[Federal Register Volume 79, Number 70 (Friday, April 11, 2014)]
[Proposed Rules]
[Pages 20114-20138]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-08214]


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DEPARTMENT OF ENERGY

10 CFR Part 431

[Docket No. EERE-2014-BT-STD-0015]
RIN 1904-AB23


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

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

ACTION: Notice of data availability and request for public comment.

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SUMMARY: The Energy Policy and Conservation Act of 1975 (EPCA), as 
amended, directs the U.S. Department of Energy (DOE) to establish 
energy conservation standards for certain commercial and industrial 
equipment, including commercial heating, air-conditioning, and water-
heating equipment. Of particular relevance here, the statute also 
requires that each time the corresponding consensus standard--the 
American Society of Heating, Refrigerating and Air-Conditioning 
Engineers, Inc. (ASHRAE)/Illuminating Engineering Society (IES) 
Standard 90.1--is amended by the industry, DOE must assess whether 
there is a need to update the uniform national energy conservation 
standards for the same equipment covered under EPCA. ASHRAE officially 
released an amended version of this industry standard (ASHRAE Standard 
90.1-2013), on October 9, 2013, thereby triggering DOE's related 
obligations under EPCA. As a first step in meeting this statutory 
requirement, today's notice of data availability (NODA) discusses the 
results of DOE's analysis of the energy savings potential of amended 
energy conservation standards for certain types of commercial equipment 
covered by ASHRAE Standard 90.1. The energy savings potentials are 
based upon either the efficiency levels specified in the amended 
industry standard (i.e., ASHRAE Standard 90.1-2013) or more-stringent 
levels that would result in significant additional conservation of 
energy and are technologically feasible and economically justified. DOE 
is publishing this NODA to: announce the results and preliminary 
conclusions of DOE's analysis of potential energy savings associated 
with amended standards for this equipment, and request public comment 
on this analysis, as well as the submission of data and other relevant 
information.

DATES: DOE will accept written comments, data, and information 
regarding this NODA no later than May 12, 2014.

ADDRESSES: Any comments submitted must identify the NODA for ASHRAE 
Equipment and provide the docket number EERE-2014-BT-STD-0015 and/or 
Regulatory Information Number (RIN) 1904-AB23. Interested parties are 
encouraged to submit comments electronically. However, comments may be 
submitted by any of the following methods:
     Federal eRulemaking Portal: www.regulations.gov. Follow 
the instructions for submitting comments.
     Email: ComHeatingACWHEquip2014STD0015@ee.doe.gov. Include 
docket number EERE-2014-BT-STD-0015 and/or RIN number 1904-AB23 in the 
subject line of the message. All comments should clearly identify the 
name, address, and, if appropriate, organization of the commenter. 
Submit electronic comments in WordPerfect, Microsoft Word, PDF, or 
ASCII file format, and avoid the use of special characters or any form 
of encryption.
     Postal Mail: Ms. Brenda Edwards, U.S. Department of 
Energy, Building Technologies Office, Mailstop EE-5B, 1000 Independence 
Avenue SW., Washington, DC 20585-0121. If possible, please submit all 
items on a compact disc (CD), in which case it is not necessary to 
include printed copies. (Please note that comments sent by mail are 
often delayed and may be damaged by mail screening processes.)
     Hand Delivery/Courier: Ms. Brenda Edwards, U.S. Department 
of Energy, Building Technologies Office, Sixth Floor, 950 L'Enfant 
Plaza SW., Washington, DC 20024. Telephone: (202) 586-2945. If 
possible, please submit all items on a CD, in which case it is not 
necessary to include printed copies.
    No telefacsimilies (faxes) will be accepted. For detailed 
instructions on submitting comments and additional information on the 
rulemaking process, see section IV of this document (Public 
Participation).
    Docket: The docket is available for review at http://www.regulations.gov, including Federal Register notices, comments, and 
other supporting documents/materials throughout the rulemaking process. 
All documents in the docket are listed in the www.regulations.gov 
index. However, not all documents listed in the index may be publicly 
available, such as information that is exempt from public disclosure.
    A link to the docket Web page can be found at: http://
www.regulations.gov/

[[Page 20115]]

 !docketDetail;D=EERE-2014-BT-STD-0015. This Web page contains 
a link to the docket for this notice on the www.regulations.gov site. 
The www.regulations.gov Web page contains simple instructions on how to 
access all documents, including public comments, in the docket. See 
section IV, ``Public Participation,'' for information on how to submit 
comments through www.regulations.gov.
    For information on how to submit a comment or review other public 
comments and the docket, contact Ms. Brenda Edwards at (202) 586-2945 
or by email: Brenda.Edwards@ee.doe.gov.

FOR FURTHER INFORMATION CONTACT: Ms. Ashley Armstrong, U.S. Department 
of Energy, Office of Energy Efficiency and Renewable Energy, Building 
Technologies Office, EE-5B, 1000 Independence Avenue SW., Washington, 
DC 20585-0121. Telephone: (202) 586-6590. Email: 
Ashley.Armstrong@ee.doe.gov.
    Mr. Eric Stas, U.S. Department of Energy, Office of the General 
Counsel, GC-71, 1000 Independence Avenue SW., Washington, DC 20585-
0121. Telephone: (202) 586-9507. Email: Eric.Stas@hq.doe.gov.

SUPPLEMENTARY INFORMATION:

Table of Contents

I. Introduction
    A. Authority
    B. Purpose of the Notice of Data Availability
    C. Background
    1. ASHRAE Standard 90.1-2013
    D. Summary of DOE's Preliminary Assessment of Equipment for 
Energy Savings Analysis
II. Discussion of Changes in ASHRAE Standard 90.1-2013
    A. Commercial Package Air-Conditioning and Heating Equipment
    1. Air-Cooled Equipment
    2. Water-Source Equipment
    3. Packaged Terminal Air Conditioners
    4. Small-Duct, High-Velocity, and Through-The-Wall Equipment
    5. Single-Package Vertical Air Conditioners and Single-Package 
Vertical Heat Pumps
    6. Consideration of a Space-Constrained Single-Package Vertical 
Unit Equipment Class
    B. Commercial Water Heaters
    C. Test Procedures
    1. Updates to the AHRI 210/240 Test Method
    2. Updates to the AHRI 340/360 Test Method
    3. Updates to the AHRI 1230 Test Method
    4. Updates to the ANSI Z21.47 Test Method
    5. Updates to the ANSI Z21.10.3 Test Method
III. Analysis of Potential Energy Savings
    A. Annual Energy Use
    1. Small Commercial Packaged Air Conditioners and Heat Pumps
    2. Water-Source Heat Pumps
    3. Package Terminal Air Conditioners
    4. Single-Package Vertical Air Conditioners and Heat Pumps
    5. Commercial Water Heaters
    B. Shipments
    1. Small Commercial Air Conditioners and Heat Pumps
    2. Water-Source Heat Pumps
    3. Packaged Terminal Air Conditioners
    4. Single-Package Vertical Air Conditioners and Heat Pumps
    5. Commercial Water Heaters
    C. Base-Case Efficiency Distribution
    D. Other Analytical Inputs
    1. Conversion of Site Energy Savings
    2. Equipment Lifetime
    3. Compliance Date and Analysis Period
    E. Estimates of Potential Energy Savings
IV. Public Participation
    A. Submission of Comments
    B. Issues on Which DOE Seeks Comment
V. Approval of the Office of the Secretary

I. Introduction

A. Authority

    Title III, Part C \1\ of the Energy Policy and Conservation Act of 
1975 (EPCA or the Act), Public Law 94-163 (42 U.S.C. 6311-6317, as 
codified), added by Public Law 95-619, Title IV, Sec.  441(a), 
established the Energy Conservation Program for Certain Industrial 
Equipment, which includes the commercial heating, air-conditioning, and 
water-heating equipment that is the subject of this rulemaking.\2\ In 
general, this program addresses the energy efficiency of certain types 
of commercial and industrial equipment. Relevant provisions of the Act 
specifically include definitions (42 U.S.C. 6311), test procedures (42 
U.S.C. 6314), labelling 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).
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    \1\ For editorial reasons, upon codification in the U.S. Code, 
Part C was redesignated Part A-1.
    \2\ All references to EPCA in this document refer to the statute 
as amended through the American Energy Manufacturing Technical 
Corrections Act (AEMTCA), Pub. L. 112-210 (Dec. 18, 2012).
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    In relevant part here, EPCA contains mandatory energy conservation 
standards for commercial heating, air-conditioning, and water-heating 
equipment. (42 U.S.C. 6313(a)) Specifically, the statute sets standards 
for small, large, and very large commercial package air-conditioning 
and heating equipment, packaged terminal air conditioners (PTACs) and 
packaged terminal heat pumps (PTHPs), warm-air furnaces, packaged 
boilers, storage water heaters, instantaneous water heaters, and 
unfired hot water storage tanks. Id. In doing so, EPCA established 
Federal energy conservation standards that generally correspond to the 
levels in the American Society of Heating, Refrigerating and Air-
Conditioning Engineers (ASHRAE) Standard 90.1, Energy Standard for 
Buildings Except Low-Rise Residential Buildings, as in effect on 
October 24, 1992 (i.e., ASHRAE Standard 90.1-1989), for each type of 
covered equipment listed in 42 U.S.C. 6313(a). The Energy Independence 
and Security Act of 2007 (EISA 2007) further amended EPCA by adding 
definitions and setting minimum standards for single-package vertical 
air conditioners (SPVACs) and single-package vertical heat pumps 
(SPVHPs), which are collectively referred to as single-package vertical 
units (SPVUs). (42 U.S.C. 6313(a)(10)(A)) The standards for SPVACs and 
SPVHPs established by EISA 2007 corresponded to the levels contained in 
ASHRAE Standard 90.1-2004, which originated as addendum ``d'' to 
Standard 90.1-2001.
    In acknowledgement of technological changes that yield energy 
efficiency benefits, Congress directed DOE through EPCA to consider 
amending the existing Federal energy efficiency standard for each type 
of equipment listed, each time ASHRAE Standard 90.1 is amended with 
respect to such equipment. (42 U.S.C. 6313(a)(6)(A)) For each type of 
equipment, EPCA directs that, if ASHRAE Standard 90.1 is amended,\3\

[[Page 20116]]

DOE must adopt amended standards at the new efficiency level in ASHRAE 
Standard 90.1, unless clear and convincing evidence supports a 
determination that adoption of a more-stringent level 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)) If DOE decides to adopt as a national standard the 
minimum efficiency levels specified in the amended ASHRAE Standard 
90.1, DOE must establish such standard not later than 18 months after 
publication of the amended industry standard. (42 U.S.C. 
6313(a)(6)(A)(ii)(I)) However, if DOE determines that a more-stringent 
standard is justified under 42 U.S.C. 6313(a)(6)(A)(ii)(II), then DOE 
must establish such more-stringent standard not later than 30 months 
after publication of the amended ASHRAE Standard 90.1. (42 U.S.C. 
6313(a)(6)(B))
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    \3\ Although EPCA does not explicitly define the term 
``amended'' in the context of ASHRAE Standard 90.1, DOE provided its 
interpretation of what would constitute an ``amended standard'' in a 
final rule published in the Federal Register on March 7, 2007 
(hereafter referred to as the ``March 2007 final rule''). 72 FR 
10038. In that rule, DOE stated that the statutory trigger requiring 
DOE to adopt uniform national standards based on ASHRAE action is 
for ASHRAE to change a standard for any of the equipment listed in 
EPCA section 342(a)(6)(A)(i) (42 U.S.C. 6313(a)(6)(A)(i)) by 
increasing the energy efficiency level for that equipment type. Id. 
at 10042. In other words, if the revised ASHRAE Standard 90.1 leaves 
the standard level unchanged or lowers the standard, as compared to 
the level specified by the national standard adopted pursuant to 
EPCA, DOE does not have the authority to conduct a rulemaking to 
consider a higher standard for that equipment pursuant to 42 U.S.C. 
6313(a)(6)(A). DOE subsequently reiterated this position in a final 
rule published in the Federal Register on July 22, 2009. 74 FR 
36312, 36313.
    However, in the AEMTCA amendments to EPCA in 2012, Congress 
modified several provisions related to ASHRAE Standard 90.1 
equipment. In relevant part, DOE is now triggered to act whenever 
ASHRAE Standard 90.1's ``standard levels or design requirements 
under that standard'' are amended. (42 U.S.C. 6313(a)(6)(A)(i)) 
Furthermore, DOE is now required to conduct an evaluation of each 
class of covered equipment in ASHRAE Standard 90.1 ``every 6 
years.'' (42 U.S.C. 6313(a)(6)(C)(i)) For any covered equipment for 
which more than 6 years has elapsed since issuance of the most 
recent final rule establishing or amending a standard for such 
equipment, DOE must publish either the required notice of 
determination that standards do not need to be amended or a NOPR 
with proposed standards by December 31, 2013. DOE has incorporated 
these new statutory mandates into its rulemaking process for covered 
ASHRAE 90.1 equipment.
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    As a preliminary step in the process of reviewing the changes to 
ASHRAE Standard 90.1, EPCA directs DOE to publish in the Federal 
Register for public comment an analysis of the energy savings potential 
of amended energy efficiency standards within 180 days after ASHRAE 
Standard 90.1 is amended with respect to any of the covered products 
specified under 42 U.S.C. 6313(a). (42 U.S.C. 6313(a)(6)(A))
    On October 9, 2013, ASHRAE officially released for distribution and 
made public ASHRAE Standard 90.1-2013.\4\ This action by ASHRAE 
triggered DOE's obligations under 42 U.S.C. 6313(a)(6), as outlined 
previously. This notice of data availability (NODA) presents the 
analysis of the energy savings potential of amended energy efficiency 
standards, as required under 42 U.S.C. 6313(a)(6)(A)(i).
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    \4\ This industry standard is developed with input from a number 
of organizations--most prominently ASHRAE, the American National 
Standards Institute (ANSI), and the Illuminating Engineering Society 
(IES). Therefore, this document may sometimes be referred to more 
formally as ANSI/ASHRAE/IES Standard 90.1-2013. See www.ashrae.org 
for more information.
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B. Purpose of the Notice of Data Availability

    As explained previously, DOE is publishing today's NODA as a 
preliminary step pursuant to EPCA's requirements for DOE to consider 
amended energy conservation standards for certain types of commercial 
equipment covered by ASHRAE Standard 90.1, whenever ASHRAE amends its 
standard to increase the energy efficiency level for that equipment 
type. Specifically, this NODA presents for public comment DOE's 
analysis of the potential energy savings for amended national energy 
conservation standards for these types of commercial equipment based 
on: (1) The amended efficiency levels contained within ASHRAE Standard 
90.1-2013, and (2) more-stringent efficiency levels. DOE describes 
these analyses and preliminary conclusions and seeks input from 
interested parties, including the submission of data and other relevant 
information.
    DOE is not required by EPCA to review additional changes in ASHRAE 
Standard 90.1-2013 for those equipment types where ASHRAE did not 
increase the efficiency level or change the design requirements 
compared to the existing Federal energy conservation standards. For 
those types of equipment for which efficiency levels or design 
requirements clearly did not change, DOE has conducted no further 
analysis. Therefore, DOE carefully examined the changes for such 
equipment in ASHRAE Standard 90.1 in order to thoroughly evaluate the 
amendments in ASHRAE 90.1-2013, thereby permitting DOE to determine 
what action, if any, is required under its statutory mandate.
    Section II of this notice contains a discussion of DOE's evaluation 
of each ASHRAE equipment type for which energy conservation standards 
have been set pursuant to EPCA (``covered equipment''), in order for 
DOE to determine whether the amendments in ASHRAE Standard 90.1-2013 
have resulted in increased efficiency levels or changes in design 
requirements. For covered equipment types determined to have increased 
efficiency levels or changes in design requirements in ASHRAE Standard 
90.1-2013, DOE subjected that equipment to further analysis as 
discussed in section III of this NODA.
    In summary, the energy savings analysis presented in this NODA is a 
preliminary step required under 42 U.S.C. 6313(a)(6)(A)(i). After 
review of the public comments on this NODA, if DOE determines that the 
amended efficiency levels in ASHRAE Standard 90.1-2013 have the 
potential for additional energy savings for types of equipment 
currently covered by uniform national standards, DOE will commence a 
rulemaking to consider amended standards, based upon either the 
efficiency levels in ASHRAE Standard 90.1-2013 or more-stringent 
efficiency levels that would be expected to result in significant 
additional conservation of energy and are technologically feasible and 
economically justified. In conducting such rulemaking, DOE will address 
the general rulemaking requirements for all energy conservation 
standards, such as the anti-backsliding provision \5\ (42 U.S.C. 
6316(a); 42 U.S.C. 6295(o)(1); 42 U.S.C. 6313(a)(6)(B)(iii)(I)), the 
criteria for making a determination that a standard is economically 
justified \6\ (42 U.S.C. 6316(a); 42 U.S.C. 6295(o)(2)(B)(i)-(ii); 42 
U.S.C. 6313(a)(6)(B)(ii)), and the prohibition on making unavailable 
existing products with performance characteristics generally available 
in the United States.\7\ (42 U.S.C. 6316(a); 42 U.S.C. 6295(o)(4); 42 
U.S.C. 6313(a)(6)(B)(iii)(II)).
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    \5\ EPCA contains what is commonly known as an ``anti-
backsliding'' provision. (42 U.S.C. 6316(a); 42 U.S.C. 6295(o)(1)) 
This provision mandates that the Secretary not prescribe any amended 
standard that either increases the maximum allowable energy use or 
decreases the minimum required energy efficiency of covered 
equipment. The AEMTCA amendments to EPCA added this requirement to 
Part A-1 directly at 42 U.S.C. 6313(a)(6)(B)(iii)(I).
    \6\ In deciding whether a more stringent standard is 
economically justified, DOE must review comments on the proposed 
standard, and then determine whether the benefits of the standard 
exceed its burdens by considering the following seven factors to the 
greatest extent practicable:
    (1) The economic impact on manufacturers and consumers subject 
to the standard;
    (2) The savings in operating costs throughout the estimated 
average life of the product in the type (or class), compared to any 
increase in the price, initial charges, or maintenance expenses of 
the products 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 product utility or performance likely to 
result from the standard;
    (5) The impact of any lessening of competition, as determined in 
writing by the Attorney General, likely to result from the standard;
    (6) The need for national energy conservation; and
    (7) Other factors the Secretary considers relevant.
    (42 U.S.C. 6316(a); 42 U.S.C. 6295(o)(2)(B)(i)-(ii)) The AEMTCA 
amendments to EPCA added this requirement to Part A-1 directly at 42 
U.S.C. 6313(a)(6)(B)(ii).
    \7\ The Secretary may not prescribe an amended standard if 
interested persons have established by a preponderance of evidence 
that the amended standard would likely result in unavailability in 
the U.S. of any covered product type or class of performance 
characteristics, such as reliability, features, capacities, sizes, 
and volumes that are substantially similar to those generally 
available in the U.S. at the time of the Secretary's finding. (42 
U.S.C. 6316(a); 42 U.S.C. 6295(o)(4)) The AEMTCA amendments to EPCA 
added this requirement to Part A-1 directly at 42 U.S.C. 
6313(a)(6)(B)(iii)(II).
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C. Background

1. ASHRAE Standard 90.1-2013
    As noted previously, ASHRAE released a new version of ASHRAE 
Standard 90.1 on October 9, 2013. The ASHRAE standard addresses 
efficiency levels for many types of commercial heating, ventilating, 
air-conditioning (HVAC), and water-heating equipment

[[Page 20117]]

covered by EPCA. ASHRAE Standard 90.1-2013 revised the efficiency 
levels for certain commercial equipment, but for the remaining 
equipment, ASHRAE left in place the preexisting levels (i.e. the 
efficiency levels specified in EPCA or the efficiency levels in ASHRAE 
Standard 90.1-2010). ASHRAE Standard 90.1-2013 did not change any of 
the design requirements for the commercial (HVAC) and water-heating 
equipment covered by EPCA.
    Table I.1 shows the equipment classes (and corresponding efficiency 
levels) for which efficiency levels in ASHRAE Standard 90.1-2013 (for 
metrics included in Federal energy conservation standards) differed 
from the previous version of ASHRAE Standard 90.1 (i.e., ASHRAE 
Standard 90.1-2010). Table I.1 also displays the existing Federal 
energy conservation standards for those equipment classes. Section II 
of this document assesses each of these equipment types to determine 
whether the amendments in ASHRAE Standard 90.1-2013 constitute 
increased energy efficiency levels, which would necessitate further 
analysis of the potential energy savings from amended Federal energy 
conservation standards; the conclusions of this assessment are 
presented in the final column of Table I.1.

