[Federal Register Volume 65, Number 154 (Wednesday, August 9, 2000)]
[Proposed Rules]
[Pages 48828-48838]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 00-19723]



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Part II





Department of Energy





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Office of Energy Efficiency and Renewable Energy



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10 CFR Part 431



Energy Efficiency Program for Certain Commercial and Industrial 
Equipment: Test Procedures and Efficiency Standards for Commercial Air 
Conditioners and Heat Pumps, Commercial Packaged Boilers, Commercial 
Water Heaters, Hot Water Supply Boilers and Unfired Hot Water Storage 
Tanks; Proposed Rules

  Federal Register / Vol. 65, No. 154 / Wednesday, August 9, 2000 / 
Proposed Rules  

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DEPARTMENT OF ENERGY

Office of Energy Efficiency and Renewable Energy

10 CFR Part 431

[Docket No. EE-RM/TP-99-460]
RIN 1904-AA97


Energy Efficiency Program for Certain Commercial and Industrial 
Equipment: Test Procedures and Efficiency Standards for Commercial Air 
Conditioners and Heat Pumps

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

ACTION: Proposed rule and public hearing.

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SUMMARY: The Energy Policy and Conservation Act, as amended (EPCA), 
establishes energy efficiency standards and test procedures for certain 
commercial products, including commercial air conditioners and heat 
pumps. In today's proposed rule, the Department of Energy (we, DOE, or 
the Department) proposes regulations to implement the standards and 
test procedures for these air conditioners and heat pumps.

DATES: The Department will accept comments, data, and information 
regarding the proposed rule until October 23, 2000. Please submit ten 
(10) copies. In addition, we request that you provide an electronic 
copy (3\1/2\" diskette) of the comments in WordPerfect TM 8.
    We will hold a public hearing (workshop) on September 21, 2000, in 
Washington, DC. Please send requests to speak at the workshop so that 
we receive them by 4 p.m., September 7, 2000. Send ten (10) copies of 
your statements for the public workshop so that we receive them by 4:00 
p.m., September 14, 2000. We also request a computer diskette 
(WordPerfect TM 8) of each statement.

ADDRESSES: Please submit written comments, oral statements, and 
requests to speak at the workshop to Brenda Edwards-Jones, U.S. 
Department of Energy, Office of Energy Efficiency and Renewable Energy, 
EE-41, Docket No. EE-RM/TP-99-460, 1000 Independence Avenue, SW., 
Washington, DC 20585. You may send email to: [email protected]. The workshop will begin at 9 a.m., on September 21, 
2000, in Room 1E-245 at the U.S. Department of Energy, Forrestal 
Building, 1000 Independence Avenue, SW, Washington, DC. You can find 
more information concerning public participation in this rulemaking 
proceeding in section IV, ``Public Comment,'' of this notice.
    You can read the transcript of the public workshop and public 
comments received in the Freedom of Information Reading Room (Room No. 
1E-190) at the U.S. Department of Energy, Forrestal Building, 1000 
Independence Avenue, SW., Washington, DC 20585, between the hours of 
9:00 a.m. and 4:00 p.m., Monday through Friday, except Federal 
holidays.
    You can obtain the latest information regarding the public workshop 
from the Office of Building Research and Standards world wide web site 
at the following address: http://www.eren.doe.gov/buildings/
codes__standards/index.htm.

FOR FURTHER INFORMATION CONTACT: Cyrus H. Nasseri, U.S. Department of 
Energy, Office of Energy Efficiency and Renewable Energy, Mail Station, 
EE-41, 1000 Independence Avenue, SW., Washington, D.C. 20585, (202) 
586-9138, FAX (202) 586-4617, e-mail: [email protected], or 
Edward Levy, Esq, U.S. Department of Energy, Office of General Counsel, 
Mail Station, GC-72, 1000 Independence Avenue, SW., Washington, D.C. 
20585, (202) 586-9507, e-mail: [email protected].

