC and ACUHP further into: (1) Three-phase,
S-C, commercial split-system air conditioners (``S-C ACUACs''); (2)
three-phase, S-C, commercial split-system heat pumps (``S-C ACUHPs'');
(3) S-C single-package ACUACs; (4) S-C single-package ACUHPs; (5)
three-phase, SDHV commercial air conditioners (``SDHV ACUACs''); and
(6) three-phase, SDHV commercial heat pumps (``SDHV ACUHPs''). These
additional equipment classes are included in ASHRAE 90.1-2019 for
three-phase, less than 65,000 Btu/h ACUACs and ACUHPs; and
Adopt amended energy conservation standards for three-
phase, less than 65,000 Btu/h VRF. Because the levels for this
equipment were not updated in ASHRAE 90.1-2019, the proposed standards
are translated from the existing Federal regulatory metrics (SEER and
HSPF) to the updated metrics (SEER2 and HSPF2)--as measured per the
updated industry test procedure AHRI 210/240-2023.
For S-C ACUACs and ACUHPs and SDHV ACUACs and ACUHPs, the current
applicable Federal standards are more stringent than the ASHRAE 90.1-
2019 levels. To avoid backsliding (as required by EPCA), DOE cannot
adopt the ASHRAE 90.1-2019 levels for these classes and is therefore
proposing standards for S-C ACUACs and ACUHPs and SDHV ACUACs and
ACUHPs equipment in terms of SEER2 and HSPF2 that maintain equivalent
stringency to the applicable current Federal standards (in terms of
SEER and HSPF). Of note, DOE has tentatively concluded that there are
no models of S-C ACUACs and ACUHPs and SDHV ACUACs and ACUHPs on the
market.
For three-phase, single-package, less than 65,000 Btu/h ACUACs and
ACUHPs as well as three-phase, less than 65,000 Btu/h VRF, the ASHRAE
90.1-2019 levels are of equivalent stringency to the current Federal
standards. Therefore, DOE's proposal to adopt standards in terms of the
new metrics SEER2 and HSPF2 that are crosswalked from the current
Federal standards would not increase the stringency of standards.
ASHRAE 90.1-2019 includes minimum efficiency levels for three-
phase, split-system, less than 65,000 Btu/h ACUACs and ACUHPs that are
more stringent than the current Federal standards. DOE must adopt
amended standards at the amended ASHRAE efficiency levels unless DOE
determines, supported by clear and convincing evidence, that adoption
of a more stringent standard would produce significant additional
conservation of energy and would be technologically feasible and
economically justified. (42 U.S.C. 6313(a)(6)(A)(ii). Because DOE
proposes no such determination, this NOPR proposes to adopt amended
standards at the amended ASHRAE efficiency levels for three-phase,
split-system, less than 65,000 Btu/h ACUACs and ACUHPs.
In estimating the impact to small manufacturers, DOE recognizes
that manufacturers may incur conversion costs as a result of the
proposed standards for three-phase, split-system, less than 65,000 Btu/
h ACUACs and ACUHPs. In reviewing all commercially
[[Page 18307]]
available models of three-phase, split-system. less than 65,000 Btu/h
ACUACs and ACUHPs in DOE's Compliance Certification Database, the 4
small manufacturers account for 30 percent of model offerings. For each
of the 4 small manufacturers, approximately 58 percent of the
companies' current models would meet the proposed levels. For the
current models that do not meet the proposed levels, the small
manufacturers would need to either discontinue or redesign non-
compliant models. However, adoption of standards at least as stringent
as the ASHRAE levels is required under EPCA; furthermore, adopting
standards above ASHRAE levels (DOE's only other option under 42 U.S.C.
6313(a)(6)(A)(ii)) would lead to an even greater portion of small
manufacturer models requiring redesign. Therefore, DOE has tentatively
determined that the proposed efficiency level provides the least cost
option for small manufacturers.
Issue 4: DOE requests comment on its understanding of the current
market accounted for by small manufacturers. DOE also requests comment
on its understanding of the efficiency of the equipment offered by such
manufacturers.
5. Duplication, Overlap, and Conflict With Other Rules and Regulations
DOE is not aware of any rules or regulations that duplicate,
overlap, or conflict with this rule.