 Table I.1--Federal Energy Conservation Standards and Energy Efficiency Levels in ASHRAE Standard 90.1-2013 for
                                    Specific Types of Commercial Equipment *
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                                    Energy            Energy
                                  efficiency        efficiency      Federal  energy
  ASHRAE equipment class **        levels in         levels in       conservation     Energy-Savings  potential
                               ASHRAE  standard  ASHRAE  standard      standards         analysis  required?
                                   90.1-2010         90.1-2013
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                      Commercial Package Air-Conditioning and Heating Equipment--Air-Cooled
----------------------------------------------------------------------------------------------------------------
Air-Cooled Air Conditioner, 3- 13.0 SEER.......  14.0 SEER.......  13.0 SEER.......  Yes.
 Phase, Single-Package,                          (as of 1/1/2015)                    See section II.A.1.
 <65,000 Btu/h.
Air-Cooled Heat Pump, 3-       13.0 SEER.......  14.0 SEER.......  13.0 SEER.......  Yes.
 Phase, Single-Package,        7.7 HSPF........  8.0 HSPF........  7.7 HSPF........  See section II.A.1.
 <65,000 Btu/h.                                  (as of 1/1/2015)
Air-Cooled Heat Pump, 3-       13.0 SEER.......  14.0 SEER.......  13.0 SEER.......  Yes.
 Phase, Split System, <65,000  7.7 HSPF........  8.2 HSPF........  7.7 HSPF........  See section II.A.1.
 Btu/h.                                          (as of 1/1/2015)
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                     Commercial Package Air-Conditioning and Heating Equipment--Water Source
----------------------------------------------------------------------------------------------------------------
Water-Source Heat Pump,        11.2 EER........  12.2 EER........  11.2 EER........  Yes.
 <17,000 Btu/h.                4.2 COP.........  4.3 COPH ***....  4.2 COP.........  See section II.A.2.
Water-Source Heat Pump,        12.0 EER........  13.0 EER........  12.0 EER........  Yes.
 >=17,000 and <65,000 Btu/h.   4.2 COP.........  4.3 COPH ***....  4.2 COP.........  See section II.A.2.
Water-Source Heat Pump,        12.0 EER........  13.0 EER........  12.0 EER........  Yes.
 >=65,000 and <135,000 Btu/h.  4.2 COP.........  4.3 COPH ***....  4.2 COP.........  See section II.A.2.
----------------------------------------------------------------------------------------------------------------
                Commercial Package Air-Conditioning and Heating Equipment--PTACs [Dagger][Dagger]
----------------------------------------------------------------------------------------------------------------
Package Terminal Air           EER = 11.7......  EER = 11.9......  EER = 11.7......  Yes.
 Conditioner, <7,000 Btu/h,    (as of 10/8/12).  (as of 1/1/2015)                    See section II.A.3.
 Standard Size (New
 Construction) [dagger].
Package Terminal Air           EER = 13.8 -      EER = 14.0 -      EER = 13.8 -      Yes.
 Conditioner, >=7,000 and       (0.300 x Cap      (0.300 x Cap      (0.300 x Cap     See section II.A.3.
 <=15,000 Btu/h, Standard       [dagger][dagger   [dagger][dagger   [dagger][dagger
 Size (New Construction)        ]).               ]).               ]).
 [dagger].                     (as of 10/8/12).  (as of 1/1/2015)
Package Terminal Air           EER = 9.3.......  EER = 9.5.......  EER = 9.3.......  Yes.
 Conditioner, >15,000 Btu/h,   (as of 10/8/12).  (as of 1/1/2015)                    .See section II.A.3.
 Standard Size (New
 Construction) [dagger].
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                     Commercial Package Air-Conditioning and Heating Equipment--SDHV and TTW
----------------------------------------------------------------------------------------------------------------
Through-the-Wall (TTW), Air-   13.0 SEER.......  12.0 SEER.......  13.0 SEER.......  No.
 Cooled Heat Pumps, <=30,000   7.4 HSPF........  7.4 HSPF........  7.7 HSPF........  See section II.A.4.
 Btu/h.
Small-Duct, High-Velocity,     10.0 SEER.......  11.0 SEER.......  13.0 SEER.......  No.
 Air-Cooled (SDHV) Air                                                               See section II.A.4.
 Conditioners, <65,000 Btu/h.
Small-Duct, High-Velocity,     10.0 SEER.......  11.0 SEER.......  13.0 SEER.......  No.
 Air-Cooled Heat Pumps,        HSPF not listed   6.8 HSPF........  7.7 HSPF........  See section II.A.4.
 <65,000 Btu/h.                 [dagger][dagger
                                ][dagger].
----------------------------------------------------------------------------------------------------------------
                  Commercial Package Air-Conditioning and Heating Equipment--SPVACs and SPVHPs
----------------------------------------------------------------------------------------------------------------
Single Package Vertical Air    9.0 EER.........  10.0 EER........  9.0 EER.........  Yes.
 Conditioners, <65,000 Btu/h.                                                        See section II.A.5.
Single Package Vertical Air    8.9 EER.........  10.0 EER........  8.9 EER.........  Yes.
 Conditioners, >=65,000 and                                                          See section II.A.5.
 <135,000 Btu/h.
Single Package Vertical Air    8.6 EER.........  10.0 EER........  8.6 EER.........  Yes.
 Conditioners, >=135,000 and                                                         See section II.A.5.
 <240,000 Btu/h.
Single Package Vertical Heat   9.0 EER.........  10.0 EER........  9.0 EER.........  Yes.
 Pumps, <65,000 Btu/h.         3.0 COP.........  3.0 COPH ***....  3.0 COP.........  See section II.A.5.
Single Package Vertical Heat   8.9 EER.........  10.0 EER........  8.9 EER.........  Yes.
 Pumps, >=65,000 and <135,000  3.0 COP.........  3.0 COPH ***....  3.0 COP.........  See section II.A.5.
 Btu/h.
Single Package Vertical Heat   8.6 EER.........  10.0 EER........  8.6 EER.........  Yes.
 Pumps, >=135,000 and          2.9 COP.........  3.0 COPH ***....  2.9 COP.........  See section II.A.5.
 <240,000 Btu/h.
Single Package Vertical Air    N/A.............  9.2 EER.........  N/A [Dagger]....  No.
 Conditioners Nonweatherized                                                         See section II.A.5.
 Space Constrained, <=30,000
 Btu/h.
Single Package Vertical Air    N/A.............  9.0 EER.........  N/A [Dagger]....  No.
 Conditioners Nonweatherized                                                         See section II.A.5.
 Space Constrained, >30,000
 and <=36,000 Btu/h.

[[Page 20118]]

 
Single Package Vertical Heat   N/A.............  9.2 EER.........  N/A [Dagger]....  No.
 Pumps Nonweatherized Space                      3.0 COPH........                    See section II.A.5.
 Constrained, <=30,000 Btu/h.
Single Package Vertical Heat   N/A.............  9.0 EER.........  N/A [Dagger]....  No.
 Pumps Nonweatherized Space                      3.0 COPH........                    See section II.A.5.
 Constrained, >30,000 and
 <=36,000 Btu/h.
----------------------------------------------------------------------------------------------------------------
                                            Commercial Water Heaters
----------------------------------------------------------------------------------------------------------------
Electric Storage Water         20 + 35 V         0.3 + 27/Vm       0.3 + 27/Vm       No.
 Heaters, >12 kW, >=20 gal.     [shel1]/[shel2]   [Dagger][Dagger   [Dagger][Dagger  See Section II.B.
                                SL                ][Dagger] %/h.    ][Dagger] %/h.
                                [Dagger][Dagger
                                ], Btu/h.
Gas Storage Water Heaters,     80% Et; Q/800 +   80% Et; Q/799 +   80% Et; Q/800 +   No.
 >75,000 Btu/h, <4,000 Btu/h/   110 V [shel1]/    16.6 V [shel1]/   110 Vr [shel1]/  See section II.A.5.
 gal.                           [shel2] SL        [shel2]           [shel2] Btu/hr.
                                [diam], Btu/h.    SL[diam], Btu/h
                                                  [diam][diam].
Oil Storage Water Heaters,     78% Et; Q/800 +   80% Et; Q/799 +   78% Et; Q/800 +   Yes.
 >105,000 Btu/h, <4,000 Btu/h/  110 V [shel1]/    16.6 V [shel1]/   110 Vr [shel1]/  See section II.A.5.
 gal.                           [shel2] SL        [shel2] SL        [shel2] Btu/hr.
                                [diam], Btu/h.    [diam], Btu/h
                                                  [diam][diam].
Gas Instantaneous Water        80% Et, Q/800 +   80% Et, Q/799 +   80% Et, Q/800 +   No.
 Heaters, >=200,000 Btu/h,      110 V [shel1]/    16.6 V [shel1]/   110 Vr [shel1]/  See section II.A.5.
 >=4,000 Btu/h/gal, >=10 gal.   [shel2] SL        [shel2] SL        [shel2] Btu/hr.
                                [diam], Btu/h.    [diam], Btu/h
                                                  [diam][diam].
Oil Instantaneous Water        78% Et, Q/800 +   78% Et, Q/799 +   78% Et, Q/800 +   No.
 Heaters, >210,000 Btu/h,       110 V [shel1]/    16.6 V [shel1]/   110 Vr [shel1]/  See section II.A.5.
 >=4,000 Btu/h/gal, >=10 gal.   [shel2] SL        [shel2] SL        [shel2] Btu/hr.
                                [diam], Btu/h.    [diam], Btu/h
                                                  [diam][diam].
----------------------------------------------------------------------------------------------------------------
* ``Et'' means thermal efficiency; ``EER'' means energy efficiency ratio; ``SEER'' means seasonal energy
  efficiency ratio; ``HSPF'' means heating seasonal performance factor; ``COP'' and ``COPH'' mean coefficient of
  performance; and ``Btu/h'' or ``Btu/hr'' means British thermal units per hour.
** ASHRAE Standard 90.1-2013 equipment classes may differ from the equipment classes defined in DOE's
  regulations, but no loss of coverage will occur (i.e., all previously covered DOE equipment classes remained
  covered equipment).
*** While ASHRAE Standard 90.1-2013 added a subscript H to COP for all heat pumps, its definition for
  ``coefficient of performance (COP), heat pump--heating'' has not changed. As a result, DOE believes the
  subscript to be a clarifying change of nomenclature (to differentiate from the COP metric used for
  refrigeration) only, rather than a change to the metric itself.
[dagger] ``Standard size'' refers to PTAC equipment with wall sleeve dimensions >=16 inches high or >=42 inches
  wide. For DOE's purposes, this equipment class applies to standard-size equipment regardless of application
  (e.g., new construction or replacement).
[dagger][dagger] ``Cap'' means cooling capacity in kBtu/h at 95[deg]F outdoor dry-bulb temperature.
[dagger][dagger][dagger] This may have been an editorial error in ASHRAE 90.1-2010.
[Dagger] While ASHRAE Standard 90.1-2013 added this equipment class, DOE believes that equipment falling into
  these classes is already covered by Federal standards, most commonly in the residential space-constrained
  central air conditioning equipment class with minimum standards of 12.0 SEER for air conditioners and heat
  pumps and 7.4 HSPF for heat pumps. See section II.A.5.1 of this NODA.
[Dagger][Dagger] ``V'' means rated volume in gallons; ``SL'' means standby loss.
[Dagger][Dagger][Dagger] ``Vm'' means measured volume in tank.
[diam] ``Q'' means the nameplate input rate in Btu/hr; ``V'' means rated volume in gallons; ``SL'' means standby
  loss. DOE's descriptor, ``Vr,'' also means rated volume in gallons and differs only in nomenclature.
[diam][diam] As explained in section II.A of this NODA, DOE believes this level was a mistake; the formula for
  SI units was included instead of that for IP units.

    DOE notes that ASHRAE 90.1-2013 also increased integrated energy 
efficiency ratio (IEER) levels for additional equipment not listed in 
Table I.1, including small, large, and very large air-cooled and water-
cooled air conditioners and heat pumps.\8\ However, because Federal 
energy conservation standards for this equipment do not use IEER as a 
rating metric, DOE is not triggered to review this equipment. In 
February 2013, DOE published a request for information (RFI) and notice 
of document availability for commercial air-cooled equipment. 78 FR 
7296 (Feb. 1, 2013). In the RFI, DOE sought information on the merits 
of adopting IEER as the energy efficiency descriptor for small, large, 
and very large air-cooled commercial air conditioners and heat pumps. 
Should DOE adopt new standards using IEER as the metric, future 
increases in IEER levels in ASHRAE Standard 90.1-2013 as compared to 
the Federal energy conservation standards would trigger DOE to review 
its efficiency levels for that equipment?
---------------------------------------------------------------------------

    \8\ ASHRAE 90.1-2013 also decreased the IEER levels for small, 
large, and very large air-cooled variable refrigerant flow 
equipment; however, on December 9, 2013, ASHRAE issued errata 
indicating that this was an error for air conditioners. See: https://www.ashrae.org/File%20Library/docLib/StdsErrata/90-1-2013-IP_ErrataSheet_12-9-2013.pdf. DOE believes this was also an editorial 
error for heat pumps.
---------------------------------------------------------------------------

D. Summary of DOE's Preliminary Assessment of Equipment for Energy 
Savings Analysis

    DOE has reached a preliminary conclusion for each of the classes of 
commercial equipment in ASHRAE Standard 90.1-2013 addressed in today's 
NODA. For each class of commercial equipment addressed in this NODA, 
section II presents DOE's initial determination as to whether ASHRAE 
increased the efficiency level for a given type of equipment (based on 
a rating metric used in the relevant Federal energy conservation 
standards), a change that would require an energy-savings potential 
analysis. As DOE is not required by EPCA to review additional changes 
in ASHRAE Standard 90.1-2013 for those equipment types where ASHRAE did 
not increase the efficiency level or change the design requirements, 
DOE has conducted no further analysis for those types of equipment 
where efficiency levels clearly did not change. Additionally, for 
equipment where ASHRAE Standard 90.1-2013 has increased the level in 
comparison to the previous version of ASHRAE Standard 90.1, but the 
level does not exceed the current Federal standard level, DOE does not 
have the authority to conduct a rulemaking to consider a higher 
standard for that equipment pursuant to 42 U.S.C. 6313(a)(6)(A) and did 
not perform a potential energy-savings analysis. For those equipment 
classes where ASHRAE increased the efficiency level (in comparison to 
the Federal standard), DOE performed an analysis of the energy-savings 
potential, unless DOE found no equipment in the market in that 
equipment class (in which case there is no potential for energy 
savings).\9\
---------------------------------------------------------------------------

    \9\ In the case where there is no equipment on the market or 
insufficient data for analysis, DOE would adopt the ASHRAE level, as 
required by the statute, without further analysis.

---------------------------------------------------------------------------

[[Page 20119]]

    Based upon DOE's analysis, as discussed in section II, DOE has 
determined that ASHRAE increased the efficiency level for the following 
equipment categories:
     Small Three-Phase Commercial Air-Cooled Air Conditioners 
(Single Package Only) and Heat Pumps (Single Package and Split System) 
<65,000 Btu/h;
     Water Source Heat Pumps;
     Packaged Terminal Air Conditioners (Standard Size);
     Single Package Vertical Air Conditioners and Heat Pumps; 
and
     Oil-Fired Storage Water Heaters.
    For most of those equipment classes, DOE found that equipment is 
available on the market and adequate information exists to reasonably 
estimate potential energy savings, and DOE performed an analysis of the 
energy-savings potential, which is described in section III. However, 
when DOE did not find equipment available on the market (such as for 
SPVACs and SPVHPs with capacities above 135,000 Btu/h), DOE did not 
perform a potential energy savings analysis.