SUPPLEMENTARY INFORMATION: The proposed rule incorporates, by 
reference, four test procedures contained in industry standards 
referenced by the American Society of Heating, Refrigerating, and Air-
Conditioning Engineers, Inc. (ASHRAE) Standard 90.1 for commercial air 
conditioners and heat pumps. Three of these industry standards were 
published by the Air-Conditioning and Refrigeration Institute (ARI) and 
the fourth was jointly published by the ARI and the Canadian Standards 
Association (CSA). These four standards are as follows:
     Standard 210/240-94, ``Unitary Air-Conditioning and Air-
Source Heat Pump Equipment'',
     Standard 340/360-93, ``Commercial and Industrial Unitary 
Air-Conditioning and Heat Pump Equipment'',
     Standard 320-98, ``Water-Source Heat Pumps'', and
     Standard 310/380-93 (which also has a CSA designation CSA-
C744-93), ``Standard for Package Terminal Air-Conditioners and Heat 
Pumps.''
    You can view copies of these standards at the Department of 
Energy's Freedom of Information Reading Room at the address stated 
above. You can also obtain copies of the ASHRAE and ARI Standards from 
the American Society of Heating, Refrigerating, and Air-Conditioning 
Engineers, Inc., 1971 Tullie Circle, NE, Atlanta, GA 30329, http://www.ashrae.org; and the Air-Conditioning and Refrigeration Institute, 
4301 North Fairfax Drive, Suite 425, Arlington, VA 22203, http://www.ari.org, respectively.

I. Introduction

A. Authority
B. Background
    1. General
    2. Issues Concerning Commercial Air Conditioners and Heat Pumps
C. The Proposed Rule

II. Discussion

A. General
B. Commercial Air Conditioner and Heat Pump Definition and Scope of 
Coverage
    1. Coverage of Heating-Only Heat Pumps
    2. Coverage of Computer Room Air Conditioners
    a. Background
    b. Legislative history and position of ASHRAE Standard Project 
Committee 90.1
    c. Functional differences between comfort cooling air 
conditioners and computer room air conditioners
    d. ASHRAE Standard 127-88
    e. October 1998 Workshop Discussion
    f. Conclusion
    3. Coverage of Equipment with a Variable-Speed Drive
C. Commercial Air Conditioner and Heat Pump Test Procedures for the 
Measurement of Energy Efficiency
    1. Test Procedures the Department Intends to Adopt
    2. Minimum External Static Pressure
    3. Test Procedure for Water-Source Heat Pumps

III. Procedural Requirements

A. Review Under the National Environmental Policy Act of 1969
B. Review Under Executive Order 12866, ``Regulatory Planning and 
Review''
C. Review Under the Regulatory Flexibility Act
D. Review Under Executive Order 13132, ``Federalism''
E. Review Under Executive Order 12630, ``Governmental Actions and 
Interference with Constitutionally Protected Property Rights''
F. Review Under the Paperwork Reduction Act
G. Review Under Executive Order 12988, ``Civil Justice Reform''
H. Review Under Section 32 of the Federal Energy Administration Act 
of 1974
I. Review Under Unfunded Mandates Reform Act of 1995
J. Review Under the Plain Language Directives
K. Review Under the Treasury and General Government Appropriations 
Act, 1999

IV. Public Comment

A. Written Comment Procedures
B. Public Workshop
    1. Procedures for submitting requests to speak

[[Page 48829]]

    2. Conduct of workshop
C. Issues on which Comments are Requested

I. Introduction

A. Authority

    Part B of Title III of the Energy Policy and Conservation Act 
(EPCA) of 1975, Pub. L. 94-163, as amended, by the National Energy 
Conservation Policy Act of 1978 (NECPA), Pub. L. 95-619, the National 
Appliance Energy Conservation Act of 1987 (NAECA), Pub. L. 100-12, the 
National Appliance Energy Conservation Amendments of 1988 (NAECA 1988), 
Pub. L. 100-357, and the Energy Policy Act of 1992 (EPACT), Pub. L. 
102-486, established the ``Energy Conservation Program for Consumer 
Products other than Automobiles.'' Part 3 of Title IV of NECPA amended 
EPCA to add ``Energy Efficiency of Industrial Equipment,'' which 
included air conditioning equipment and other types of commercial 
products.
    EPACT also amended EPCA with respect to commercial products. It 
provided definitions, test procedures, labeling provisions, energy 
conservation standards, and authority to require information and 
reports from manufacturers. See 42 U.S.C. 6311-6316. EPCA authorizes 
the Secretary of Energy to prescribe test procedures that are 
reasonably designed to produce results which reflect energy efficiency, 
energy use and estimated operating costs, and that are not unduly 
burdensome to conduct. 42 U.S.C. 6314.
    With respect to some commercial products for which EPCA prescribes 
energy conservation standards, including commercial air conditioners 
and heat pumps, ``the test procedures shall be those generally accepted 
industry testing procedures or rating procedures developed or 
recognized by the American Society of Heating, Refrigerating and Air 
Conditioning Engineers, as referenced in ASHRAE/IES Standard 90.1 and 
in effect on June 30, 1992.'' 42 U.S.C. 6314(a)(4)(A). Further, if such 
an industry testing or rating procedure gets amended, DOE must revise 
its test procedure to be consistent with the amendment, unless the 
Secretary determines, based on clear and convincing evidence, that to 
do so would not meet certain general requirements spelled out in the 
statute for test procedures. 42 U.S.C. 6314(a)(4)(B). Before 
prescribing any test procedures for commercial products, the Secretary 
must publish them in the Federal Register and afford interested persons 
at least 45 days to present data, views and arguments. 42 U.S.C. 
6314(b). Effective 360 days after a test procedure rule applicable to a 
covered commercial product, such as a commercial air conditioner and 
heat pump, is prescribed, no manufacturer, distributor, retailer or 
private labeler may make any representation in writing or in broadcast 
advertisement respecting the energy consumption or cost of energy 
consumed by such product, unless it has been tested in accordance with 
the prescribed procedure and such representation fairly discloses the 
results of the testing. 42 U.S.C. 6314(d). Finally, EPACT extends 
certain powers, originally granted to the Secretary under NAECA, to 
require manufacturers of products covered by this proposed rule to 
submit information and reports for a variety of purposes, including 
insuring compliance with requirements. See 42 U.S.C. 6316(a).