6. Significant Alternatives to the Rule
As EPCA requires DOE to either adopt the ASHRAE levels or to
propose higher standards, DOE is limited in options to mitigate impacts
to small businesses from the more stringent ASHRAE Standard 90.1
levels. DOE's proposal to adopt the more stringent levels in ASHRAE
90.1-2019 for three-phase, split-system, less than 65,000 Btu/h ACUACs
and ACUHPs is the least cost option to industry.
Manufacturers subject to DOE's energy efficiency standards may
apply to DOE's Office of Hearings and Appeals for exception relief
under certain circumstances. Manufacturers should refer to 10 CFR part
1003 for additional details.
C. Review Under the Paperwork Reduction Act
Manufacturers of three-phase, less than 65,000 Btu/h ACUACs and
ACUHPs and three-phase, less than 65,000 Btu/h VRF must certify to DOE
that their products comply with any applicable energy conservation
standards. In certifying compliance, manufacturers must test 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 three-phase, less
than 65,000 Btu/h ACUACs and ACUHPs and for three-phase, less than
65,000 Btu/h VRF. 76 FR 12422 (Mar. 7, 2011); 80 FR 5099 (Jan. 30,
2015). The collection-of-information requirement for the certification
and recordkeeping is subject to review and approval by OMB under the
Paperwork Reduction Act (``PRA''). This requirement has been approved
by OMB under OMB control number 1910-1400. Public reporting burden for
the certification is estimated to average 35 hours per response,
including the time for reviewing instructions, searching existing data
sources, gathering and maintaining the data needed, and completing and
reviewing the collection of information.
Notwithstanding any other provision of the law, no person is
required to respond to, nor shall any person be subject to a penalty
for failure to comply with, a collection of information subject to the
requirements of the PRA, unless that collection of information displays
a currently valid OMB Control Number.
D. Review Under the National Environmental Policy Act of 1969
DOE is analyzing this proposed regulation in accordance with the
National Environmental Policy Act of 1969 (``NEPA'') and DOE's NEPA
implementing regulations (10 CFR part 1021). DOE's regulations include
a categorical exclusion for rulemakings that establish energy
conservation standards for consumer products or industrial equipment.
10 CFR part 1021, subpart D, appendix B5.1. DOE anticipates that this
rulemaking qualifies for categorical exclusion B5.1(b) because it is a
proposed rulemaking that establishes energy conservation standards for
consumer products or industrial equipment, none of the exceptions
identified in categorical exclusion B5.1(b) apply, no extraordinary
circumstances exist that require further environmental analysis, and it
otherwise meets the requirements for application of a categorical
exclusion. See 10 CFR 1021.410. DOE will complete its NEPA review
before issuing the final rule.
E. Review Under Executive Order 13132
E.O. 13132, ``Federalism,'' 64 FR 43255 (Aug. 10, 1999), imposes
certain requirements on Federal 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
tentatively 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 equipment 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. 6316(a)
and (b); 42 U.S.C. 6297) Therefore, no further action is required by
Executive Order 13132.
F. Review Under Executive Order 12988
With respect to the review of existing regulations and the
promulgation of new regulations, section 3(a) of E.O. 12988, ``Civil
Justice Reform,'' 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. 61 FR
4729 (Feb. 7, 1996). Regarding the review required by section 3(a),
section 3(b) of E.O. 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
[[Page 18308]]
3(c) of Executive Order 12988 requires Executive agencies to review
regulations in light of applicable standards in section 3(a) and
section 3(b) to determine whether they are met or it is unreasonable to
meet one or more of them. DOE has completed the required review and
determined that, to the extent permitted by law, this proposed rule
meets the relevant standards of E.O. 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, section 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 them. On March 18, 1997, DOE
published a statement of policy on its process for intergovernmental
consultation under UMRA. 62 FR 12820. DOE's policy statement is also
available at www.energy.gov/sites/prod/files/gcprod/documents/umra_97.pdf.
This proposed rule does not contain a Federal intergovernmental
mandate, nor is it expected to require expenditures of $100 million or
more in any one year by the private sector. As a result, the analytical
requirements of UMRA 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
Pursuant to E.O. 12630, ``Governmental Actions and Interference
with Constitutionally Protected Property Rights,'' 53 FR 8859 (Mar. 15,
1988), DOE has determined that this proposed rule would not result in
any takings that might require compensation under the Fifth Amendment
to the U.S. Constitution.