II. Discussion of Changes in ASHRAE Standard 90.1-2013

    Before beginning an analysis of the potential energy savings that 
would result from adopting the efficiency levels specified by ASHRAE 
Standard 90.1-2013 or more-stringent efficiency levels, DOE first 
determined whether or not the ASHRAE Standard 90.1-2013 efficiency 
levels actually represented an increase in efficiency above the current 
Federal standard levels or whether ASHRAE Standard 90.1-2013 adopted 
new design requirements, thereby triggering DOE action. This section 
contains a discussion of each equipment class where the ASHRAE Standard 
90.1-2013 efficiency level differs from the ASHRAE Standard 90.1-2010 
level (based on a rating metric used in the relevant Federal energy 
conservation standards),\10\ along with DOE's preliminary conclusion 
regarding the appropriate action to take with respect to that 
equipment. In addition, this section contains a discussion of DOE's 
determination with regard to newly created equipment classes in ASHRAE 
Standard 90.1-2013 (i.e., nonweatherized, space-constrained SPVAC and 
SPVHP). Finally, this section provides a brief discussion of the test 
procedure updates contained in ASHRAE Standard 90.1-2013.
---------------------------------------------------------------------------

    \10\ ASHRAE Standard 90.1-2013 did not change any of the design 
requirements for the commercial (HVAC) and water-heating equipment 
covered by EPCA, so this potential category of change is not 
discussed in this section.
---------------------------------------------------------------------------

A. Commercial Package Air-Conditioning and Heating Equipment

    EPCA, as amended, defines ``commercial package air conditioning and 
heating equipment'' as air-cooled, evaporatively-cooled, water-cooled, 
or water source (not including ground water source) electrically 
operated, unitary central air conditioners and central air conditioning 
heat pumps for commercial use. (42 U.S.C. 6311(8)(A); 10 CFR 431.92) 
EPCA also defines ``small,'' ``large,'' and ``very large'' commercial 
package air conditioning and heating equipment based on the equipment's 
rated cooling capacity. (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)
1. Air-Cooled Equipment
    The current Federal energy conservation standards for the three 
classes of air-cooled commercial package air conditioners and heat 
pumps for which ASHRAE Standard 90.1-2013 amended efficiency levels are 
shown in Table I.1 and can be found in DOE's regulations at 10 CFR 
431.97. The Federal energy conservation standards for air-cooled air 
conditioners and heat pumps are differentiated based on the cooling 
capacity (i.e., small, large, or very large). For small equipment, 
there is an additional disaggregation into: (1) Equipment less than 
65,000 Btu/h and (2) equipment greater than or equal to 65,000 Btu/h 
and less than 135,000 Btu/h. Three-phase equipment less than 65,000 
Btu/h, although commercial equipment, is rated with the same metric as 
residential single-phase equipment (i.e., SEER). Unlike the current 
Federal energy conservation standards, ASHRAE Standard 90.1 also 
differentiates the equipment that is less than 65,000 Btu/h into split 
system and single package subcategories. Historically, ASHRAE has set 
equivalent efficiency levels for this equipment; however, effective 
January 1, 2015, ASHRAE Standard 90.1-2013 increases the efficiency 
level for single package air conditioners but not split system air 
conditioners. The increased efficiency level for single package air 
conditioners surpasses the current Federal energy conservation standard 
level for the overall equipment class, while the efficiency level for 
split system air conditioners meets and does not exceed the Federal 
energy conservation standard for the overall equipment class. ASHRAE 
Standard 90.1-2013 also increases the efficiency levels, effective 
January 1, 2015, for both single package and split system air-cooled 
heat pumps, for SEER and HSPF, to efficiency levels that surpass the 
current Federal energy conservation standard levels. ASHRAE Standard 
90.1-2013 increases the HSPF level for split systems above that for 
single package heat pumps.
    In the past, DOE has separated the equipment classes for three-
phase air conditioners and heat pumps less than 65,000 Btu/h into 
single package and split system classes, for a total of four classes. 
However, when EISA 2007 increased the efficiency levels to identical 
levels across single package and split system equipment, effective in 
2008, DOE combined the equipment classes in the Code of Federal 
Regulations (CFR), resulting in only two equipment classes, one for air 
conditioners and one for heat pumps. Because ASHRAE has increased the 
standard for only single package air conditioners, and has increased 
the HSPF level to a more-stringent level for split system heat pumps 
than for single package heat pumps, and DOE is obligated to adopt, at a 
minimum, the increased level in ASHRAE 90.1-2013 for that equipment 
class, DOE proposes to re-create separate equipment classes for single 
package and split system equipment in the overall equipment classes of 
small commercial package air conditioners and heat pumps (air-cooled, 
three-phase) less than 65,000 Btu/h. DOE requests comment on whether it 
should re-create these separate equipment classes, which is identified 
as Issue 1 in section IV.B, ``Issues on Which DOE Seeks Comment.''
    DOE conducted an analysis of the potential energy savings due to 
amended standards for single package air conditioners and single 
package and split system heat pumps (air-cooled, three-phase, less than 
65,000 Btu/h), which is described in section III of this NODA. DOE did 
not conduct an analysis of the potential energy savings for split 
system air conditioners.

[[Page 20120]]

2. Water-Source Equipment
    The current Federal energy conservation standards for the three 
classes of commercial water source heat pumps for which ASHRAE Standard 
90.1-2013 amended efficiency levels are shown in Table I.1 and can be 
found in DOE's regulations at 10 CFR 431.97. The Federal energy 
conservation standards for water source equipment are differentiated 
based on the cooling capacity. ASHRAE Standard 90.1-2013 increased the 
energy efficiency levels for all three equipment classes to efficiency 
levels that surpass the current Federal energy conservation standard 
levels. Therefore, DOE conducted an analysis of the potential energy 
savings due to amended standards for this equipment, which is described 
in section III of this NODA.
    ASHRAE Standard 90.1-2013 also changed the name of this equipment 
class from ``water source'' to ``water to air, water loop.'' DOE 
believes this to be an editorial change only and that this new 
nomenclature refers to the same water source heat pump equipment 
covered by Federal energy conservation standards. ASHRAE also changed 
the descriptor for this equipment from COP to COPH. DOE 
believes this is also an editorial change to clarify the difference 
between COP for refrigeration and COP for heat pumps. DOE requests 
comment on whether these changes are other than editorial, which is 
identified as Issue 2 in section IV.B, ``Issues on Which DOE Seeks 
Comment.''
    EPCA does not define ``water source heat pump'' other than to 
exclude ground-water-source units from the definition of ``commercial 
package air conditioning and heating equipment.'' (42 U.S.C. 
6311(8)(A)) However, DOE notes that there are several related types of 
water-source and ground-water-source heat pumps, as shown in Table 
II.1. ASHRAE Standard 90.1-2013 included new nomenclature for all such 
types of heat pumps. DOE further notes that the vast majority of water-
source (water-to-air, water-loop) heat pump models are also rated for 
performance in ground-loop or ground-water heat pump applications. It 
is DOE's understanding that design differences of the models used in 
the different applications are minimal, including potentially more 
corrosion-resistant metal in the water coil (for open-loop systems 
only) and/or added insulation for ground-water or ground-loop systems. 
Efficiency ratings are different across these three application types 
primarily because of the different test conditions (ground and ground-
water-source are tested with cooler entering water). Because of the 
similarity in models across application, DOE believes that increased 
efficiency standards for water-loop applications may affect heat pumps 
for ground-source and ground-water applications, although they are 
excluded from coverage. DOE is not aware of any differences between 
water-source heat pumps for residential and commercial applications.

        Table II.1--Nomenclature for Types of Water-Loop, Ground-Loop, and Ground-Water-Source Heat Pumps
----------------------------------------------------------------------------------------------------------------
       ASHRAE Standard 90.1-2010          ASHRAE Standard 90.1-2013                 Test procedure
----------------------------------------------------------------------------------------------------------------
Water-source (86[deg] entering water)..  Water-to-air, water-loop..  ISO Standard 13256-1.
Ground-water-source 59[deg] entering     Water-to-air, ground-water
 water.
Ground-water source 77[deg] entering     Brine-to-air, ground-loop.
 water.
Water-source water-to-water 86[deg]      Water-to-water, water-loop  ISO Standard 13256-2.
 entering water.
Water-source water-to-water 59[deg]      Water-to-water, ground-
 entering water.                          water.
Ground-water-source brine-to-water       Brine-to-water, ground-
 77[deg] entering water.                  loop.
----------------------------------------------------------------------------------------------------------------

    As noted above, DOE views these changes in nomenclature as 
nonsubstantive in terms of the associated standard levels. 
Consequently, DOE is maintaining its current requirements for these 
equipment classes.
    However, DOE is considering adding a definition for ``water-source 
heat pump'' to the CFR that would include both single-phase and three-
phase units of all capacities (up to 760,000 Btu/h) and would be 
applicable to water-to-air heat pumps. DOE is considering adapting the 
definition from that in the ASHRAE handbook: \11\ ``A water-source heat 
pump is a [single-phase or three-phase] reverse-cycle heat pump that 
uses [a circulating water loop] as the heat source for heating and as 
the heat sink for cooling. The main components are a compressor, 
refrigerant-to-water heat exchanger, refrigerant-to-air heat exchanger, 
refrigerant expansion devices, and refrigerant reversing valve.'' DOE 
requests comment on this definition, which is identified as Issue 3 in 
section IV.B, ``Issues on Which DOE Seeks Comment.''
---------------------------------------------------------------------------

    \11\ 2012 ASHRAE Handbook, Heating, Ventilating, and Air-
Conditioning Systems and Equipment. ASHRAE, Atlanta, GA. Chapter 9 
(Available at: https://www.ashrae.org/resources-publications/description-of-the-2012-ashrae-handbook-hvac-systems-and-equipment).
---------------------------------------------------------------------------

3. Packaged Terminal Air Conditioners
    EPCA defines a ``packaged terminal air conditioner'' as ``a wall 
sleeve and a separate unencased combination of heating and cooling 
assemblies specified by the builder and intended for mounting through 
the wall. It includes a prime source of refrigeration, separable 
outdoor louvers, forced ventilation, and heating availability by 
builder's choice of hot water, steam, or electricity.'' (42 U.S.C. 
6311(10)(A); 10 CFR 431.92)
    In February 2013, DOE published a notice of public meeting and 
availability of the Framework Document regarding energy conservation 
standards for packaged terminal air conditioners and heat pumps 
standards. 78 FR 12252 (Feb. 22, 2013). This framework was published as 
a first step toward meeting the six-year look back requirement 
specified in EISA 2007. (42 U.S.C. 6313(a)(6)(C)(i)) As part of the 
six-year look back, DOE expects to issue a notice of proposed 
rulemaking (NOPR) for PTAC and PTHP equipment that will include 
equipment classes for which ASHRAE Standard 90.1-2013 increased 
efficiency levels (i.e., standard-size PTACs), as well as those for 
which it did not. The PTACs/PTHPs NOPR will be issued along a timeline 
that meets the six-year look back requirements (for those equipment 
classes where DOE was not triggered), as well as either the 18 or 30 
month timeline noted previously (for those equipment classes where DOE 
was triggered).
    The current Federal energy conservation standards for the three 
classes of PTACs for which ASHRAE Standard 90.1-2013 amended efficiency 
levels are shown in Table I.1 and are found in DOE's regulations at 10 
CFR 431.97. The Federal energy conservation standards for PTACs are 
differentiated based on the cooling capacity and physical dimensions 
(standard versus nonstandard size). ASHRAE Standard 90.1-2013 increased 
the energy efficiency levels for all three standard-size PTAC equipment 
classes to efficiency levels that meet those for

[[Page 20121]]

PTHPs and surpass the current Federal energy conservation standard 
levels for PTACs. Therefore, DOE conducted an analysis of the potential 
energy savings due to amended standards for standard-size PTACs, which 
is described in section III of this NODA.
4. Small-Duct, High-Velocity, and Through-The-Wall Equipment
    EPCA does not separate small-duct high-velocity (SDHV) or through-
the-wall (TTW) heat pumps from other types of small commercial package 
air-conditioning and heating equipment in its definitions. (42 U.S.C. 
6311(8)) Therefore, EPCA's definition of ``small commercial package air 
conditioning and heating equipment'' would include SDHV and TTW heat 
pumps.
    ASHRAE Standard 90.1-2013 appeared to change some of the efficiency 
levels for these classes of equipment. Specifically, ASHRAE Standard 
90.1-2010 had increased the cooling efficiency requirements for TTW 
heat pumps to 13.0 SEER in comparison to the efficiency levels of 12.0 
SEER in ASHRAE Standard 90.1-2007. However, in March 2011, ASHRAE 
issued Proposed Addendum h for public review that would correct the 
minimum SEER for this equipment to 12.0 SEER, and this addendum was 
approved and incorporated into ASHRAE Standard 90.1-2013. Therefore, 
this change in ASHRAE Standard 90.1-2013 was correcting an editorial 
error in ASHRAE Standard 90.1-2010.
    For SDHV air conditioners and heat pumps, ASHRAE Standard 90.1-2013 
increases the cooling efficiency requirement from 10.0 SEER to 11.0 
SEER. It also includes a heating efficiency requirement for SDHV heat 
pumps of 6.8 HSPF, which was present in ASHRAE 90.1-2007 but not ASHRAE 
90.1-2010 (which DOE also thought to be an editorial error). These 
changes were made through Addendum bj to ASHRAE 90.1-2010, which noted 
that the previously adopted Addendum j to ASHRAE Standard 90.1-2010 had 
deleted the SDHV equipment class entirely because all SDHV models sold 
were single-phase residential products, but that Addendum bj was re-
establishing the equipment class because manufacturers had expressed an 
intention to introduce three-phase equipment to the market. In 
addition, Addendum bj noted that it contained minimum efficiency levels 
identical to those established by DOE for single-phase residential SDHV 
products.
    The DOE standards for both commercial TTW and SDHV air 
conditioners, which are 13.0 SEER, and for heat pumps, which are 13.0 
SEER and 7.7 HSPF, were established for the overall equipment category 
of small commercial package air-conditioning and heating equipment by 
EISA 2007, which amended EPCA. (42 U.S.C. 6313(a)(7)(D)) Because the 
ASHRAE Standard 90.1-2013 efficiency levels for TTW and SDHV equipment 
are less than those in the DOE standards, DOE has tentatively concluded 
that it is not required to take action on this equipment at this time.
5. Single-Package Vertical Air Conditioners and Single-Package Vertical 
Heat Pumps
    EPCA, as amended, defines ``single package vertical air 
conditioner'' as air-cooled commercial package air conditioning and 
heating equipment that:
    (1) is factory-assembled as a single package that:
    (i) has major components that are arranged vertically;
    (ii) is an encased combination of cooling and optional heating 
components; and
    (iii) is intended for exterior mounting on, adjacent interior to, 
or through an outside wall;
    (2) is powered by a single- or 3-phase current;
    (3) may contain one or more separate indoor grilles, outdoor 
louvers, various ventilation options, indoor free air discharges, 
ductwork, wall plenum, or sleeves; and
    (4) has heating components that may include electrical resistance, 
steam, hot water, or gas, but may not include reverse cycle 
refrigeration as a heating means. (42 U.S.C. 6311(22);\12\ 10 CFR 
431.92)
---------------------------------------------------------------------------

    \12\ In the EISA 2007 amendments to EPCA, Congress renumbered 
several statutory definitions to accommodate new definitions. 
Consequently, the definition for ``harvest rate'' was moved from 42 
U.S.C. 6311(21) to 42 U.S.C. 6311(22). However, in a separate 
provision, EISA 2007 provided for a definition of ``single package 
vertical air conditioner'' at 42 U.S.C. 6311(22). Similarly, EISA 
2007 added a definition for ``single package vertical heat pump'' at 
42 U.S.C. 6311(23), which given the other definitions present, 
probably should have been codified at 42 U.S.C. 6311(24). DOE has 
implemented these statutory provisions as if the drafting error had 
not occurred.
---------------------------------------------------------------------------

    EPCA, as amended, defines ``single package vertical heat pump'' as 
a single-package vertical air conditioner that
    (1) uses reverse cycle refrigeration as its primary heat source; 
and
    (2) may include secondary supplemental heating by means of 
electrical resistance, steam, hot water, or gas. (42 U.S.C. 6311(23); 
10 CFR 431.92)
    The current Federal energy conservation standards for the six 
classes of SPVUs for which ASHRAE Standard 90.1-2013 amended efficiency 
levels are shown in Table I.1 and can be found in DOE's regulations at 
10 CFR 431.97. The product classes for SPVACs and SPVHPs, as well as 
their attendant Federal energy conservation standards, are 
differentiated based on cooling capacity. ASHRAE Standard 90.1-2013 
increased the energy efficiency levels for all six equipment classes to 
efficiency levels that surpass the current Federal energy conservation 
standard levels. Therefore, DOE conducted an analysis of the potential 
energy savings due to amended standards for this equipment, which is 
described in section III of this NODA.
    DOE reviewed the SPVU market and identified several models of SPVUs 
in the 65,000 Btu/h or less equipment class. However, DOE did not 
identify any models of SPVUs in the large category >=135,000 Btu/h and 
<240,000 Btu/h or any models of SPVHPs in the category >=65,000 Btu/h 
and <135,000 Btu/h. As a result of the apparent lack of a market for 
large SPVUs and for SPVHPs >=65,000 Btu/h and <135,000 Btu/h, DOE 
conducted complete preliminary energy saving estimates only for the 
equipment classes SPVAC and SPVHP <65,000 Btu/h and SPVACs >=65,000 
Btu/h and <135,000 Btu/h. For the equipment classes with no market, DOE 
would adopt the ASHRAE levels as the Federal standard, as required by 
the statute, without further analysis.
6. Consideration of a Space-Constrained Single-Package Vertical Unit 
Equipment Class
    ASHRAE Standard 90.1-2013 created a new equipment class for SPVACs 
and SPVHPs used in space-constrained applications. Specifically, ASHRAE 
defined ``nonweatherized space constrained single-package vertical 
unit'' as a SPVAC or SPVHP that meets all of the following 
requirements:
    (1) is for indoor use only;
    (2) has rated cooling capacities no greater than 36,000 Btu/h;
    (3) is a single-package unit requiring opening in an exterior wall 
with overall exterior dimensions that require or use an existing sleeve 
that meets one of the following criteria:
    1. width of less than 32 inches and a height of less than 45 inches
    2. fits inside an existing 1,310 in\2\ opening;
    (4) is commonly installed in site-built commercial buildings;
    (5) is of a similar cooling capacity and, if a heat pump, similar 
heating capacity;
    (6) draws outdoor air for heat exchange directly through an 
existing