B. Background

1. General
    The Department of Energy has an energy conservation program for 
consumer products, and a few commercial products, conducted under Part 
B of Title III of EPCA, 42 U.S.C. 6291-6309. Under EPCA, this program 
essentially consists of four parts: Test procedures, Federal energy 
conservation standards, labeling, and certification and enforcement 
procedures. The Federal Trade Commission (FTC) is responsible for 
labeling, and we implement the remainder of the program as codified in 
Title 10 of the Code of Federal Regulations, Part 430--Energy 
Conservation Program for Consumer Products.
    Since 10 CFR Part 430 covers primarily consumer products, which 
differ from commercial and industrial products, we created a new Part 
431 (10 CFR Part 431) in the Code of Federal Regulations, entitled 
``Energy Conservation Program for Commercial and Industrial 
Equipment,'' to implement DOE's program for most commercial and 
industrial products covered under EPCA. These will include commercial 
heating, air conditioning and water heating products. This new program 
will consist of: Test procedures, Federal energy conservation 
standards, labeling, and certification and enforcement procedures. EPCA 
directs DOE, rather than the FTC, to administer the statute's 
efficiency labeling provisions for these commercial products.
    On April 14 and 15, 1998, we convened a public workshop to solicit 
views and information from interested parties that would aid in the 
development of rules for commercial heating, air conditioning and water 
heating products. We requested comment on a number of specific issues, 
including issues related to test procedures for commercial products, as 
well as the most cost effective and reliable regimes for sampling, 
certification and enforcement. Statements during the public workshop 
and written comments that were received afterwards helped refine the 
issues involved in this rulemaking and provided useful information 
contributing to their resolution. We convened a second public workshop 
on October 18, 1998, to obtain comments on the issues as they had been 
refined, and on approaches presented by the National Institute of 
Standards and Technology (NIST) for resolving them.
2. Issues Concerning Commercial Air Conditioners and Heat Pumps
    During the April 1998 workshop, we sought comments on the following 
issue regarding test procedures for commercial air conditioners and 
heat pumps:
    (1) Does the current test procedure for commercial air conditioners 
and heat pumps adequately specify the external static pressures?
    Attendees at the April 1998 workshop provided comments and input on 
this issue. Section II, Discussion, will cover it in more detail. The 
workshop participants also raised the following additional major issues 
(which are numbered continuously with the first issue):
    (2) Are heating-only heat pumps covered products?
    (3) Are computer room air conditioners covered products?
    (4) What should be the test procedures for water-source heat pumps?
    After the April 1998 workshop, we worked towards addressing the 
identified issues for commercial air conditioners and heat pumps. A set 
of recommendations resulted from that work, and NIST developed a 
summary report of the recommendations. The summary report formed the 
basis for discussions during the October 1998 workshop, which enabled 
us to elicit further views and information from interested parties. The 
summary report included draft rule language for commercial air 
conditioners and heat pumps. We received additional comments at the 
second workshop. The following additional issue, raised in a letter to 
the Department after the October 1998 workshop, is also numbered 
continuously with the prior issues:

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    (5) What should be the test procedures for equipment with variable-
speed drives?

C. The Proposed Rule

    Today's proposed rule incorporates (1) energy efficiency test 
procedures for commercial air conditioners and heat pumps, (2) 
definitions that clarify EPCA's coverage of these products, and (3) 
energy conservation standards prescribed by EPCA. In preparing these 
proposals, we have considered both oral and written comments, and have 
incorporated recommendations where appropriate. Section II contains the 
reasons for incorporating or not incorporating any significant 
recommendations.