J. Review Under the 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 Federal agencies to review
most disseminations of information to the public under information
quality guidelines established by each agency pursuant to general
guidelines issued by OMB. OMB's guidelines were published at 67 FR 8452
(Feb. 22, 2002), and DOE's guidelines were published at 67 FR 62446
(Oct. 7, 2002). Pursuant to OMB Memorandum M-19-15, Improving
Implementation of the Information Quality Act (April 24, 2019), DOE
published updated guidelines which are available at www.energy.gov/sites/prod/files/2019/12/f70/DOE%20Final%20Updated%20IQA%20Guidelines%20Dec%202019.pdf. DOE has
reviewed this NOPR 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
E.O. 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 OIRA at OMB,
a Statement of Energy Effects for any proposed significant energy
action. A ``significant energy action'' is defined as any action by an
agency that promulgates 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.
DOE has tentatively concluded that this proposed rule, which
proposes amended energy conservation standards for three-phase, less
than 65,000 Btu/h ACUACs and ACUHPs and three-phase, less than 65,000
Btu/h VRF, is not a significant energy action because the proposed
standards are not likely to have a significant adverse effect on the
supply, distribution, or use of energy, nor has it been designated as
such by the Administrator at OIRA. Accordingly, DOE has not prepared a
Statement of Energy Effects on this proposed rule.
L. Information Quality
On December 16, 2004, OMB, in consultation with the Office of
Science and Technology Policy (``OSTP''), issued its Final Information
Quality Bulletin for Peer Review (``the Bulletin''). 70 FR 2664 (Jan.
14, 2005). The Bulletin establishes that certain scientific information
shall be peer reviewed by qualified specialists before it is
disseminated by the Federal Government, including influential
scientific information related to agency regulatory actions. The
purpose of the bulletin is to enhance the quality and credibility of
the Government's scientific information. Under the Bulletin, the energy
conservation standards rulemaking analyses are ``influential scientific
information,'' which the Bulletin defines as ``scientific information
the agency reasonably can determine will have, or does have, a clear
and substantial impact on important public policies or private sector
decisions.'' 70 FR 2664, 2667.
In response to OMB's Bulletin, DOE conducted formal peer reviews of
the energy conservation standards development process and the analyses
that are typically used and has prepared a report describing that peer
review.\12\ Generation of this report involved a rigorous, formal, and
documented evaluation using objective criteria and qualified and
independent reviewers to make a judgment as to the technical/
scientific/business merit, the actual or anticipated results, and the
productivity and management effectiveness of programs and/or projects.
Because available data, models, and technological understanding have
changed since 2007, DOE has engaged with the National Academy of
Sciences to review DOE's analytical
[[Page 18309]]
methodologies to ascertain whether modifications are needed to improve
the Department's analyses. DOE is in the process of evaluating the
resulting report.\13\
---------------------------------------------------------------------------
\12\ The 2007 ``Energy Conservation Standards Rulemaking Peer
Review Report'' is available at: www.energy.gov/eere/buildings/downloads/energy-conservation-standards-rulemaking-peer-review-report-0 (last accessed December 10, 2021).
\13\ The report is available at www.nationalacademies.org/our-work/review-of-methods-for-setting-building-and-equipment-performance-standards.
---------------------------------------------------------------------------
VII. Public Participation
A. Participation in the Webinar
The time and date for the webinar meeting are listed in the DATES
section at the beginning of this document. Webinar registration
information, participant instructions, and information about the
capabilities available to webinar participants will be published on
DOE's website:www.energy.gov/eere/buildings/public-meetings-and-comment-deadlines. Participants are responsible for ensuring their
systems are compatible with the webinar software.
B. Procedure for Submitting Prepared General Statements for
Distribution
Any person who has an interest in the topics addressed in this
document, 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
[email protected]. Persons who wish to speak
should include with their request a computer file in WordPerfect,
Microsoft Word, PDF, or text (ASCII) file format that briefly describes
the nature of their interest in this rulemaking and the topics they
wish to discuss. Such persons should also provide a daytime telephone
number where they can be reached.
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.
C. Conduct of the Webinar
DOE will designate a DOE official to preside at the webinar and may
also use a professional facilitator to aid discussion. The meeting will
not be a judicial or evidentiary-type public hearing, but DOE will
conduct it in accordance with section 336 of EPCA (42 U.S.C. 6306). A
court reporter will be present to record the proceedings and 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 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 proposed
rulemaking. The official conducting the webinar will accept additional
comments or questions from those attending, as time permits. The
presiding official will announce any further procedural rules or
modification of the above procedures that may be needed for the proper
conduct of the webinar.