[[Page 20122]]

opening, used for both inlet and outlet, in the exterior wall;
    (7) is restricted to applications where an existing air 
conditioner, heat pump, or gas/electric unit, installed in an existing 
exterior wall opening, is to be replaced; and
    (8) bears a permanent ``Replacement'' marking, conspicuously placed 
and clearly indicating that its application is limited to installations 
where an existing air conditioner or heat pump is to be replaced.
    DOE has carefully considered the possibility of establishing an 
equipment class for space-constrained SPVUs. After reviewing the SPVU 
market, DOE identified two distinct market segments: (1) Traditional 
SPVUs, which are typically wall hung or installed indoors and intended 
for use in schools, telecommunications shelters, office buildings, and 
similar applications; and (2) through-the-wall units that are being 
classified as SPVUs and are designed to be installed through-the-wall 
in hotels, apartments, dormitories, assisted living facilities, and 
other similar applications (i.e., ``lodging'' applications). Many of 
the units that are intended primarily for use in lodging applications 
would meet the definition of a space-constrained SPVU in ASHRAE 
Standard 90.1-2013, while conversely, none of the models that were 
intended primarily to serve traditional SPVU applications meet the 
criteria.
    In examining the models that would meet the definition of a ``space 
constrained SPVU'' under ASHRAE Standard 90.1-2013, DOE discovered that 
certain models that are currently classified by manufacturers and in 
the Air-Conditioning, Heating, and Refrigeration Institute (AHRI) 
Directory \13\ as being an SPVU do not have major components arranged 
vertically, which is a key provision in the SPVAC and SPVHP definitions 
provided by EPCA (and discussed earlier in this section). For the 
purposes of determining the applicability of DOE energy conservation 
standards, the product classification is based on the applicable 
product and equipment definitions in EPCA and DOE's regulations. DOE 
does not consider models without the major components arranged 
vertically to be SPVUs. Depending on the product characteristics (e.g., 
electrical power phase, capacity), these models should be classified, 
tested, and certified to DOE as compliant with the applicable standards 
for either central air conditioners or one of the other equipment types 
provided by DOE regulations. Accordingly, DOE did not consider these 
models in its analyses of SPVUs and did not evaluate them when making a 
determination regarding whether to establish a space-constrained 
equipment class within the SPVU equipment type.
---------------------------------------------------------------------------

    \13\ AHRI Directory of Certified Product Performance can be 
accessed at: http://www.ahridirectory.org/ahridirectory/pages/home.aspx.
---------------------------------------------------------------------------

    Furthermore, while reviewing the market to consider a potential 
space-constrained SPVU equipment class, DOE also discovered that many 
models characterized by industry as SPVUs, particularly those that are 
primarily used for lodging applications (which were also the models 
that met the ASHRAE definition for ``space-constrained''), are 
advertised for use in multiple applications including both commercial 
and residential applications. Many of the models characterized as SPVUs 
on the market are advertised to a significant extent for use in 
residential, multi-family applications; however, DOE notes that these 
products are currently classified and certified in the AHRI Directory 
as single-package vertical units, a type of commercial equipment. 
Further, DOE found that certain models of SPVUs in the AHRI Directory 
that would be categorized as ``space-constrained'' were previously 
classified as through-the-wall central air conditioners.\14\
---------------------------------------------------------------------------

    \14\ DOE defined a product class for space-constrained central 
air conditioners, a consumer product type, in a January 22, 2001 
final rule, which DOE stated would include through-the-wall products 
among several other types of space-constrained products. However, 
DOE did not set minimum standards for the space-constrained product 
class. 66 FR 7170, 7197. In a May 23, 2002 final rule, DOE 
established a separate product class with minimum standards for 
through-the-wall products. 67 FR 36368, 36406. Upon establishing 
that product class, DOE also provided in its definition of 
``through-the-wall air conditioner'' that the class would cease to 
exist on January 23, 2010. Id. In a June 27, 2011 direct final rule, 
DOE stated that products in the through-the-wall product class of 
central air conditioners would meet the definition of a ``space 
constrained central air conditioner.'' 76 FR 37408, 37446. The 
American Energy Manufacturing Technical Corrections Act (AEMTCA), 
Pub. L. 112-210 (enacted Dec. 18, 2012), prescribed definitions for 
``through-the-wall central air conditioner'' and ``through-the-wall 
central air conditioning heat pump.'' 42 U.S.C. 6295(d)(4)(A)(ii). 
In a proposed rule published on December 20, 2013 78FR77019, DOE 
proposed to eliminate the previous definition for through-the-wall 
products and adopted these statutory definitions. DOE noted that 
such products must be assigned to a product class based on the 
product's characteristics and suggested that most would be assigned 
to one of the space-constrained product classes.
---------------------------------------------------------------------------

    Upon discovering the dual-market applications of these units, DOE 
considered whether the classification of these products as SPVUs--a 
type of commercial equipment--is appropriate. SPVUs are classified as a 
type of commercial air conditioner under 42 U.S.C. chapter 77, 
subchapter III, Part A-1, ``Certain Industrial Equipment.'' EPCA 
defines industrial equipment as any article of equipment of certain 
specified types that consumes, or is designed to consume, energy, which 
is distributed to any significant extent for industrial and commercial 
use, and which is not a covered product as defined in 42 U.S.C. 
6291(2), without regard to whether such article is in fact distributed 
in commerce for industrial or commercial use. (42 U.S.C. 6311(2)(A))
    EPCA defines ``consumer product'' as any article of a type that 
consumes or is designed to consume energy, and, to any significant 
extent, is distributed in commerce for personal use or consumption by 
individuals without regard to whether such article of such type is in 
fact distributed in commerce for personal use or consumption by an 
individual. (42 U.S.C. 6291(1))
    Thus, consumer products and industrial equipment are mutually 
exclusive categories. An appliance model can only be considered 
commercial/industrial equipment under EPCA if it does not fit the 
definition of ``consumer product.'' Further, DOE must make a 
determination as to whether a model is a consumer product or commercial 
equipment, ``without regard'' to how the model is ``in fact'' 
distributed. DOE notes that many of the products that are currently 
classified by industry as a commercial SPVU and advertised for multi-
family residential applications would meet EPCA's definitions for 
``SPVUs'' from a technical standpoint. (42 U.S.C. 6311(22) and (23)) 
However, DOE reviewed the characteristics of these products and 
concluded that they would also meet the definition of a ``central air 
conditioner.'' (42 U.S.C. 6291(21)) EPCA defines ``central air 
conditioner'' as a product, other than a packaged terminal air 
conditioner, which: (1) Is powered by single phase electric current; 
(2) is air-cooled; (3) is rated below 65,000 Btu per hour; (4) is not 
contained within the same cabinet as a furnace with a rated capacity 
above 225,000 Btu per hour; and (5) is a heat pump or a cooling only 
unit. (42 U.S.C. 6291(21); 10 CFR 430.2) DOE has concluded that, 
because these products meet the definition of a ``central air 
conditioner,'' are similar to products used in residential 
applications, and are seemingly (based on product literature and 
advertising of known products and manufacturers) distributed for 
personal use or consumption by individuals, they are appropriately 
categorized as

[[Page 20123]]

consumer products under the statute.\15\ Because such units meet the 
definition for a ``consumer product'' under 42 U.S.C. 6291(1), they 
cannot meet the definition of commercial ``industrial equipment'' under 
42 U.S.C. 6311(2). In fact, as noted above, certain products that are 
currently categorized by manufacturers as commercial SPVUs were at one 
time categorized as through-the-wall central air conditioners by their 
manufacturers but have since been reclassified as commercial equipment.
---------------------------------------------------------------------------

    \15\ An air conditioner that cools a single apartment and is 
controlled by the residents of that apartment is for personal use, 
just like an air conditioner found in a single-family home, duplex, 
condo, or townhouse.
---------------------------------------------------------------------------

    Through-the-wall models for commercial lodging applications that 
are not specifically advertised for the residential multi-family market 
(and that were not previously categorized as through-the-wall 
residential units) are appropriately classified as consumer products 
because they are for personal use or consumption by individuals. DOE 
examined the types of models that are currently characterized as SPVUs 
and are intended to serve the lodging market but have not been 
reclassified from the through-the-wall central air conditioner product 
class. It noted similarities in the design, construction, and 
applications for these products as compared to the products that were 
classified previously as through-the-wall central air conditioners. 
Given the similarities between through-the-wall units intended for 
installation in multi-family residential applications and those 
intended primarily for installation in commercial lodging applications, 
DOE has tentatively concluded that these products should be treated the 
same under its regulatory scheme.
    In examining the through-the-wall models on the market that are not 
advertised for residential applications or were not reclassified, DOE 
has determined that the available models would all meet the definition 
of a ``central air conditioner'' and, more specifically, a ``space 
constrained product.'' 10 CFR 430.2. In the proceedings that led to the 
development of the space-constrained central air conditioner product 
class, DOE recognized that through-the-wall products have severe space 
constraints and, accordingly, established a product class with less-
stringent energy conservation standards for such units.\16\ 67 FR 
36368, 36406 (May 23, 2002). Because the space-constrained central air 
conditioner product class has already been established to account for 
products whose outer dimensions are severely limited by their 
application and, given the similarities and overlap between models used 
in commercial lodging applications and models used in residential 
multi-family applications, DOE believes that any single-package 
vertical units that are ``space-constrained'' are appropriately 
categorized and regulated as central air conditioners.
---------------------------------------------------------------------------

    \16\ Through-the-wall air conditioners are typically not as wide 
or deep as standard air conditioning units and, in the case of units 
intended for replacement, must fit into a pre-existing hole in the 
wall. This size limitation affects the size of both the evaporator 
and condensing heat exchangers. Additionally, the airflow through 
the unit is restricted by this size limitation, which reduces the 
heat exchanger's effectiveness.
---------------------------------------------------------------------------

    As a result, DOE has determined that, based on the available 
product literature, as well as the governing definitions in EPCA, 
certain units currently listed by manufacturers as SPVUs are being 
misclassified and are appropriately classified as central air 
conditioners (and in most cases as space-constrained central air 
conditioners). The majority of these products are models that would 
meet the ``space constrained'' definition in ASHRAE Standard 90.1-2013. 
Because DOE has established a space-constrained product class to 
account for space-constrained through-the-wall units and because these 
units meet the existing definitions, DOE has tentatively concluded that 
there is no need to establish a separate space-constrained class for 
SPVUs. Therefore, DOE has not analyzed separate standards for space-
constrained SPVU equipment in this NODA. DOE requests comment on this 
conclusion, which is identified as Issue 4 in section IV.B, ``Issues on 
Which DOE Seeks Comment.'' In making this determination, DOE was also 
mindful of the purposes underlying EPCA and the Department's energy and 
water conservation standards regulations: To conserve energy and water 
supplies and to increase energy and cost savings for American 
businesses and consumers. Allowing a model of a product type that is 
sold for personal use to evade DOE's energy conservation standards for 
consumer products, simply because it is sold in some instances to 
commercial or industrial users, would undermine this purpose.

B. Commercial Water Heaters

    EPCA defines ``storage water heater'' as a water heater that heats 
and stores water within the appliance at a thermostatically controlled 
temperature for delivery on demand and that is industrial equipment. 
This term does not include units with an input rating of 4,000 Btu/h or 
more per gallon of stored water. (42 U.S.C. 6311(12)(A); 10 CFR 
431.102) EPCA defines ``instantaneous water heater'' as a water heater 
that has an input rating of at least 4,000 Btu/h per gallon of stored 
water and that is industrial equipment, including products meeting this 
description that are designed to heat water to temperatures of 
180[deg]F or higher. (42 U.S.C. 6311(12)(B); 10 CFR 431.102)
    The current Federal energy conservation standards for the five 
classes of storage and instantaneous water heaters for which ASHRAE 
Standard 90.1-2013 amended efficiency levels are shown in Table I.1 and 
set forth in DOE's regulations at 10 CFR 431.110. The product classes 
for commercial storage and instantaneous water heaters, and attendant 
Federal energy conservation standards, are differentiated based on fuel 
type. ASHRAE Standard 90.1-2013 appeared to change the standby loss 
levels for four equipment classes (gas-fired storage water heaters, 
oil-fired storage water heaters, gas-fired instantaneous water heaters, 
and oil-fired instantaneous water heaters) to efficiency levels that 
surpass the current Federal energy conservation standard levels. 
However, upon review of the changes, DOE believes that all changes to 
standby loss levels for these equipment classes were editorial errors 
because they are identical to SI (International System of Units; metric 
system) formulas rather than I-P (Inch-Pound; English system) formulas. 
Therefore, DOE did not conduct an analysis of the potential energy 
savings for this equipment. ASHRAE Standard 90.1-2013 also changed the 
standby loss level for electric storage water heaters, in this case in 
a purposeful manner to align with the current Federal energy 
conservation standard level. Because these levels meet and do not 
exceed the current Federal standards, DOE did not conduct an analysis 
of the potential energy savings for this equipment class. ASHRAE 
Standard 90.1-2013 also increased the thermal efficiency levels for 
oil-fired storage water heaters to efficiency levels that surpass the 
current Federal energy conservation standards. Therefore, DOE conducted 
an analysis of the potential energy savings due to amended thermal 
efficiency standards for oil-fired storage water heaters, which is 
described in section III of this NODA.

C. Test Procedures

    EPCA requires the Secretary to amend the test procedures for ASHRAE 
equipment to the latest version generally accepted by industry or the 
rating procedures developed or

[[Page 20124]]

recognized by AHRI or by ASHRAE, as referenced by ASHRAE/IES Standard 
90.1, unless the Secretary determines by clear and convincing evidence 
that the latest version of the industry test procedure does not meet 
the requirements for test procedures described in paragraphs (2) and 
(3) of 42 U.S.C. 6314(a).\17\ (42 U.S.C. 6314(a)(4)(B)) ASHRAE Standard 
90.1-2013 updated several of its test procedures for ASHRAE equipment. 
Specifically, ASHRAE Standard 90.1-2013 updated to the most recent 
editions of test procedures for small commercial package air 
conditioners and heating equipment (AHRI 210/240-2008 \18\ with 
Addendum 1 and 2, Performance Rating of Unitary Air-Conditioning & Air-
Source Heat Pump Equipment), large and very large commercial package 
air conditioners and heating equipment (AHRI 340/360-2007 with Addenda 
1 and 2, Performance Rating of Commercial and Industrial Unitary Air-
Conditioning and Heat Pump Equipment), variable refrigerant flow 
equipment (AHRI 1230-2010 with Addendum 1, Performance Rating of 
Variable Refrigerant Flow (VRF) Multi-Split Air-Conditioning and Heat 
Pump Equipment), commercial warm-air furnaces (ANSI (American National 
Standards Institute) Z21.47-2012, Standard for Gas-Fired Central 
Furnaces), and commercial water heaters (ANSI Z21.10.3-2011, Gas Water 
Heaters, Volume III, Storage Water Heaters with Input Ratings Above 
75,000 Btu Per Hour, Circulating and Instantaneous).
---------------------------------------------------------------------------

    \17\ Specifically, the relevant provisions (42 U.S.C. 
6314(a)(2)-(3)) provide that test procedures must be reasonably 
designed to produce test results that reflect energy efficiency, 
energy use, and estimated operating costs of a type (or class) of 
industrial equipment during a representative average use cycle and 
must not be unduly burdensome to conduct. Moreover, if the test 
procedure is for determining estimated annual operating costs, it 
must provide that such costs will be calculated from measurements of 
energy use in a representative average-use cycle, and from 
representative average unit costs of the energy needed to operate 
the equipment during such cycle. The Secretary must provide 
information to manufacturers of covered equipment regarding 
representative average unit costs of energy.
    \18\ ASHRAE Standard 90.1-2013 technically cites ``AHRI 210/240-
200 with Addendum 1 and 2.'' However, DOE believes that this is an 
editorial error and that ASHRAE meant to cite AHRI 210/240-2008, 
which is the most recent published year of that test procedure.
---------------------------------------------------------------------------

    DOE has preliminarily reviewed each of the test procedures that 
were updated in ASHRAE Standard 90.1-2013 and discusses the changes to 
the test procedures below.
1. Updates to the AHRI 210/240 Test Method
    In 2011 and 2012, AHRI published Addendum 1 and Addendum 2, 
updating AHRI Standard 210/240-2008. AHRI Standard 210/240, Performance 
Rating of Unitary Air-Conditioning & Air-Source Heat Pump Equipment, is 
incorporated by reference as the DOE test procedure for small 
commercial air conditioners and air-source heat pumps with a cooling 
capacity below 65,000 Btu/h at 10 CFR 431.95. Although ASHRAE 90.1-2013 
referenced the addenda to the 2008 version for the first time, the 
changes contained in the addenda \19\ were previously evaluated by DOE 
and adopted as part of a seven year test procedure review (conducted 
pursuant to 42 U.S.C. 6314(a)(1)(A)) in a final rule for commercial 
heating, air-conditioning, and water heating equipment, published in 
the Federal Register on May 16, 2012. 77 FR 28928. In that test 
procedure amendment, DOE concluded that the addenda would not impact 
the Federal energy efficiency ratings for small commercial air 
conditioners and heat pumps, and it proceeded to incorporate AHRI 
Standard 210/240-2008 with Addendum 1 and Addendum 2. 77 FR 28928, 
28943, 28989 (May 16, 2012). Because DOE has already incorporated by 
reference the most recent AHRI 210/240 addenda referenced by ASHRAE 
Standard 90.1-2013, DOE does not need to take action at this time.
---------------------------------------------------------------------------

    \19\ The addenda to AHRI 210/240-2008 generally replace any 
references to the part-load metric (i.e., integrated part load value 
(IPLV)) with references to the new part load metric (i.e., IEER). 77 
FR 28928, 28943.
---------------------------------------------------------------------------

2. Updates to the AHRI 340/360 Test Method
    In 2010 and 2011, AHRI published Addendum 1 and Addendum 2, 
respectively, updating AHRI 340/360-2007. AHRI Standard 340/360, 
Performance Rating of Commercial and Industrial Unitary Air-
Conditioning and Heat Pump Equipment, is incorporated by reference as 
the DOE test procedure for small, large, and very large commercial air 
conditioners and air-source heat pumps with a cooling capacity greater 
than or equal to 65,000 Btu/h at 10 CFR 431.95. Although ASHRAE 90.1-
2013 referenced the addenda to the 2007 version for the first time, the 
changes contained in the addenda \20\ were previously evaluated by DOE 
and adopted as part of a seven-year test procedure look back in a final 
rule for commercial heating, air-conditioning, and water heating 
equipment, published in the Federal Register on May 16, 2012, 77 FR 
28928. In that test procedure amendment, DOE concluded that the addenda 
would not impact the Federal energy efficiency ratings for small, 
large, and very large commercial air conditioners and heat pumps, and 
it proceeded to incorporate AHRI 340/360 with Addendum 1 and Addendum 
2. 77 FR 28928, 28943, 28989 (May 16, 2012). Because DOE has already 
incorporated by reference the most recent AHRI 340/360 addenda 
referenced by ASHRAE Standard 90.1-2013, DOE does not need to take 
action at this time.
---------------------------------------------------------------------------