II. Discussion

A. General

    This section discusses the issues identified for commercial air 
conditioners and heat pumps. Subsection II-B addresses ``Commercial Air 
Conditioner and Heat Pump Definitions and Scope of Coverage,'' and 
subsection II-C addresses ``Commercial Air Conditioner and Heat Pump 
Test Procedures for the Measurement of Energy Efficiency.''

B. Commercial Air Conditioner and Heat Pump Definitions and Scope of 
Coverage

1. Coverage of Heating-Only Heat Pumps
    During the April 1998 workshop the California Energy Commission 
(CEC) asked the Department to clarify whether heating-only heat pumps 
were covered by EPCA. During the October 1998 workshop, NIST 
recommended that we should not include heating-only heat pumps among 
the covered equipment. All workshop attendees who spoke on this issue 
supported this opinion.
    All of the definitions in EPCA indicate that commercial air 
conditioners and heat pumps covered by EPCA must have a cooling 
function. Large and small ``package air-conditioning and heating 
equipment'' are limited to ``unitary central air conditioners and 
central air-conditioning heat pumps,'' and EPCA categorizes all of them 
by cooling capacity. (42 U.S.C. 6311(8)-(9)). Also, EPCA defines 
``package terminal heat pump'' as a package terminal air conditioner 
that utilizes a reverse cycle as the prime method of providing heat. 
(42 U.S.C. 6311(10)). Furthermore, the equation for the minimum 
coefficient of performance for the package terminal heat pump involves 
the energy efficiency ratio for cooling. (42 U.S.C. 6313(a)(3)(B)).
    We further believe that to construe EPCA as excluding heating-only 
heat pumps from coverage would have no significant impact on national 
energy consumption. According to information provided by 
representatives of major Heating, Ventilating and Air Conditioning 
(HVAC) manufacturers and ARI during the April 1998 and October 1998 
workshops, although a small number of heating-only heat pumps, mostly 
hydronic systems, are marketed in Europe, none are now available, or 
expected to be available any time soon in the United States.
    Accordingly, today's proposed rule excludes heating-only heat 
pumps.
2. Coverage of Computer Room Air Conditioners
    a. Background: At the April 1998 workshop, the CEC asked for 
clarification of whether computer room air conditioners are covered 
equipment under EPCA, or whether they are exempt from efficiency 
standards.
    In subsequent written comments, CEC contends that EPCA indeed 
covers computer room air conditioners. CEC maintains that nothing in 
the EPACT language suggests that equipment currently marketed as 
computer room air-conditioning equipment can be excluded from the scope 
of the statute. CEC also maintains that we can not exclude this 
equipment on the basis of either terminology used by those who market 
it or the primary market into which the equipment is sold.
    CEC has administered a certification program for all air-
conditioners, including computer room air conditioners, since 1977. For 
nearly a decade after the program started, manufacturers certified 
computer room air conditioners to CEC using the same test method as 
used for conventional central air-conditioning equipment. Manufacturers 
had to test this product on the basis of ARI Standard 210/240, which is 
referenced by ASHRAE Standard 90.1. Subsequently, CEC allowed 
manufacturers to certify it on the basis of ANSI/ASHRAE Standard 127, 
``Method of Testing for Rating Computer and Data Processing Room 
Unitary Air-Conditioners.'' CEC tested a few computer room air 
conditioners according to both these standards and stipulated the 
minimum EER levels that would need to be met if equipment is tested 
using ASHRAE Standard 127-88. CEC selected the minimum EER levels for 
ASHRAE Standard 127-88 testing, such that they represent equivalent 
energy efficiency to the efficiency levels required under the ARI 
standard. In April 1998, CEC had 637 certified computer room air 
conditioners on file.
    b. Legislative history and position of ASHRAE Standard Project 
Committee 90.1: The Report that accompanied the House of 
Representatives version of EPACT (House Report) states that the law 
``amends the existing law [EPCA] to set minimum energy efficiency 
standards for electric air-conditioning, electric heating, and gas 
heating equipment * * * intended for use in commercial buildings.'' 
H.R. Rep. No. 474, 102d Cong. 2d Sess., pt. 1, at 175 (1992). Thus, it 
appears that the statute is not concerned, for example, with energy 
used in industrial processes.
    The House Report also points out that the efficiency standards 
specified in the bill ``were developed by * * * [ASHRAE] in ASHRAE 
Standard 90.1.'' This indicates that the efficiency standards in EPACT 
for commercial products have the same scope as the standards in ASHRAE 
90.1. ASHRAE Standard 90.1-1989 neither discussed computer room air 
conditioners nor referred to ASHRAE Standard 127-88. However, the 
ASHRAE Standard 90.1 committee has discussed the coverage of computer 
room air conditioners during past meetings, including a September 1998 
interim meeting. The committee decided that Standard 90.1 does not 
cover computer room air conditioners since the primary function of 
computer room air conditioners is to provide cooling for equipment 
(i.e., computers) rather than for human comfort. This determination is 
consistent with the Title, Purpose, and Scope of the Standard, which 
was revised in 1997 to state that the Standard does not apply to 
``equipment and portions of building systems that use energy primarily 
to provide for industrial, manufacturing or commercial processes.''
    In sum, the House Report, the direct reliance of the EPACT 
legislation on ASHRAE Standard 90.1, the scope of the Standard, and the 
position of the Standard 90.1 committee regarding computer room air 
conditioners, all support the conclusion that computer room air 
conditioners are not covered by EPACT.
    c. Functional differences between comfort cooling air conditioners 
and computer room air conditioners: While the basic design and many of 
the vital components of computer room air conditioners are the same as 
those of conventional air conditioners, there are certain important 
feature differences. The most common temperature setting for computer 
room air conditioners is 72 deg.F and the most common relative humidity 
setting is 50%. In addition to producing the desired cooling effect,