A transcript of the webinar will be included in the docket, which
can be viewed as described in the Docket section at the beginning of
this document. In addition, any person may buy a copy of the transcript
from the transcribing reporter.
D. Submission of Comments
DOE will accept comments, data, and information regarding this
proposed rule before or after the public meeting, but no later than the
date provided in the DATES section at the beginning of this proposed
rule. Interested parties may submit comments, data, and other
information 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 itself or in any documents attached to your
comment. Any information that you do not want to be publicly viewable
should not be included in your comment, nor in any document attached to
your comment. Otherwise, persons viewing comments will see only first
and last names, organization names, correspondence containing comments,
and any documents submitted with the comments.
Do not submit to www.regulations.gov information for which
disclosure is restricted by statute, such as trade secrets and
commercial or financial information (hereinafter referred to as
Confidential Business Information (``CBI'')). Comments submitted
through www.regulations.gov cannot be claimed as CBI. Comments received
through the 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
[[Page 18310]]
contact information in a cover letter. Include your first and last
names, email address, telephone number, and optional mailing address.
The cover letter will not be publicly viewable as long as it does not
include any comments.
Include contact information each time you submit comments, data,
documents, and other information to DOE. No telefacsimiles (``faxes'')
will be accepted.
Comments, data, and other information submitted to DOE
electronically should be provided in PDF (preferred), Microsoft Word or
Excel, or text (ASCII) file format. Provide documents that are not
secured, that are written in English, and that are free of any defects
or viruses. Documents should not contain special characters or any form
of encryption and, if possible, they should carry the electronic
signature of the author.
Campaign form letters. Please submit campaign form letters by the
originating organization in batches of between 50 to 500 form letters
per PDF or as one form letter with a list of supporters' names compiled
into one or more PDFs. This reduces comment processing and posting
time.
Confidential Business Information. Pursuant to 10 CFR 1004.11, any
person submitting information that he or she believes to be
confidential and exempt by law from public disclosure should submit via
email two well-marked copies: One copy of the document marked
``confidential'' including all the information believed to be
confidential, and one copy of the document marked ``non-confidential''
with the information believed to be confidential deleted. DOE will make
its own determination about the confidential status of the information
and treat it according to its determination.
It is DOE's policy that all comments may be included in the public
docket, without change and as received, including any personal
information provided in the comments (except information deemed to be
exempt from public disclosure).
E. Issues on Which DOE Seeks Comment
Although DOE welcomes comments on any aspect of this proposal, DOE
is particularly interested in receiving comments and views of
interested parties concerning the following issues:
Issue 1: DOE requests comment on the crosswalk methodology
described in section III.B of this document and the crosswalk
results in Table III-1 for three-phase, less than 65,000 Btu/h
ACUACs and ACUHPs and three-phase, less than 65,000 Btu/h VRF.
Issue 2: DOE requests comment on its proposal to adopt the more
stringent SEER2/HSPF2 efficiency levels for three-phase, less than
65,000 Btu/h VRF in the first public review draft of Addendum `ay'
to ASHRAE 90.1-2019, should such levels be incorporated into an
updated version of ASHRAE Standard 90.1 that publishes prior to DOE
publishing a final rule for amended energy conservation standards
for three-phase, less than 65,000 Btu/h VRF.
Issue 3: DOE seeks comment on the number of small manufacturers
producing three-phase, less than 65,000 Btu/h ACUACs and ACUHPs and
three-phase, less than 65,000 Btu/h VRF.
Issue 4: DOE requests comment on its understanding of the
current market accounted for by small manufacturers. DOE also
requests comment on its understanding of the efficiency of the
equipment offered by such manufacturers.
Additionally, DOE welcomes comments on other issues relevant to the
conduct of this proposed rulemaking that may not specifically be
identified in this document.
VIII. Approval of the Office of the Secretary
The Secretary of Energy has approved publication of this notice of
proposed rulemaking and request for comment.
List of Subjects in 10 CFR Part 431
Administrative practice and procedure, Confidential business
information, Energy conservation test procedures, and Reporting and
recordkeeping requirements.
Signing Authority
This document of the Department of Energy was signed on March 23,
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 March 23, 2022.
Treena V. Garrett,
Federal Register Liaison Officer, U.S. Department of Energy.