    \20\ The addenda to AHRI 340/360-2007 expand the scope of the 
standard to include air-cooled package unitary air conditioners with 
cooling capacities from 250,000 Btu/h to less than 760,000 Btu/h, 
add a -0.00 inch H2O to a 0.05 inch H2O 
tolerance to the external static pressure test condition, and add an 
external static pressure equation and a tolerance to the leaving 
dry-bulb temperature to the IEER part-load test. 77 FR 28928, 28943.
---------------------------------------------------------------------------

3. Updates to the AHRI 1230 Test Method
    In 2011, AHRI published Addendum 1, updating AHRI Standard 1230-
2010. AHRI Standard 1230, Performance Rating of Variable Refrigerant 
Flow (VRF) Multi-Split Air-Conditioning and Heat Pump Equipment, is 
incorporated by reference into the DOE test procedure for variable 
refrigerant flow multi-split systems at 10 CFR 431.95. Although ASHRAE 
90.1-2013 referenced the addenda to the 2010 version for the first 
time, DOE incorporated by reference AHRI 1230-2010 with Addendum 1 in a 
final rule for commercial heating, air-conditioning, and water heating 
equipment, published in the Federal Register on May 16, 2012, 77 FR 
28928, 28989. Because DOE has already incorporated by reference the 
most recent AHRI 1230 edition and addendum referenced by ASHRAE 
Standard 90.1-2013, DOE does not need to take action at this time.
4. Updates to the ANSI Z21.47 Test Method
    In 2012, ANSI updated ANSI Z21.47, Standard for Gas-Fired Central 
Furnaces. DOE's test procedure for measuring the energy efficiency of 
gas-fired warm air furnaces incorporates by reference ANSI Z21.47-2006 
at 10 CFR 431.75, but the uniform test method set out at 10 CFR 431.76 
only directs one to use those procedures contained in ANSI Z21.47-2006 
that are relevant to the steady-state efficiency measurement (i.e., 
sections 1.1, 2.1 through 2.6, 2.39, and 4.2.1 of ANSI Z21.47). As a 
result, DOE focused its test procedure review on the relevant sections 
of ANSI Z21.47

[[Page 20125]]

that DOE's test procedure references. In those sections referenced by 
DOE's test procedures, ANSI did not make any updates. Therefore, DOE 
has preliminarily determined that the changes to ANSI Z21.47-2012 are 
not relevant to the DOE test procedure for gas-fired warm air furnaces 
and, therefore, do not impact the energy efficiency ratings for gas-
fired furnaces. Consequently, no further action is required at this 
time. DOE seeks comments regarding this tentative conclusion. This is 
identified as Issue 5 in section IV.B, ``Issues on Which DOE Seeks 
Comment.''
5. Updates to the ANSI Z21.10.3 Test Method
    In 2011, ANSI updated ANSI Z21.10.3, Gas Water Heaters, Volume III, 
Storage Water Heaters with Input Ratings Above 75,000 Btu Per Hour, 
Circulating and Instantaneous. DOE's test procedure for gas-fired water 
heaters incorporates by reference ANSI Z21.10.3-2011 at 10 CFR 431.105, 
but the uniform test method set out at 10 CFR 431.106 only directs one 
to use sections G1 (Method of Test for Measuring Thermal Efficiency) 
and G2 (Method of Test for Measuring Standby Loss) of the ANSI Z21.10.3 
test procedure. Although ASHRAE 90.1-2013 referenced the 2011 version 
for the first time, the version was previously evaluated by DOE and 
adopted \21\ as part of a 7-year test procedure review (conducted 
pursuant to 42 U.S.C. 6314(a)(1)(A)) in a final rule for commercial 
heating, air-conditioning, and water heating equipment, published in 
the Federal Register on May 16, 2012. 77 FR 28928. In that test 
procedure amendment, DOE concluded that the new version would not alter 
the DOE test method or the energy efficiency ratings for commercial 
water heaters as compared to adopting ANSI Z21.10.3-2004, and it 
proceeded to incorporate ANSI Z21.10.3-2011 by reference. 77 FR 28928, 
28944, 28996 (May 16, 2012). Because DOE has already incorporated by 
reference ANSI Z21.10.3-2011, the test procedure referenced by ASHRAE 
Standard 90.1-2013, DOE does not need to take action at this time.
---------------------------------------------------------------------------

    \21\ DOE also adopted a correction regarding Figures 2 and 3 in 
Exhibit G of ANSI Z21.10.3-2011.
---------------------------------------------------------------------------

III. Analysis of Potential Energy Savings

    As required under 42 U.S.C. 6313(a)(6)(A), DOE performed an 
analysis to determine the energy-savings potential of amending Federal 
energy conservation standard levels to the efficiency levels specified 
in ASHRAE Standard 90.1-2013, as well as to more-stringent efficiency 
levels than those specified in ASHRAE Standard 90.1-2013. As explained 
previously, DOE's energy-savings analysis is limited to types of 
equipment covered by Federal energy conservation standards for which 
the amended ASHRAE Standard 90.1-2013 increase the efficiency levels 
and for which a market exists and sufficient data are available.\22\ 
Based upon the conclusions reached in section II, DOE is conducting the 
energy-savings analysis for:
---------------------------------------------------------------------------

    \22\ As discussed in section II, when no products are available 
on the market or no reliable data exist for calculating potential 
energy savings, DOE did not perform an analysis. The products for 
which ASHRAE Standard 90.1-2013 increase the efficiency level, but 
for which DOE did not perform an analysis due to lack of a market or 
lack of data include: (1) SPVHP 65,000 to less than 135,000 Btu/h; 
(2) SPVAC 135,000 to less than 240,000 Btu/h; and (3) SPVHP 135,000 
to less than 240,000 Btu/h. (See section II.A.5.)
---------------------------------------------------------------------------

     Three equipment classes of small air-cooled, three-phase 
commercial packaged air-conditioning and heating equipment: (1) Single-
package air conditioners less than 65,000 Btu/h, (2) single-package 
heat pumps less than 65,000 Btu/h, and (3) split system heat pumps less 
than 65,000 Btu/h;
     Three equipment classes of small commercial water-source 
heat pumps: (1) Less than 17,000 Btu/h, (2) 17,000 to less than 65,000 
Btu/h, and (3) 65,000 to less than 135,000 Btu/h;
     Three equipment classes of standard size PTACs: (1) Less 
than 7,000 Btu/h, (2) 7,000 to 15,000 Btu/h, and (3) greater than 
15,000 Btu/h;
     Three equipment classes of SPVUs: (1) SPVACs less than 
65,000 Btu/h, (2) SPVHPs less than 65,000 Btu/h, and (3) SPVACs 65,000 
to less than 135,000 Btu/h; and
     One equipment class of commercial water-heating equipment: 
(1) Oil-fired storage water heaters greater than 105,000 Btu/h and less 
than 4,000 Btu/h/gal.
    The following discussion provides an overview of the energy-savings 
analysis conducted for these 13 classes of equipment, followed by 
summary results of that analysis. For each efficiency level analyzed, 
DOE calculated the potential energy savings to the Nation as the 
difference between a base-case projection (without amended standards) 
and the standards-case projection (with amended standards). The 
national energy savings (NES) refers to cumulative lifetime energy 
savings for equipment purchased in a 30-year period that differs by 
equipment (i.e., the compliance date differs by equipment class because 
of the ASHRAE trigger legal requirements). The analysis is based on a 
stock accounting method. In the standards case, equipment that is more 
efficient gradually replaces less-efficient equipment over time. This 
affects the calculation of the potential energy savings, which are a 
function of the total number of units in use and their efficiencies. 
Savings depend on annual shipments and equipment lifetime. Inputs to 
the energy-savings analysis are presented below, and details are 
available in the ASHRAE NODA technical support document (TSD) on DOE's 
Web site.\23\
---------------------------------------------------------------------------

    \23\ The ASHRAE NODA TSD is available on the Web page for ASHRAE 
Products at: http://www1.eere.energy.gov/buildings/appliance_standards/rulemaking.aspx?ruleid=90
---------------------------------------------------------------------------

A. Annual Energy Use

    This section describes the energy use analysis performed for each 
type of equipment. The Federal standard and higher efficiency levels 
are expressed in terms of an efficiency metric or metrics. For each 
equipment class, this section describes how DOE developed estimates of 
annual energy consumption at the baseline efficiency level and at 
higher levels for each equipment type. These annual unit energy 
consumption (UEC) estimates form the basis of the national energy 
savings estimates discussed in section III.E. More detailed discussion 
is found in the ASHRAE NODA TSD.
1. Small Commercial Packaged Air Conditioners and Heat Pumps
    To estimate the UEC for each class of small commercial packaged air 
conditioning and heating equipment less than 65,000 Btu/h (air-cooled, 
three-phase), DOE began with the cooling UECs for single-phase 
equipment installed in commercial buildings as presented in the 
national impact analysis associated with the 2010 notice of public 
meeting and availability of preliminary technical support document for 
residential central air conditioners and heat pumps. (EERE-2008-BT-STD-
0006-0003). DOE believes that three-phase commercial equipment would 
have similar energy usage to single-phase equipment, as it would tend 
to be used in similar locations and in a similar manner. DOE seeks 
comment on this assumption, which is identified as Issue 6 in section 
IV.B, ``Issues on Which DOE Seeks Comment.''
    In the 2010 analysis, the UECs for split and single-package systems 
were very similar (and therefore comparable), but UECs were available 
for higher efficiency levels for split systems than

[[Page 20126]]

for single-package equipment. As a result, DOE used the 2010 UECs for 
split systems for all equipment classes analyzed for today's NODA, 
including both split and single-package systems.
    Although ASHRAE 90.1-2013 increased the HSPF levels for this 
equipment, DOE did not include heating UECs in this analysis. For 
commercial installations in the 2010 analysis, DOE determined that the 
heating UECs did not scale proportionally with HSPF. Based on these 
data, DOE has preliminarily determined that using available data to 
quantify energy savings related to increasing HSPF for small commercial 
heat pumps is not possible. DOE seeks data and information related to 
the heating energy use of commercial heat pumps, as related to HSPF, 
which is identified as Issue 7 in section IV.B, ``Issues on Which DOE 
Seeks Comment.''
    Table III.1 shows the UEC estimates for the current Federal 
standards levels (baseline), the ASHRAE 90.1-2013 levels, and the 
higher efficiency levels for the three small air-cooled commercial 
packaged air-conditioning and heating equipment classes analyzed. DOE 
derived the ``max-tech'' level from the market maximum in the AHRI 
Certified Directory \24\ as of November 2013. However, the highest 
available efficiency level for split system heat pumps was only 16.2, 
whereas for single-package units it was 18.05. DOE believes that split 
system heat pumps are capable of reaching the same efficiency level as 
single-package units because the same technologies to increase 
efficiency can be employed for each type of equipment and, therefore, 
analyzed a ``max-tech'' level of 18.05 for both single package and 
split system heat pumps.
---------------------------------------------------------------------------

    \24\ Available at: http://www.ahridirectory.org/ahridirectory/pages/home.aspx.

               Table III.1--National UEC Estimates for Air-Cooled Air Conditioners and Heat Pumps
----------------------------------------------------------------------------------------------------------------
                                                              Small three-      Small three-      Small three-
                                                            phase air-cooled  phase air-cooled  phase air-cooled
                                                             single-package    single-package     split system
                                                            air conditioners     heat pumps        heat pumps
                                                              <65,000 Btu/h     <65,000 Btu/h     <65,000 Btu/h
----------------------------------------------------------------------------------------------------------------
                                             Efficiency Level (SEER)
----------------------------------------------------------------------------------------------------------------
Baseline--Federal Standard................................             13.0              13.0              13.0
ASHRAE Level (1)..........................................             14.0              14.0              14.0
Efficiency Level 2........................................             15.0              15.0              15.0
Efficiency Level 3........................................             16.0              16.0              16.0
Efficiency Level 4........................................             17.5              --                --
Efficiency Level 5--``Max-Tech''--........................             19.15             18.05             18.05
----------------------------------------------------------------------------------------------------------------
                                                 UEC (kwh/year)
----------------------------------------------------------------------------------------------------------------
Baseline--Federal Standard................................          2,408             2,418             2,418
ASHRAE Level (1)..........................................          2,349             2,387             2,387
Efficiency Level 2........................................          2,237             2,282             2,282
Efficiency Level 3........................................          2,125             2,177             2,177
Efficiency Level 4........................................          2,086                --                --
----------------------------------------------------------------------------------------------------------------
Efficiency Level 5--``Max-Tech''--........................          2,047             2,123             2,123
----------------------------------------------------------------------------------------------------------------

2. Water-Source Heat Pumps
    To estimate the UEC for each class of water-source heat pump, DOE 
began with the cooling UECs for water-source heat pumps published in 
Appendix D of the 2000 Screening Analysis for EPACT-Covered Commercial 
HVAC and Water-Heating Equipment. (EERE-2006-STD-0098-0015) Where 
identical efficiency levels were available, DOE used the UEC directly 
from the screening analysis. For additional efficiency levels, DOE 
scaled the UECs based on the ratio of EER, as was done in the original 
analysis. DOE seeks comment on the appropriateness of the cooling UECs 
derived from the 2000 screening analysis, adjusted based on equipment 
EER to be inversely proportional to EER, including whether energy use 
for this equipment would have changed significantly since the last 
analysis. This is identified as Issue 8 in section IV.B, ``Issues on 
Which DOE Seeks Comment.''
    Although ASHRAE 90.1-2013 increased the COP levels for this 
equipment, DOE did not include heating UEC in this analysis as a result 
of lack of information regarding the heating-mode energy use of this 
equipment. DOE seeks data and information related to water-source heat 
pump heating energy use. This is identified as Issue 9 in section IV.B, 
``Issues on Which DOE Seeks Comment.''
    Table III.2 shows the UEC estimates for the current Federal 
standard levels, the ASHRAE 90.1-2013 levels, and the higher efficiency 
levels for the three water-source heat pump classes analyzed. The 
``max-tech'' levels represent the market maximum identified in the AHRI 
Certified Directory as of November 2013.\25\
---------------------------------------------------------------------------

    \25\ For variable-capacity models listed at both minimum and 
maximum capacity, DOE analyzed the efficiency of the maximum 
capacity only.

[[Page 20127]]



                         Table III.2--National UEC Estimates for Water-Source Heat Pumps
----------------------------------------------------------------------------------------------------------------
                                                                                Water-source      Water-source
                                                              Water-source       heat pumps        heat pumps
                                                               heat pumps       >=17,000 and      >=65,000 and
                                                              <17,000 Btu/h     <65,000 Btu/h    <135,000 Btu/h
----------------------------------------------------------------------------------------------------------------
                                             Efficiency Level (EER)
----------------------------------------------------------------------------------------------------------------
Baseline--Federal Standard................................              11.2              12.0              12.0
ASHRAE Level (1)..........................................              12.2              13.0              13.0
Efficiency Level 2........................................              13.0              14.6              14.0
Efficiency Level 3........................................              14.0              16.6              15.0
Efficiency Level 4........................................              15.7              18.0              16.0
Efficiency Level 5........................................              16.5              19.2                --
Efficiency Level 6--``Max-Tech''--........................              18.1              21.6              17.2
----------------------------------------------------------------------------------------------------------------
                                                 UEC (kwh/year)
----------------------------------------------------------------------------------------------------------------
Baseline--Federal Standard................................             1,738             4,868            11,528
ASHRAE Level (1)..........................................             1,595             4,493            10,641
Efficiency Level 2........................................             1,497             4,001             9,881
Efficiency Level 3........................................             1,390             3,519             9,223
Efficiency Level 4........................................             1,240             3,245             8,646
Efficiency Level 5........................................             1,180             3,042                --
Efficiency Level 6--``Max-Tech''--........................             1,075             2,704             8,043
----------------------------------------------------------------------------------------------------------------

3. Packaged Terminal Air Conditioners
    To estimate the UEC for each class of PTACs, DOE began with the 
cooling UECs for PTACs used in the 2008 energy conservation standards 
final rule. 73 FR 58772 (Oct. 7, 2008). With the UECs given for each 
State, the population of each State was used to weight the UECs to 
obtain a nationally representative UEC. Where identical efficiency 
levels and cooling capacities were available, DOE used the UEC directly 
from the rulemaking. For additional efficiency levels, DOE scaled the 
UECs based on interpolations between EERs at a constant cooling 
capacity. Likewise, for additional cooling capacities, DOE scaled the 
UECs based on interpolations between cooling capacities at constant 
EER.
    Table III.3 shows the UEC estimates for the current Federal 
standard levels, the ASHRAE 90.1-2013 levels, and the higher efficiency 
levels for the three PTAC classes analyzed. The ``max-tech'' levels 
correspond to those in the PTAC Framework Document published in 2013. 
78 FR 12252 (Feb. 22, 2013) (EERE-2012-BT-STD-0029-0002).