For the reasons set forth in the preamble, DOE proposes to amend
part 431 of chapter II, subchapter D, of title 10 of the Code of
Federal Regulations, as set forth below:
PART 431--ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND
INDUSTRIAL EQUIPMENT
0
1. The authority citation for part 431 continues to read as follows:
Authority: 42 U.S.C 6291-6317; 28 U.S.C 2461 note.
0
2. Section 431.92 is amended by adding, in alphabetical order,
definitions for ``Small-duct, High-velocity Commercial Package Air
Conditioning and Heating Equipment'' and ``Space-constrained Commercial
Package Air Conditioning and Heating Equipment'' to read as follows:
Sec. 431.92 Definitions concerning commercial air conditioners and
heat pumps.
* * * * *
Small-duct, High-velocity Commercial Package Air Conditioning and
Heating Equipment means a basic model of commercial package, split-
system air conditioning and heating equipment that:
(1) Has a rated cooling capacity no greater than 65,000 Btu/h;
(2) Is air-cooled; and
(3) Is paired with an indoor unit that
(i) Includes an indoor blower housed with the coil;
(ii) Is designed for, and produces, at least 1.2 inches of external
static pressure when operated at the certified air volume rate of 220-
350 CFM per rated ton cooling in the highest default cooling airflow-
controls setting; and
(iii) When applied in the field, uses high velocity room outlets
generally greater than 1,000 fpm that have less than 6.0 square inches
of free area.
Space-constrained Commercial Package Air Conditioning and Heating
Equipment means a basic model of commercial package air conditioning
and heating equipment (packaged or split) that:
(1) Is air-cooled;
(2) Has a rated cooling capacity no greater than 30,000 Btu/h;
(3) Has an outdoor or indoor unit having at least two overall
exterior dimensions or an overall displacement that:
(i) Is substantially smaller than those of other units that are:
(A) Currently usually installed in site-built single-family homes;
and
(B) Of a similar cooling, and, if a heat pump, heating capacity;
and
(ii) If increased, would certainly result in a considerable
increase in the usual
[[Page 18311]]
cost of installation or would certainly result in a significant loss in
the utility of the product to the consumer;
and
(4) Of a product type that was available for purchase in the United
States as of December 1, 2000.
* * * * *
0
3. Section 431.97 is amended by:
0
a. Removing the rows of Table 1 to paragraph (b), under the column
heading, ``Equipment Type'' for: ``Small Commercial Package Air
Conditioning and Heating Equipment (Air-Cooled, 3-Phase, Split-
System)'' and ``Small Commercial Package Air Conditioning and Heating
Equipment (Air-Cooled, 3-Phase, Single-Package)'';
0
b. Removing each instance in Table 1 to paragraph (b), ``\2\'' and
``\3\'' and adding in their place ``\1\'' and ``\2\'';
0
c. Removing footnote 1 in Table 1 to paragraph (b) and redesignating
footnotes ``2'' and ``3'' as footnotes ``1'' and ``2'', respectively;
0
d. Removing ``June 16, 2008.'' and adding in its place ``June 16,
2008.\2\'', in row 13, ``Small Commercial Package Air-Conditioning and
Heating Equipment (Air-Cooled, 3-Phase, Split-System)'', in Table 3 to
paragraph (b) under the column heading, ``Compliance date: Equipment
manufactured starting on . . .'';
0
e. Removing ``January 1, 2017.'' and adding in its place ``January 1,
2017.\2\'', in row 14, ``Small Commercial Package Air-Conditioning and
Heating Equipment (Air-Cooled, 3-Phase, Split-System)'', in Table 3 to
paragraph (b) under the column heading, ``Compliance date: Equipment
manufactured starting on . . .'';
0
f. Removing ``January 1, 2017.'' and adding in its place ``January 1,
2017.\2\'', in row 15, ``Small Commercial Package Air-Conditioning and
Heating Equipment (Air-Cooled, 3-Phase, Single-Package)'', in Table 3
to paragraph (b) under the column heading, ``Compliance date: Equipment
manufactured starting on . . .'';
0
g. Removing ``January 1, 2017.'' and adding in its place ``January 1,
2017.2'', in row 16, ``Small Commercial Package Air-Conditioning and
Heating Equipment (Air-Cooled, 3-Phase, Single-Package)'', in Table 3
to paragraph (b) under the column heading, ``Compliance date: Equipment
manufactured starting on . . .'';
0
h. Adding, immediately following footnote 1 below Table 3 to paragraph
(b), ``\2\ And manufactured before January 1, 2025. For equipment
manufactured on or after January 1, 2025, see Table 14 to paragraph (g)
of this section for updated efficiency standards.'';
0
i. Removing ``January 1, 2017.'' and adding in its place ``January 1,
2017.3'', in row 1, ``Small Commercial Package Air Conditioning and
Heating Equipment (Air-Cooled, 3-Phase, Split-System)'', in Table 4 to
paragraph (b) under the column heading, ``Compliance date: Equipment
manufactured starting on . . .'';
0
j. Removing the words ``January 1, 2017.'' and adding in its place
``January 1, 2017.\3\'', in row 2, ``Small Commercial Package Air
Conditioning and Heating Equipment (Air-Cooled, 3-Phase, Single
Package)'', in Table 4 to paragraph (b) under the column heading,
``Compliance date: Equipment manufactured starting on . . .'';
0
k. Adding, immediately following footnote 2 below Table 4 to paragraph
(b), ``\3\ And manufactured before January 1, 2025. For equipment
manufactured on or after January 1, 2025, see Table 14 to paragraph (g)
of this section for updated efficiency standards.'';
0
l. Removing ``June 16, 2008.'' and adding in its place ``June 16,
2008.\2\'', in rows 1, VRF Multi-Split Air Conditioners (Air-Cooled)'',
and 7, ``VRF Multi-Split Heat Pumps (Air-Cooled)'', of Table 13 to
paragraph (f) under the column heading: ``Compliance date: Products
manufactured on and after . . .'';
0
m. Adding, immediately following footnote 1 below Table 13 to paragraph
(f), ``\2\ And manufactured before January 1, 2025. For equipment
manufactured on or after January 1, 2025, see Table 14 to paragraph (g)
of this section for updated efficiency standards.''; and
0
n. Adding a new paragraph (g) and Table 14 to read as follows:
Sec. 431.97 Energy efficiency standards and their compliance dates.
* * * * *
(g) Each air-cooled, three-phase, small commercial package air
conditioning and heating equipment with a cooling capacity of less than
65,000 Btu/h and air-cooled, three-phase variable refrigerant flow
multi-split air conditioning and heating equipment with a cooling
capacity of less than 65,000 Btu/h manufactured on or after January 1,
2025, or if certifying to SEER2/HSPF2, must meet the applicable minimum
energy efficiency standard level(s) set forth in Table 14 of this
section.
Table 14 to Sec. 431.97--Updated Minimum Efficiency Standards for Air-Cooled, Three-Phase, Small Commercial
Package Air Conditioning and Heating Equipment With a Cooling Capacity of Less Than
65,000 Btu/h and Air-Cooled, Three-Phase, Small Variable Refrigerant Flow Multi-Split Air Conditioning
and Heating Equipment With a Cooling Capacity of Less Than 65,000 Btu/h
----------------------------------------------------------------------------------------------------------------
Equipment type Size category (cooling) Subcategory Minimum efficiency
----------------------------------------------------------------------------------------------------------------
Air Conditioners.................... <65,000 Btu/h.......... Split-System........... 13.4 SEER2.
Single-Package......... 13.4 SEER2.
Heat Pumps.......................... <65,000 Btu/h.......... Split-System........... 14.3 SEER2.
7.5 HSPF2.
Single-Package......... 13.4 SEER2.
6.7 HSPF2.
Space-Constrained Air Conditioners.. <=30,000 Btu/h......... Split-System........... 12.7 SEER2.
Single-Package......... 13.9 SEER2.
Space-Constrained Heat Pumps........ <=30,000 Btu/h......... Split-System........... 13.9 SEER2.
7.0 HSPF2.
Single-Package......... 13.9 SEER2.
6.7 HSPF2.
Small-Duct, High-Velocity Air <65,000 Btu/h.......... Split-System........... 13.0 SEER2.
Conditioners.
Small-Duct, High-Velocity Heat Pumps <65,000 Btu/h.......... Split-System........... 14.0 SEER2.
6.9 HSPF2.
VRF Air Conditioners................ <65,000 Btu/h.......... ....................... 13.0 SEER2.
[[Page 18312]]
VRF Heat Pumps...................... <65,000 Btu/h.......... ....................... 13.0 SEER2.
6.5 HSPF2.
----------------------------------------------------------------------------------------------------------------
[FR Doc. 2022-06450 Filed 3-29-22; 8:45 am]
BILLING CODE 6450-01-P