                                  Table III.3--National UEC Estimates for PTACs
----------------------------------------------------------------------------------------------------------------
                                                            PTAC <7,000 Btu/  PTAC >=7,000 and  PTAC >15,000 Btu/
                                                                    h          <=15,000 Btu/h           h
----------------------------------------------------------------------------------------------------------------
                                             Efficiency Level (EER)
----------------------------------------------------------------------------------------------------------------
Baseline--Federal Standard................................              11.7              11.1               9.3
ASHRAE Level (1)..........................................              11.9              11.3               9.5
Efficiency Level 2........................................              12.2              11.5               9.7
Efficiency Level 3........................................              12.6              12.0              10.0
Efficiency Level 4........................................              13.1              12.4              10.4
Efficiency Level 5........................................              13.6              12.9              10.8
Efficiency Level 6--``Max-Tech'' -........................              14.0              13.3              11.2
----------------------------------------------------------------------------------------------------------------
                                                 UEC (kwh/year)
----------------------------------------------------------------------------------------------------------------
Baseline--Federal Standard................................               849             1,026             1,607
ASHRAE Level (1)..........................................               838             1,014             1,591
Efficiency Level 2........................................               824             1,000             1,577
Efficiency Level 3........................................               799               973             1,547
Efficiency Level 4........................................               773               946             1,517
Efficiency Level 5........................................               748               919             1,487
Efficiency Level 6--``Max-Tech''--........................               723               892             1,458
----------------------------------------------------------------------------------------------------------------

4. Single-Package Vertical Air Conditioners and Heat Pumps
    Based on information received from manufacturer interviews 
conducted in preparation for the forthcoming SPVU NOPR, DOE has 
determined that approximately 35 percent of SPVAC shipments go to 
educational facilities, and the majority of those installations are for 
space conditioning of modular classroom buildings. Another 
approximately 35 percent of the shipments go to providing cooling for 
telecommunications and electronics enclosures. The remainder of the 
shipments (30 percent) is used in a wide variety of commercial 
buildings, including offices, temporary buildings, and some 
miscellaneous facilities. In almost all of these commercial building

[[Page 20128]]

applications, the buildings served are expected to be of modular 
construction, because SPVUs, as packaged air conditioners installed on 
external building walls, do not impact site preparation costs for 
modular buildings, which may be relocated multiple times over the 
building's life. The vertically-oriented configuration of SPVUs allows 
the building mounting to be unobtrusive and minimizes impacts on 
modular building transportation requirements. These advantages do not 
apply to a significant extent to site-constructed buildings. DOE 
further understands that shipments of SPVHP equipment would primarily 
be to educational facilities or office-type end uses but would be 
infrequently used for telecommunication or electronic enclosures for 
which the heating requirements are often minimal.
    DOE analyzed energy use in three different classes of commercial 
buildings that utilize SPVU equipment: (1) modular classrooms; (2) 
modular offices; and (3) telecommunication shelters. To estimate the 
energy use of SPVU equipment in these building types, DOE developed 
building simulation models for use with DOE's EnergyPlus software.\26\ 
A prototypical building model was developed for each building type, 
described by the building footprint, general building size, and design. 
The building types were represented by a 1,568 ft\2\ wood-frame modular 
classroom, a 1,568 ft\2\ wood-frame modular office, and a 240 ft\2\ 
concrete-wall telecommunications shelter. In each case, the building 
construction (footprint, window-wall ratio, general design) was 
developed to be representative of typical designs within the general 
class of building. Operating schedules, internal load profiles, 
internal electric receptacle (plug) loads, and occupancy for the 
modular classroom were based upon classroom-space-type data found in 
the DOE Primary School commercial prototype building model.\27\ 
Operating schedules, internal load profiles, internal plug loads, and 
occupancy for modular office buildings were those from office space in 
the DOE Small Office commercial prototype building model. Id. For the 
telecommunications shelter, DOE did not identify a source for typical 
representative internal electronic loads as a function of building 
size, nor did it find information on representative internal gain 
profiles. However, based on feedback from shelter manufacturers, DOE 
used a 36,000 Btu/h (10.55 kW) peak internal load to reflect internal 
design load in the shelter. DOE determined that, on average over the 
year, this load ran at a scheduled 65 percent of peak value, reflecting 
estimates for computer server environments.\28\ Each of these three 
building models was used to establish the energy usage of SPVAC and 
SPVHP equipment in the same building class.
---------------------------------------------------------------------------

    \26\ EnergyPlus Energy Simulation Software and documentation are 
available at: http://apps1.eere.energy.gov/buildings/energyplus/.
    \27\ The commercial prototype building models are available on 
DOE's Web site as Energy Plus input files at: http://www.energycodes.gov/development/commercial/90.1_models. 
Documentation of the initial model development is provided in: Deru, 
M., et al., U.S. Department of Energy Commercial Reference Building 
Models of the National Building Stock, NREL/TP-5500-46861 (2011).
    \28\ EnergyConsult Pty Ltd., Equipment Energy Efficiency 
Committee Regulatory Impact Statement Consultation Draft: Minimum 
Energy Performance Standards and Alternative Strategies for Close 
Control Air Conditioners, Report No 2008/11 (2008) (Available at: 
www.energyrating.gov.au).
---------------------------------------------------------------------------

    Envelope performance (e.g., wall, window, and roof insulation, and 
window performance) and lighting power inputs were based on 
requirements in ASHRAE Standard 90.1-2004.\29\ DOE believes that the 
requirements in ASHRAE Standard 90.1-2004 are sufficiently 
representative of a mixture of both older and more recent construction 
and that resulting SPVU equipment loads will be representative of 
typical SPVU equipment loads in the building stock. Ventilation levels 
were based on ASHRAE Standard 62.1-2004.\30\
---------------------------------------------------------------------------

    \29\ American Society of Heating, Refrigerating, and Air-
Conditioning Engineers (ASHRAE), Energy Standard for Buildings 
Except Low-Rise Residential Buildings, ANSI/ASHRAE/IESNA Standard 
90.1-2004 (2005).
    \30\ American Society of Heating, Refrigerating, and Air-
Conditioning Engineers (ASHRAE), Ventilation for Acceptable Indoor 
Air Quality, ANSI/ASHRAE/IESNA Standard 62.1-2004 (2004).
---------------------------------------------------------------------------

    DOE simulated each building prototype in 237 U.S. climate 
locations, taking into account variation in building envelope 
performance for each climate as required by ASHRAE 90.1-2004. For 
simulations used to represent SPVU equipment of less than 65,000 Btu/h, 
no outside air economizers were assumed for the modular office and 
modular classroom buildings.\31\ However, for simulations used to 
represent equipment of greater than or equal to 65,000 Btu/h but less 
than 135,000 Btu/h, economizer usage was presumed to be climate-
dependent in these building types, based on ASHRAE Standard 90.1-2004 
requirements for unitary equipment in that capacity range. For the 
telecommunications shelter, economizers were assumed for 45 percent of 
buildings, based on manufacturer interviews. In addition, for the 
telecommunications shelter, redundant identical air conditioners with 
alternating usage were assumed when establishing average annual energy 
consumption per unit.
---------------------------------------------------------------------------

    \31\ An ``outside air economizer'' is a combination of 
ventilation and exhaust air dampers and controls that increase the 
amount of outside air brought in to a building when the outside air 
conditions (i.e., temperature and humidity) are low, such that 
increasing the amount of ventilation air reduces the equipment 
cooling loads.
---------------------------------------------------------------------------

    Simulations were done for the buildings using SPVAC equipment and 
electric resistance heating, and then a separate set of simulations was 
done for buildings with SPVHP equipment. For each equipment type and 
building type combination, DOE simulated each efficiency level 
identified in the engineering analysis for each equipment class. Fan 
power at these efficiency levels was based on manufacturers' literature 
and reported fan power consumption data as developed in the engineering 
analysis. Brushless permanent magnet (BPM) supply air blower motors 
were assumed at an EER of 10.0 and higher for all classes of equipment 
based on results from the engineering analysis. The supply air blower 
motors are assumed to run at constant speed and constant power while 
operating.
    DOE used typical meteorological weather data (TMY3) for each 
location in the simulations.\32\ DOE sized equipment for each building 
simulation using a design-day sizing method incorporating the design 
data found in the EnergyPlus design-day weather data files for each 
climate.\33\ DOE also incorporated an additional cooling sizing factor 
of 1.1 for the equipment used in the modular office and modular 
classroom simulations, reflective of the typical sizing adjustment 
needed to account for discrete available equipment capacities in SPVAC 
and SPVHP equipment.
---------------------------------------------------------------------------

    \32\ Wilcox S. and W. Marion, User's Manual for TMY3 Data Sets, 
National Renewable Energy Laboratory, Report No. NREL/TP-581-43156 
(2008).
    \33\ EnergyPlus TMY3-based weather data files and design-day 
data files available at: http://apps1.eere.energy.gov/buildings/energyplus/weatherdata_about.cfm.
---------------------------------------------------------------------------

    EER and heating COP were converted to corresponding simulation 
inputs for each efficiency level simulated. These inputs, along with 
the calculated fan power at each efficiency level, were used in the 
building simulations. Further details of the building model and the 
simulation inputs for the SPVAC and SPVHP equipment can be found in 
chapter 3 of the NODA TSD.
    From the annual simulation results for SPVAC equipment, DOE 
extracted the condenser energy use for cooling, the supply air blower 
energy use for

[[Page 20129]]

both heating and cooling hours, the electric resistance heating energy, 
and the equipment capacity for each building type, climate, and 
efficiency level. From these, DOE developed corresponding normalized 
annual cooling energy per cooling ton and annual blower energy per ton 
for the efficiency levels simulated. DOE also developed the electrical 
heating energy per ton for the building. These per-ton cooling and 
blower energy values were added together and then multiplied by the 
average cooling capacity estimated for the equipment class simulated to 
arrive at an initial energy consumption estimate for SPVAC. In a 
deviation from the 2011 NODA analysis, DOE also noted that, where fan 
power was reduced for higher efficiency levels, there was a 
corresponding increase in the amount of heating required in each 
climate to make up for the loss of heat energy imparted into the supply 
air stream through the use of the more-efficient supply air blower 
during the heating season. This impact was climate dependent, with 
little heating impact in warm climates, and greater heating impact in 
cold climates where heating energy requirements dominate during the 
year. DOE calculated this heating ``take back'' effect for higher 
efficiency levels as a deviation from the baseline heating energy use 
for each equipment capacity. The final SPVAC energy consumption 
estimates were then based on the calculated cooling and supply blower 
energy uses plus this heating take back, which allowed the resulting 
energy savings estimates to correctly account for the heating energy 
increase during the year. In addition, it was estimated that 5 percent 
of the market for the class of SPVAC less than 65,000 Btu/h utilize gas 
furnace heating. The heating take back for these systems was estimated 
based on the heating load of the systems with electric resistance heat 
and assuming an average 81-percent furnace annual fuel utilization 
efficiency (AFUE).
    The analytical method for SPVHP was carried out in a similar 
fashion; however, for heat pumps, DOE included the heating energy 
(compressor heating and electric resistance backup) directly from the 
simulation results and, thus, did not separately calculate a heating 
take back effect. From these data, DOE developed per-ton energy 
consumption values for cooling, supply blower, and heating electric 
loads. These per-ton energy figures were summed and multiplied by the 
nominal capacity for the equipment class simulated to arrive at the 
annual per-ton energy consumption for SPVHP for each combination of 
building type, climate, and efficiency level.
    For each combination of equipment class, building type, climate, 
and efficiency level, DOE developed UEC values for each State using 
weighting factors to establish the contribution of each climate in each 
State. National average UEC estimates for each equipment class and 
efficiency level were also established based on population-based 
weighting across States and shipment weights to the different building 
types. With regard to the latter, while DOE established shipment 
weights for SPVAC equipment related to the three building types 
(educational, office, and telecommunications), DOE determined that 
SPVHP equipment was not used to a significant extent in 
telecommunications facilities and, thus, only allocated shipments of 
SPVHP equipment to two building types, educational and office.
    For details of this energy use analysis, see chapter 3 of the NODA 
TSD.
    Table III.4 shows the annual UEC estimates for SPVAC and SPVHP 
corresponding to the efficiency levels analyzed. For all levels above 
the baseline, SPVAC less than 65,000 Btu/h also include a heating take-
back UEC of 53 kBtu/year.

                                  Table III.4--National UEC Estimates for SPVUs
----------------------------------------------------------------------------------------------------------------
                                                                                                 SPVAC >=65,000
                                                              SPVAC <65,000     SPVHP <65,000   and <135,000 Btu/
                                                                  Btu/h             Btu/h               h
----------------------------------------------------------------------------------------------------------------
                                             Efficiency Level (EER)
----------------------------------------------------------------------------------------------------------------
Baseline--Federal Standard................................               9.0               9.0               8.9
ASHRAE Level (1)..........................................              10.0              10.0              10.0
Efficiency Level 2........................................              10.5              10.5  ................
Efficiency Level 3........................................              11.0              11.0  ................
Efficiency Level 4........................................              11.8              11.8  ................
Efficiency Level 5--``Max-Tech''--........................              12.3              12.3  ................
----------------------------------------------------------------------------------------------------------------
                                                 UEC (kwh/year)
----------------------------------------------------------------------------------------------------------------
Baseline--Federal Standard................................             6,814            20,222            13,604
ASHRAE Level (1)..........................................             6,113            19,689            12,119
Efficiency Level 2........................................             5,864            19,236  ................
Efficiency Level 3........................................             5,638            18,951  ................
Efficiency Level 4........................................             5,335            18,115  ................
Efficiency Level 5--``Max-Tech''--........................             5,136            17,977  ................
----------------------------------------------------------------------------------------------------------------

    DOE seeks input on its analysis of UECs for these equipment classes 
and its use in establishing the energy savings potential for higher 
standards. Of particular interest to DOE is input on shipments of SPVHP 
equipment to telecommunications shelters and the frequency of use of 
economizers in equipment serving these shelters. DOE also recognizes 
that there may be regional differences between the shipments of heat 
pumps and air conditioners to warmer or cooler climates and requests 
stakeholder input on how, or if, such differences can be taken into 
account in the energy use characterization. DOE identified these topics 
as Issues 10 and 11 under ``Issues on Which DOE Seeks Comment'' in 
section IV.B of this NODA.
5. Commercial Water Heaters
    To provide an estimate of the UEC of commercial oil-fired storage 
water heaters (greater than 105,000 Btu/h and less than 4,000 Btu/h/
gal), DOE calculated the shipment-weighted average UEC of gas-fired 
commercial storage water heaters using data in the 2000 Screening 
Analysis for EPACT-Covered Commercial HVAC and Water-

[[Page 20130]]

Heating Equipment. (EERE-2006-STD-0098-0015) DOE then calculated the 
ratio of UEC of oil-fired to gas-fired commercial water heaters based 
on the water heating information derived from the Energy Information 
Administration's 2003 Commercial Buildings Energy Consumption 
Survey.\34\ DOE applied this ratio to the shipment-weighted average UEC 
of gas-fired commercial storage water heaters to arrive at the UEC of 
oil-fired commercial storage water heaters. DOE assumed this UEC 
corresponded to the baseline efficiency of 78 percent. For additional 
efficiency levels above 78 percent, DOE scaled the UECs based on the 
ratio of thermal efficiency at the baseline and each specific 
efficiency level. DOE seeks comment on its approach to estimating UECs 
for oil-fired commercial storage water heaters. DOE has identified this 
topic as Issue 12 under ``Issues on Which DOE Seeks Comment'' in 
section IV.B of this NODA.
---------------------------------------------------------------------------

    \34\ U.S. Department of Energy: Energy Information 
Administration, Commercial Buildings Energy Consumption Survey 
(2003) (Last accessed Jan. 2014) (Available at: http://www.eia.doe.gov/emeu/cbecs/).
---------------------------------------------------------------------------

    Table III.5 shows the UEC estimates for the current Federal 
standard levels, the ASHRAE 90.1-2013 levels, and the higher efficiency 
levels for oil-fired commercial storage water heaters.

    Table III.5--National UEC Estimates for Commercial Water-Heating
                                Equipment
------------------------------------------------------------------------
                                                      Oil-fired storage
                                                        water-heating
                                                     equipment (>105,000
                                                    Btu/h and <4,000 Btu/
                                                           h/gal)
------------------------------------------------------------------------
                          Efficiency Level (Et)
------------------------------------------------------------------------
Baseline--Federal Standard........................                   78%
ASHRAE Level (1)..................................                   80%
Efficiency Level 2................................                   81%
Efficiency Level 3--``Max-Tech''--................                   82%
------------------------------------------------------------------------
                            UEC (MMBtu/year)
------------------------------------------------------------------------
Baseline--Federal Standard........................                   131
ASHRAE Level (1)..................................                   128
Efficiency Level 2................................                   126
Efficiency Level 3--``Max-Tech''--................                   125
------------------------------------------------------------------------

B. Shipments

1. Small Commercial Air Conditioners and Heat Pumps
    DOE previously estimated shipments of air-cooled, three-phase 
equipment less than 65,000 Btu/h by equipment class for the year 1999 
as part of the 2000 Screening Analysis for EPACT-Covered Commercial 
HVAC and Water-Heating Equipment. (EERE-2006-STD-0098-0015) Table III.6 
shows these data. While the U.S. Census provides shipments data for 
air-cooled equipment less than 65,000 Btu/h, it does not disaggregate 
the shipments into single-phase and three-phase. Therefore, DOE used 
the Census data from 1999 to 2010 \35\ as a trend from which to 
extrapolate DOE's 1999 estimated shipments data (which is divided by 
equipment class) for three-phase equipment for the time period from 
2000 to 2010. DOE then used the estimated shipments from 1999 to 2010 
to establish a trend from which to project shipments beyond 2010. For 
heat pumps, DOE used a linear trend, which is slightly decreasing for 
single-package units and increasing for split systems. However, for 
single-package air conditioners, the trend was precipitously declining. 
As a result, for single-package air conditioners for the years after 
2010, DOE used the average value from 1999 to 2010. The full time 
series of shipments can be found in the ASHRAE NODA TSD.
---------------------------------------------------------------------------

    \35\ U.S. Census Bureau. Current Industrial Reports for 
Refrigeration, Air Conditioning, and Warm Air Heating Equipment, 
MA333M. Note that the current industrial reports were discontinued 
in 2010, so more recent data are not available. Available at: http://www.census.gov/manufacturing/cir/historical_data/ma333m/index.html.

Table III.6--DOE Estimated Shipments of Small Three-Phase Commercial Air
                Conditioners and Heat Pumps <65,000 Btu/h
------------------------------------------------------------------------
                       Equipment Class                            1999
------------------------------------------------------------------------
Single-Package AC............................................    213,728
Single-Package HP............................................     27,773
Split System HP..............................................     11,903
------------------------------------------------------------------------

2. Water-Source Heat Pumps
    The U.S. Census published historical (1980, 1983-1994, 1997-2006, 
and 2008-2010) water-source heat pump shipment data.\36\ Table III.7 
exhibits the shipment data provided for a selection of years. DOE 
analyzed data from the years 1990-2010 to establish a trend from which 
to project shipments beyond 2010. DOE used a linear trend. Because the 
Census data do not distinguish between equipment capacities, DOE used 
the shipments data by equipment class provided by AHRI in 1999, and 
published in the 2000 Screening Analysis for EPACT-Covered Commercial 
HVAC and Water-Heating Equipment (EERE-2006-STD-0098-0015), to 
distribute the total water-source heat pump shipments to individual 
equipment classes. Table III.8 exhibits the shipment data provided for 
1999. DOE assumed that this distribution of shipments across the 
various equipment classes remained constant and has used this same 
distribution in its projection of future shipments of water-source heat 
pumps. The complete historical data set and the projected shipments for 
each equipment class can be found in the ASHRAE NODA TSD.
---------------------------------------------------------------------------

    \36\ Id.

 Table III.7--Total Shipments of Water-Source Heat Pumps (Census Product
                            Code: 333415E181)
------------------------------------------------------------------------
            Equipment class                 1989       1999       2009
------------------------------------------------------------------------
Total..................................   157,080    120,545    180,101
------------------------------------------------------------------------


     Table III.8--Total Shipments of Water-Source Heat Pumps (AHRI)
------------------------------------------------------------------------
                   Equipment class                      1999     Percent
------------------------------------------------------------------------
WSHP <17000 Btu/h...................................    41,000        31
WSHP 17000-65000 Btu/h..............................    86,000        65
WSHP 65000-135000 Btu/h.............................     5,000         4
------------------------------------------------------------------------

    DOE notes that an EIA report on geothermal heat pump manufacturers 
\37\ shows shipments of water-source units (defined by EIA as those 
tested to ARI-320) as only 22,009 in 2009 and 7,808 in 2000, which is 
significantly less than that reported by the Census (product code 
333415E181) and by AHRI. DOE notes that both the Census data and the 
EIA report show consistent shipments of separately-reported ground-
source and ground-water-source heat pumps (listed as Census product 
code 333415G and defined by EIA as those tested to ARI-325/330) at 
approximately 87,000 shipments in 2009; DOE is not counting these 
shipments in its estimates as reported in Table III.7. DOE believes 
that water-source heat pumps operate with a water loop using a boiler 
or chiller as the heat source or sink, and that, therefore, may not be 
considered ``geothermal''; in this case, the EIA report may not include 
a comprehensive number of water-source heat pump shipments.
---------------------------------------------------------------------------

    \37\ U.S. Energy Information Administration, Geothermal Heat 
Pump Manufacturing Activities 2009 (2010) (Available at: http://www.eia.gov/renewable/renewables/geothermalrpt09.pdf).
---------------------------------------------------------------------------

    DOE seeks comment on the market for water-source heat pumps, 
especially what magnitude of annual shipments is most accurate, and how 
shipments are expected to change over time. DOE also

[[Page 20131]]

seeks comment on the share of the market for ground-source and ground-
water-source heat pump applications that use models also rated for 
water-loop application. DOE identified these as Issues 13 and 14 under 
``Issues on Which DOE Seeks Comment'' in section IV.B of this NODA.
3. Packaged Terminal Air Conditioners
    To estimate yearly shipments of PTACs, DOE examined new 
construction and replacement shipments. New construction shipments were 
calculated using projected new construction floor space of healthcare, 
lodging, and small office buildings from the Annual Energy Outlook 2013 
(AEO 2013) \38\ and historical saturation data, which were calculated 
from historical shipments data and historical new construction floor 
space as shown in Table III.9. Replacement shipments equaled the number 
of units that failed in a given year, based on a stock model and 
distribution of equipment lifetimes. DOE determined the distribution of 
shipments among the equipment classes using shipments data by equipment 
class provided by AHRI for the 2008 PTAC and PTHP rulemaking, as shown 
in Table III.10.\39\
---------------------------------------------------------------------------

    \38\ AEO 2013 can be accessed at: http://www.eia.gov/forecasts/archive/aeo13/index.cfm.
    \39\ U.S. Department of Energy--Office of Energy Efficiency and 
Renewable Energy. Energy Conservation Program for Commercial and 
Industrial Equipment: Packaged Terminal Air Conditioner and Packaged 
Terminal Heat Pump Energy Conservation Standards (Available at: 
http://www.regulations.gov/#!docketDetail;D=EERE-2007-BT-STD-0012).

   Table III.9--Historical PTAC and PTHP Shipments With New Construction Floor Space Values Used to Calculate
                                                   Saturation
----------------------------------------------------------------------------------------------------------------
                                                                                      New           Saturation
   Year       Health care        Lodging        Small Office    Total (million    Construction    (units/million
            (million s.f.)    (million s.f.)   (million s.f.)       s.f.)          Shipments          s.f.)
----------------------------------------------------------------------------------------------------------------
    2000                68              172              179              419           66,407            6,315
----------------------------------------------------------------------------------------------------------------


                           Table III.10--Shipments of PTACs by Equipment Class (AHRI)
----------------------------------------------------------------------------------------------------------------
                                                  PTAC                                     PTHP
                               ---------------------------------------------------------------------------------
                                  <7,000   >=7,000--<=15,000   >15,000     <7,000   >=7,000--<=15,000   >15,000
                                  Btu/h          Btu/h          Btu/h      Btu/h          Btu/h          Btu/h
----------------------------------------------------------------------------------------------------------------
1998-2004 Average Shipments...     12,898        205,355         15,407      7,702        168,068         13,534
Percent.......................         3%            48%             4%         2%            40%             3%
----------------------------------------------------------------------------------------------------------------

4. Single-Package Vertical Air Conditioners and Heat Pumps
    To develop the SPVU shipments model, DOE started with 2005 shipment 
estimates from the Air-Conditioning and Refrigeration Institute (ARI, 
now AHRI) for units less than 65,000 Btu/h as published in a previous 
rulemaking \40\ (more recent data are not available). Table III.11 
shows these data.
---------------------------------------------------------------------------

    \40\ U.S. Department of Energy--Office of Energy Efficiency and 
Renewable Energy, Technical Support Document: Energy Efficiency 
Program for Commercial and Industrial Equipment: Efficiency 
Standards for Commercial Heating, Air-Conditioning, and Water 
Heating Equipment Including Packaged Terminal Air-Conditioners and 
Packaged Terminal Heat Pumps, Small Commercial Packaged Boiler, 
Three-Phase Air-Conditioners and Heat Pumps <65,000 Btu/h, and 
Single-Package Vertical Air Conditioners and Single-Package Vertical 
Heat Pumps <65,000 Btu/h (March 2006) (Available at: http://www1.eere.energy.gov/buildings/appliance_standards/commercial/pdfs/ashrae_products/ashrae_products_draft_tsd_030206.pdf). This TSD 
was prepared for the rulemaking that resulted in the Final Rule: 
Energy Efficiency Program for Certain Commercial and Industrial 
Equipment: Efficiency Standards for Commercial Heating, Air-
Conditioning, and Water-Heating Equipment. 72 FR 10038 (March 7, 
2007).

     Table III.11--Total Shipments of Single Package Vertical Units
------------------------------------------------------------------------
                       Equipment class                            2005
------------------------------------------------------------------------
SPVAC <65,000 Btu/h, single-phase............................     31,976
SPVAC <65,000 Btu/h, three-phase.............................     13,125
SPVHP <65,000 Btu/h, single-phase............................     14,301
SPVHP <65,000 Btu/h, three-phase.............................      6,129
------------------------------------------------------------------------

    DOE added additional shipments for SPVACs greater than or equal to 
65,000 Btu/h and less than 135,000 Btu/h, which make up 3 percent of 
the market, based on manufacturer interviews. As there are no models on 
the market for SPVHP greater than or equal to 65,000 Btu/h and less 
than 135,000 Btu/h, or for any SPVUs greater than or equal to 135,000 
Btu/h, DOE did not develop shipments estimates (or generate NES) for 
these equipment classes. See chapter 4 of the NODA TSD for more details 
on the initial shipment estimates by equipment class that were used as 
the basis for the shipments projections discussed subsequently.
    To project shipments of SPVUs for new construction (starting in 
2006), DOE relied primarily on sector-based estimates of saturation and 
projections of floor space. Based on manufacturer interview 
information, DOE allocated 35 percent of shipments to the education 
sector, 35 percent to telecom, and 30 percent to offices. DOE used the 
2005 new construction shipments and 2005 new construction floor space 
for offices and education (from AEO 2013) to estimate a saturation rate 
for each end use.\41\ DOE applied this saturation rate to AEO 2013 
projections of new construction floor space to project shipments to new 
construction through 2044. For shipments to telecom, DOE developed an 
index based on County Business Pattern data for establishments \42\ and 
projected this trend forward. To allocate the total projected shipments 
for office, education, and telecom into the equipment classes, DOE used 
the fraction of shipments from 2005 for each equipment class. This 
fraction remained constant over time. The complete discussion of 
shipment allocation and projected shipments for the different

[[Page 20132]]

equipment classes can be found in chapter 4 of the NODA TSD.
---------------------------------------------------------------------------

    \41\ Manufacturers reported that in 2012, 50 percent of 
shipments were for new construction. DOE allocated a larger 
percentage of shipments to new construction in 2005 in order to 
arrive at 50 percent in 2012.
    \42\ U.S. Census Bureau, County Business Patterns for NAICS 
237130 Power and Communication Line and Related Structures 
Construction (Available at: http://www.census.gov/econ/cbp/index.html) (Last accessed May 2, 2012).
---------------------------------------------------------------------------

    In order to model shipments for replacement SPVUs, DOE developed 
historical shipments for SPVUs back to 1981 based on an index of square 
footage production data from the Modular Buildings Institute.\43\ 
Shipments prior to 1994 were extrapolated based on a trend from 2005 to 
1997. In the stock model, the lifetime of SPVUs follows a distribution 
with a minimum of 10 years and a maximum of 25 years (and an average of 
15 years). All retired units are assumed to be replaced with new 
shipments. The complete discussion of the method for extrapolating 
historical shipments can be found in chapter 4 of the NODA TSD.
---------------------------------------------------------------------------

    \43\ Available at: http://www.modular.org/HtmlPage.aspx?name=analysis (Last accessed May 18, 2012).
---------------------------------------------------------------------------

5. Commercial Water Heaters
    DOE derived the shipments for commercial oil-fired storage water 
heaters (greater than 105,000 Btu/h and less than 4,000 Btu/h/gal) from 
the 2000 Screening Analysis for EPACT-Covered Commercial HVAC and 
Water-Heating Equipment (EERE-2006-STD-0098-0015) and the AHRI model 
database.\44\ The PNNL study estimated the shipments of gas-fired 
storage water heaters in 1999. DOE estimated that the shipments in 2000 
are the same as the shipments in 1999, and then applied a 1% per year 
growth rate after 2000. To derive the shipments of oil-fired storage 
water heaters, DOE calculated the ratio of oil- versus gas-fired 
storage water heaters using the number of models in the AHRI model 
database, which was 3.3 percent. DOE multiplied this ratio by the 
shipments of gas-fired storage water heaters to calculate the shipments 
of oil-fired storage water heaters. The complete series of shipments 
can be found in chapter 4 of the NODA TSD.
---------------------------------------------------------------------------

    \44\ Available at: http://www.ahridirectory.org/ahridirectory/pages/home.aspx.
---------------------------------------------------------------------------

    DOE seeks input and data regarding its shipments methodologies and 
projections for all equipment analyzed in today's NODA. DOE identified 
this as Issue 15 under ``Issues on Which DOE Seeks Comment'' in section 
IV.B of this NODA.

C. Base-Case Efficiency Distribution

    DOE reviewed manufacturer interview data (for SPVUs) or the AHRI 
certified products directory for relevant equipment classes (for all 
other equipment) to determine the distribution of efficiency levels for 
commercially-available models within each equipment class analyzed in 
today's NODA. DOE bundled the efficiency levels into ``efficiency 
ranges'' and determined the percentage of models within each range. The 
distribution of efficiencies in the base case for each equipment class 
can be found in the ASHRAE NODA TSD.
    For the standards case for all equipment in today's NODA, DOE 
assumed shipments at lower efficiencies were most likely to roll up 
into higher efficiency levels in response to more-stringent energy 
conservation standards. For each efficiency level analyzed within a 
given equipment class, DOE used a ``roll-up'' scenario to establish the 
market shares by efficiency level for the year that standards would 
become effective (e.g., 2015, 2017, or 2020). DOE estimated that the 
efficiencies of equipment in the base case that did not meet the 
standard level under consideration would roll up to meet the standard 
level. Available information also suggests that all equipment 
efficiencies in the base case that were above the standard level under 
consideration would not be affected. Table III.12 shows an example of 
the distribution of efficiencies within the base-case and the roll-up 
scenarios to establish the distribution of efficiencies in the 
standards cases for oil-fired commercial storage water heaters. For all 
the tables of the distribution of efficiencies in the base case and 
standards cases by equipment class, see the ASHRAE NODA TSD.

     Table III.12--Distribution of Efficiencies in the Base Case and
     Standards Cases for Oil-Fired Commercial Storage Water Heaters
------------------------------------------------------------------------
                                            Thermal efficiency (%)
                                     -----------------------------------
                                         78       80       81       82
------------------------------------------------------------------------
Base Case...........................    52.6%    23.7%    10.5%    13.2%
ASHRAE 90.1-2013 Standard...........  .......    76.3%    10.5%    13.2%
Efficiency Level 2..................  .......  .......    86.8%    13.2%
Max-Tech............................  .......  .......  .......   100.0%
------------------------------------------------------------------------

    DOE seeks input on its determination of the base-case distribution 
of efficiencies and its projection of how amended energy conservation 
standards would affect the distribution of efficiencies in each 
standards case. DOE identified this as Issue 16 under ``Issues on Which 
DOE Seeks Comment'' in section IV.B of this NODA.
    Using the distribution of efficiencies in the base case and in the 
standards cases for each equipment class analyzed in today's NODA, as 
well as the UECs for each specified EER, SEER, or thermal efficiency 
(discussed previously), DOE calculated market-weighted average 
efficiency values. The market-weighted average efficiency value 
represents the average efficiency of the total units shipped at a 
specified amended standard level. The market-weighted average 
efficiency values for the base case and the standards cases for each 
efficiency level analyzed within the equipment classes is provided in 
the ASHRAE NODA TSD.

D. Other Analytical Inputs

1. Conversion of Site Energy Savings
    DOE converted the annual site energy savings into the annual amount 
of energy saved at the source of electric generation (i.e., primary 
energy) using annual multiplicative factors calculated from the AEO 
2013 projections.\45\ For electricity, the conversion factors vary over 
time because of projected changes in generation sources (i.e., the 
types of power plants projected to provide electricity to the country).
---------------------------------------------------------------------------

    \45\ AEO 2013 can be accessed at: http://www.eia.gov/forecasts/archive/aeo13/index.cfm.
---------------------------------------------------------------------------

    In response to the recommendations of a committee on ``Point-of-Use 
and Full-Fuel-Cycle Measurement Approaches to Energy Efficiency 
Standards'' appointed by the National Academy of Sciences, DOE 
announced its intention to use full-fuel-cycle (FFC) measures of energy 
use and greenhouse gas and other emissions in the national impact 
analyses and emissions analyses included in future energy conservation 
standards rulemakings. 76 FR 51281 (August 18, 2011). After evaluating

[[Page 20133]]

analytical models and the approaches discussed in the August 18, 2011 
notice, DOE published a statement of amended policy in which DOE 
explained its determination that the National Energy Modeling System 
(NEMS) is the most appropriate tool for its FFC analysis and its 
intention to use NEMS for that purpose. 77 FR 49701 (August 17, 2012). 
The calculations in today's notice use FFC multipliers derived from 
NEMS.
2. Equipment Lifetime
    DOE defines ``equipment lifetime'' as the age when a unit is 
retired from service. DOE reviewed available literature to establish 
typical equipment lifetimes. For air-cooled equipment, water-source 
heat pumps, and commercial storage water heaters, DOE used the 
estimated product lifetimes from the 2000 screening analysis for EPACT-
Covered Commercial HVAC and Water-Heating Equipment (EERE-2006-STD-
0098-0015). The average lifetime for air-cooled equipment is 15 years, 
for water-source equipment 19 years, and for water heaters 7 years.
    For PTACs, DOE used the same average lifetime of 10 years as used 
in the 2008 final rule for PTACs. 73 FR 58772, 58789 (Oct. 7, 2008). 
For SPVUs, DOE used an average of 15 years based on a review of a range 
of packaged cooling equipment lifetime estimates found in published 
studies and online documents. For further details on equipment 
lifetime, see the ASHRAE NODA TSD.
3. Compliance Date and Analysis Period
    If DOE were to propose a rule prescribing energy conservation 
standards at the efficiency levels contained in ASHRAE Standard 90.1-
2013, EPCA states that any such standard shall become effective on or 
after a date that is two or three years (depending on equipment type or 
size) after the effective date of the applicable minimum energy 
efficiency requirement in the amended ASHRAE standard (i.e., ASHRAE 
Standard 90.1-2013). (42 U.S.C. 6313(a)(6)(D)) All equipment for which 
analysis was performed in this NODA falls into the two-year category. 
For all PTACs and air-cooled equipment in this rulemaking, the 
effective date in ASHRAE Standard 90.1-2013 is January 1, 2015. Thus, 
if DOE decides to adopt the levels in ASHRAE Standard 90.1-2013, the 
rule would apply to PTACs and air-cooled equipment manufactured on or 
after January 1, 2017, which is two years from the effective date 
specified in ASHRAE Standard 90.1-2013. For all water-source heat 
pumps, SPVUs, and commercial water heaters in this rulemaking, ASHRAE 
Standard 90.1-2013 did not specify an effective date, so the 
publication date of October 9, 2013 is assumed. Thus, if DOE decides to 
adopt the levels in ASHRAE Standard 90.1-2013, the rule would apply to 
water-source heat pumps, SPVUs, and commercial water heaters 
manufactured on or after October 9, 2015, which is two years from the 
publication date of ASHRAE Standard 90.1-2013.
    If DOE were to propose prescribing energy conservation standards 
higher than the efficiency levels contained in ASHRAE Standard 90.1-
2013, under EPCA, any such standard will become effective for equipment 
manufactured four years after the date of publication of a final rule 
in the Federal Register. (42 U.S.C. 6313(a)(6)(D)) Thus, for equipment 
for which DOE might adopt a level more stringent than the ASHRAE 
efficiency level, the rule would apply to equipment manufactured on and 
after a date which is four years from the date of publication of the 
final rule adopting standards higher than the ASHRAE efficiency levels 
(with a requirement to complete that final rule no later than 30 months 
after publication of the revised ASHRAE Standard 90.1, which occurred 
on October 9, 2013). Under this timeline, compliance with such more 
stringent standards would be required no later than April 9, 2020.
    For purposes of calculating the NES for water-source heat pumps, 
SPVUs, and commercial water heaters, DOE used an analysis period of 
2015 (the assumed compliance date if DOE were to adopt the ASHRAE 
levels as Federal standards for this equipment) through 2044. For PTACs 
and air-cooled equipment, DOE used an analysis period of 2017 (the 
assumed compliance date if DOE were to adopt the ASHRAE levels as 
Federal standards for this equipment) through 2046. This is the 
standard analysis period of 30 years that DOE typically uses in its NES 
analysis. While the analysis periods remain the same for assessing the 
energy savings of Federal standard levels higher than the ASHRAE 
levels, those energy savings would not begin accumulating until 2020 
(the assumed compliance date if DOE were to determine that standard 
levels more stringent than the ASHRAE levels are justified).
    For each equipment class for which DOE developed a potential energy 
savings analysis, Table III.13 exhibits the approximate compliance 
dates of an amended energy conservation standard.

  Table III.13--Approximate Compliance Date of an Amended Energy Conservation Standard for Each Equipment Class
----------------------------------------------------------------------------------------------------------------
                                                                                         Approximate compliance
                                                              Approximate compliance    date for adopting more-
                      Equipment class                         date for adopting the       stringent efficiency
                                                               efficiency levels in       levels than those in
                                                            ASHRAE Standard 90.1-2013  ASHRAE Standard 90.1-2013
----------------------------------------------------------------------------------------------------------------
Three-Phase Air-Cooled Single Package Air Conditioners                        01/2017                    04/2020
 <65,000 Btu/h............................................
Three-Phase Air-Cooled Single Package Heat Pumps <65,000                      01/2017                    04/2020
 Btu/h....................................................
Three-Phase Air-Cooled Split System Heat Pumps <65,000 Btu/                   01/2017                    04/2020
 h........................................................
Water Source HP <17,000 Btu/h.............................                    10/2015                    04/2020
Water Source HP >=17,000 to <65,000 Btu/h.................                    10/2015                    04/2020
Water Source HP >=65,000 to 135,000 Btu/h.................                    10/2015                    04/2020
PTAC <7,000 Btu/h.........................................                    01/2017                    04/2020
PTAC >=7,000 to <=15,000 Btu/h............................                    01/2017                    04/2020
PTAC >15,000 Btu/h........................................                    01/2017                    04/2020
SPVAC <65,000 Btu/h.......................................                    10/2015                    04/2020
SPVHP <65,000 Btu/h.......................................                    10/2015                    04/2020
SPVAC >=65,000 to <135,000 Btu/h..........................                    10/2015                    04/2020
Oil-Fired Storage Water Heaters >105,000 Btu/h and <4,000                     10/2015                    04/2020
 Btu/h/gal................................................
----------------------------------------------------------------------------------------------------------------


[[Page 20134]]

E. Estimates of Potential Energy Savings

    DOE estimated the potential primary energy savings in quads (i.e., 
10\15\ Btu) for each efficiency level considered within each equipment 
class analyzed. The potential energy savings for efficiency levels more 
stringent than those specified by ASHRAE Standard 90.1-2013 were 
calculated relative to the efficiency levels that would result if 
ASHRAE Standard 90.1-2013 standards were adopted. Table III.14 through 
Table III.26 show the potential energy savings resulting from the 
analyses conducted as part of this NODA. The reported energy savings 
are cumulative over the period in which equipment shipped in the 30-
year analysis continues to operate.

 Table III.14--Potential Energy Savings for Small Three-Phase Air-Cooled Single-Package Air Conditioners <65,000
                                                      Btu/h
----------------------------------------------------------------------------------------------------------------
                                                              Primary energy savings       FFC energy savings
                     Efficiency level                           estimate* (quads)          estimate*  (quads)
----------------------------------------------------------------------------------------------------------------
Level 1--ASHRAE--14 SEER..................................                       0.02                       0.02
Level 2--15 SEER..........................................                       0.04                       0.04
Level 3--16 SEER..........................................                       0.10                       0.10
Level 4--17.5 SEER........................................                       0.12                       0.12
Level 5--``Max-Tech''--19.15 SEER.........................                       0.14                       0.15
----------------------------------------------------------------------------------------------------------------
* The potential energy savings for efficiency levels more stringent than those specified by ASHRAE Standard 90.1-
  2013 were calculated relative to the efficiency levels that would result if ASHRAE Standard 90.1-2013
  standards were adopted.


 Table III.15--Potential Energy Savings for Small Three-Phase Air-Cooled Single-Package Heat Pumps <65,000 Btu/h
----------------------------------------------------------------------------------------------------------------
                                                              Primary energy savings       FFC energy savings
                     Efficiency level                           estimate*  (quads)         estimate*  (quads)
----------------------------------------------------------------------------------------------------------------
Level 1--ASHRAE--14 SEER..................................                      0.001                      0.001
Level 2--15 SEER..........................................                      0.007                      0.007
Level 3--16 SEER..........................................                      0.014                      0.014
Level 4--``Max-Tech''--18.05 SEER.........................                      0.018                      0.019
----------------------------------------------------------------------------------------------------------------
* The potential energy savings for efficiency levels more stringent than those specified by ASHRAE Standard 90.1-
  2013 were calculated relative to the efficiency levels that would result if ASHRAE Standard 90.1-2013
  standards were adopted.


  Table III.16--Potential Energy Savings for Small Three-Phase Air-Cooled Split System Heat Pumps <65,000 Btu/h
----------------------------------------------------------------------------------------------------------------
                                                              Primary energy savings       FFC energy savings
                     Efficiency level                           estimate* (quads)          estimate* (quads)
----------------------------------------------------------------------------------------------------------------
Level 1--ASHRAE--14 SEER..................................                      0.002                      0.002
Level 2--15 SEER..........................................                      0.012                      0.012
Level 3--16 SEER..........................................                      0.026                      0.026
Level 4--``Max-Tech''--18.05 SEER.........................                      0.033                      0.033
----------------------------------------------------------------------------------------------------------------
* The potential energy savings for efficiency levels more stringent than those specified by ASHRAE Standard 90.1-
  2013 were calculated relative to the efficiency levels that would result if ASHRAE Standard 90.1-2013
  standards were adopted.


                Table III.17--Potential Energy Savings for Water-Source Heat Pumps <17,000 Btu/h
----------------------------------------------------------------------------------------------------------------
                                                              Primary energy savings       FFC energy savings
                     Efficiency level                           estimate* (quads)          estimate* (quads)
----------------------------------------------------------------------------------------------------------------
Level 1--ASHRAE--12.2 EER.................................                      0.001                      0.001
Level 2--13 EER...........................................                      0.007                      0.007
Level 3--14 EER...........................................                      0.025                      0.026
Level 4--15.7 EER.........................................                      0.063                      0.064
Level 5--16.5 EER.........................................                      0.082                      0.083
Level 6--``Max-Tech''--18.1 EER...........................                      0.116                      0.118
----------------------------------------------------------------------------------------------------------------
* The potential energy savings for efficiency levels more stringent than those specified by ASHRAE Standard 90.1-
  2013 were calculated relative to the efficiency levels that would result if ASHRAE Standard 90.1-2013
  standards were adopted.


[[Page 20135]]


          Table III.18--Potential Energy Savings for Water-Source Heat Pumps >=17,000 and <65,000 Btu/h
----------------------------------------------------------------------------------------------------------------
                                                              Primary energy savings       FFC energy savings
                     Efficiency level                           estimate* (quads)          estimate* (quads)
----------------------------------------------------------------------------------------------------------------
Level 1--ASHRAE--13 EER...................................                      0.001                      0.001
Level 2--14.6 EER.........................................                      0.064                      0.065
Level 3--16.6 EER.........................................                      0.280                      0.284
Level 4--18 EER...........................................                      0.451                      0.459
Level 5--19.2 EER.........................................                      0.591                      0.601
Level 6--``Max-Tech''--21.6 EER...........................                      0.831                      0.844
----------------------------------------------------------------------------------------------------------------
* The potential energy savings for efficiency levels more stringent than those specified by ASHRAE Standard 90.1-
  2013 were calculated relative to the efficiency levels that would result if ASHRAE Standard 90.1-2013
  standards were adopted.


         Table III.19--Potential Energy Savings for Water-Source Heat Pumps >=65,000 and <135,000 Btu/h
----------------------------------------------------------------------------------------------------------------
                                                              Primary energy savings       FFC energy savings
                     Efficiency level                          estimate *  (quads)        estimate *  (quads)
----------------------------------------------------------------------------------------------------------------
Level 1--ASHRAE--13 EER...................................                       (**)                       (**)
Level 2--14 EER...........................................                      0.004                      0.004
Level 3--15 EER...........................................                      0.013                      0.014
Level 4--16 EER...........................................                      0.032                      0.033
Level 5--``Max-Tech''--17.2 EER...........................                      0.057                      0.058
----------------------------------------------------------------------------------------------------------------
* The potential energy savings for efficiency levels more stringent than those specified by ASHRAE Standard 90.1-
  2013 were calculated relative to the efficiency levels that would result if ASHRAE Standard 90.1-2013
  standards were adopted.
** There are no potential savings for this Level because all models currently on the market exceed this
  efficiency level, and thus would not be affected by a standard set at this level.


                          Table III.20--Potential Energy Savings for PTAC <7,000 Btu/h
----------------------------------------------------------------------------------------------------------------
                                                              Primary energy savings       FFC energy savings
                     Efficiency level                          estimate *  (quads)        estimate *  (quads)
----------------------------------------------------------------------------------------------------------------
Level 1--ASHRAE--11.9 EER.................................                       (**)                       (**)
Level 2--12.2 EER.........................................                       (**)                       (**)
Level 3--12.6 EER.........................................                      0.001                      0.001
Level 4--13.1 EER.........................................                      0.002                      0.002
Level 5--13.6 EER.........................................                      0.003                      0.003
Level 6--``Max-Tech''--14.0 EER...........................                      0.004                      0.004
----------------------------------------------------------------------------------------------------------------
* The potential energy savings for efficiency levels more stringent than those specified by ASHRAE Standard 90.1-
  2013 were calculated relative to the efficiency levels that would result if ASHRAE Standard 90.1-2013
  standards were adopted.
** There are no potential savings for this Level because all models currently on the market exceed this
  efficiency level, and thus would not be affected by a standard set at this level.


                   Table III.21--Potential Energy Savings for PTAC >=7,000 and <=15,000 Btu/h
----------------------------------------------------------------------------------------------------------------
                                                              Primary energy savings       FFC energy savings
                     Efficiency level                          estimate *  (quads)        estimate *  (quads)
----------------------------------------------------------------------------------------------------------------
Level 1--ASHRAE--11.3 EER.................................                      0.001                      0.001
Level 2--11.5 EER.........................................                      0.005                      0.005
Level 3--12.0 EER.........................................                      0.022                      0.023
Level 4--12.4 EER.........................................                      0.040                      0.040
Level 5--12.9 EER.........................................                      0.058                      0.058
Level 6--``Max-Tech''--13.3 EER...........................                      0.076                      0.077
----------------------------------------------------------------------------------------------------------------
* The potential energy savings for efficiency levels more stringent than those specified by ASHRAE Standard 90.1-
  2013 were calculated relative to the efficiency levels that would result if ASHRAE Standard 90.1-2013
  standards were adopted.


                          Table III.22--Potential Energy Savings for PTAC >15,000 Btu/h
----------------------------------------------------------------------------------------------------------------
                                                              Primary energy savings       FFC energy savings
                     Efficiency level                           estimate*  (quads)         estimate*  (quads)
----------------------------------------------------------------------------------------------------------------
Level 1--ASHRAE--9.5 EER..................................                     0.0009                     0.0009
Level 2--9.7 EER..........................................                     0.0007                     0.0007
Level 3--10.0 EER.........................................                     0.0022                     0.0023
Level 4--10.4 EER.........................................                     0.0037                     0.0038
Level 5--10.8 EER.........................................                     0.0053                     0.0053

[[Page 20136]]

 
Level 6--``Max-Tech''--11.2 EER...........................                     0.0068                     0.0069
----------------------------------------------------------------------------------------------------------------
* The potential energy savings for efficiency levels more stringent than those specified by ASHRAE Standard 90.1-
  2013 were calculated relative to the efficiency levels that would result if ASHRAE Standard 90.1-2013
  standards were adopted.


                    Table III.23--Potential Energy Savings Estimates for SPVAC <65,000 Btu/h
----------------------------------------------------------------------------------------------------------------
                                                              Primary energy savings       FFC energy savings
                     Efficiency level                           estimate*  (quads)         estimate*  (quads)
----------------------------------------------------------------------------------------------------------------
Level 1--ASHRAE--10 EER...................................                       0.21                       0.21
Level 2--10.5 EER.........................................                       0.07                       0.07
Level 3--11 EER...........................................                       0.14                       0.14
Level 4--11.8 EER.........................................                       0.22                       0.23
Level 4--``Max-Tech''--12.3 EER...........................                       0.28                       0.29
----------------------------------------------------------------------------------------------------------------
* The potential energy savings for efficiency levels more stringent than those specified by ASHRAE Standard 90.1-
  2013 were calculated relative to the efficiency levels that would result if ASHRAE Standard 90.1-2013
  standards were adopted.


                     Table III.24--Potential Energy Savings Estimates for SPVHP<65,000 Btu/h
----------------------------------------------------------------------------------------------------------------
                                                              Primary energy savings       FFC energy savings
                     Efficiency level                         estimate* **  (quads)      estimate* **  (quads)
----------------------------------------------------------------------------------------------------------------
Level 1--ASHRAE--10 EER...................................                       0.06                       0.06
Level 2--10.5 EER.........................................                       0.05                       0.05
Level 3--11 EER...........................................                       0.08                       0.08
Level 4--11.8 EER.........................................                       0.17                       0.18
Level 4--``Max-Tech''--12.3 EER...........................                       0.19                       0.19
----------------------------------------------------------------------------------------------------------------
* The potential energy savings for efficiency levels more stringent than those specified by ASHRAE Standard 90.1-
  2013 were calculated relative to the efficiency levels that would result if ASHRAE Standard 90.1-2013
  standards were adopted.
** For SPVHPs, the energy savings estimates are based on both cooling savings (EER) and heating savings (COP).


             Table III.25--Potential Energy Savings Estimates for SPVAC >=65,000 and <135,000 Btu/h
----------------------------------------------------------------------------------------------------------------
                                                            Primary energy savings        FFC energy savings
                    Efficiency level                           estimate  (quads)           estimate  (quads)
----------------------------------------------------------------------------------------------------------------
Level 1--ASHRAE--10.0 EER...............................                       0.02                        0.02
----------------------------------------------------------------------------------------------------------------


 Table III.26--Potential Energy Savings Estimates for Commercial Oil-Fired Storage Water Heaters >105,000 Btu/h
                                              and <4,000 Btu/h/gal
----------------------------------------------------------------------------------------------------------------
                                                                 Primary energy savings     FFC energy savings
                       Efficiency level                            estimate*  (quads)       estimate*  (quads)
----------------------------------------------------------------------------------------------------------------
Level 1--ASHRAE--80% Et.......................................                    0.002                    0.002
Level 2--81% Et...............................................                    0.001                    0.001
Level 3--``Max-Tech''--82% Et.................................                    0.002                    0.002
----------------------------------------------------------------------------------------------------------------
* The potential energy savings for efficiency levels more stringent than those specified by ASHRAE Standard 90.1-
  2013 were calculated relative to the efficiency levels that would result if ASHRAE Standard 90.1-2013
  standards were adopted.

IV. Public Participation

A. Submission of Comments

    DOE will accept comments, data, and information regarding this NODA 
no later than the date provided in the DATES section at the beginning 
of this notice. Interested parties may submit comments, data, and other 
information using any of the methods described in the ADDRESSES section 
at the beginning of this notice.
    Submitting comments via www.regulations.gov. The 
www.regulations.gov Web page will require you to provide your name and 
contact information. Your contact information will be viewable to DOE 
Building Technologies staff only. Your contact information will not be 
publicly viewable except for your first and last names, organization 
name (if any), and submitter representative name (if any). If your 
comment is not processed properly because of technical difficulties, 
DOE will use this information to contact you. If DOE cannot read your 
comment due to technical difficulties and cannot contact

[[Page 20137]]

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

B. Issues on Which DOE Seeks Comment

    Although DOE welcomes comments on any aspect of this notice, DOE is 
particularly interested in receiving comments and views of interested 
parties concerning the following issues:
    (1) DOE's proposal to re-create separate equipment classes for 
single-package and split system equipment in the overall equipment 
classes of small commercial package air conditioning and heating 
equipment (air-cooled, three-phase) less than 65,000 Btu/h;
    (2) The nomenclature changes in ASHRAE 90.1-2013 from ``water 
source'' to ``water to air, water loop'' and from ``COP'' to ``COPH'', 
and whether in fact they are editorial in nature;
    (3) The proposed definition for ``water-source heat pump;''
    (4) DOE's tentative proposal to not establish a separate space-
constrained class for SPVUs;
    (5) DOE's preliminary conclusion that the updates to the most 
recent versions of ANSI Z21.47 do not have a substantive impact on the 
measurement of energy efficiency for gas-fired furnaces;
    (6) Whether energy usage for three-phase commercial air-cooled 
equipment would be similar to that modeled for single-phase equipment 
in commercial buildings;
    (7) Whether increasing the HSPF for commercial air-cooled equipment 
less than 65,000 Btu/h will result in significant energy savings, and, 
if so, data to support such conclusion;
    (8) The appropriateness of using the cooling UECs for water-source 
heat pumps developed in the 2000 screening analysis, or other sources 
of data for this analysis;
    (9) Data and information related to water-source heat pump heating 
energy use;
    (10) DOE's analysis of UEC for SPVUs and its use in establishing 
the energy savings potential for more-stringent standards. Of 
particular interest to DOE is input on shipments of SPVHP equipment to 
telecommunications shelters and the frequency of use of economizers in 
equipment serving these shelters;
    (11) Input on how or if regional differences between the shipments 
of heat pumps and air conditioners to warmer or cooler climates can be 
taken into account in the SPVU energy use characterization;
    (12) DOE's derivation of UECs for oil-fired storage water heaters;
    (13) Data and information related to the current shipments of 
water-source heat pumps and expected future trends;
    (14) The share of the market for ground-source and ground-water-
source heat pump applications that use models also rated for water-loop 
application;

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    (15) DOE's shipment methodologies and projections for all equipment 
analyzed in today's NODA, and any shipments data related to these 
equipment; and
    (16) DOE's determination of the base-case distribution efficiencies 
and its prediction on how amended energy conservation standards would 
affect the distribution of efficiencies in the standards case for the 
thirteen classes of equipment for which analysis was performed.

V. Approval of the Office of the Secretary

    The Secretary of Energy has approved publication of this notice of 
data availability.

    Issued in Washington, DC, on April 7, 2014.
Kathleen B. Hogan,
Deputy Assistant Secretary for Energy Efficiency, Energy Efficiency and 
Renewable Energy.
[FR Doc. 2014-08214 Filed 4-10-14; 8:45 am]
BILLING CODE 6450-01-P