[[Page 48831]]

computer room air conditioners may humidify or dehumidify the air and 
then, if necessary, reheat it. Computer room air conditioners achieve 
dehumidification by cooling the air even under conditions when the 
temperature alone does not warrant it. This may push the space 
temperature below the set point, and thus may require correction by 
reheating the air. The coils are usually larger, and so is the air flow 
rate, typically 425-500 cfm/ton as compared to 400 cfm/ton for 
conventional air conditioners. These features differentiating computer 
room air conditioners from conventional air conditioners are also 
reflected in ASHRAE Standard 127-88, discussed below, which was 
developed for testing computer room air conditioners.
    d. ASHRAE Standard 127-88: ASHRAE developed ASHRAE Standard 127-88, 
``Method of Testing for Rating Computer and Data Processing Room 
Unitary Air-Conditioners.'' The American National Standard Institute 
(ANSI) approved ASHRAE Standard 127-88, which indicates recognition of 
the national consensus reached during development of the Standard.
    ASHRAE Standard 127-88 is not referenced by ASHRAE Standard 90.1. 
Several differences exist between ASHRAE Standard 127-88 and the ARI 
test procedure standards for commercial air-conditioning and heating 
equipment that are referenced by ASHRAE Standard 90.1. The following, 
for example, is a list of differences between ASHRAE Standard 127-88 
and ARI Standard 210/240-1994:
    i. ASHRAE Standard 127-88 specifies standard rating conditions for 
the cooling system, the reheating system, and the humidification 
system. ARI Standard 210/240 does not specify conditions for reheating 
and humidification rating. Therefore, the ARI standard can not 
accommodate testing for all the functions that computer room air 
conditioners may provide.
    ii. ASHRAE Standard 127-88 specifies an indoor air temperature of 
72 deg.F dry bulb and a wet bulb temperature of 60 deg.F . ARI Standard 
210/240-94 specifies an 80 deg.F dry bulb temperature and a wet bulb 
temperature of 67 deg.F. Since the typical operating indoor temperature 
for computer room air conditioners is set at 72 deg.F, mandating the 
ARI test method with 80 deg.F indoor air temperature would most likely 
result in computer room air conditioners being optimized at the 
80 deg.F indoor temperature. A system optimized at 80 deg.F will not 
perform optimally at the 72 deg.F indoor temperature, leading to wasted 
energy if computer room air conditioners are tested under ARI Standard 
210/240.
    iii. ASHRAE Standard 127-88 does not impose restrictions on the 
indoor-side air quantity. ARI Standard 210/240 limits the indoor-side 
air quantity to 37.5 scfm per 1000 Btu/h. The limit on the indoor-side 
air quantity limits to some degree the sensible heat ratio (the ratio 
of the sensible capacity to the total capacity), minimizes the 
possibility of condensate carry over from the evaporator coil, and 
prevents noise generation in the duct system. It appears that the 
sensible heat ratio, condensate carry over, and duct noise issues are 
not as significant for computer room air conditioners as for 
conventional air conditioners.
    iv. ASHRAE Standard 127-88 prescribes two different levels of 
external resistance for the total delivered air for systems that are 
intended for use with field-installed ducts. These two levels are 0.3 
in. of water external pressure for air conditioners with standard 
cooling capacity less than 60,000 Btu/h, and 0.5 in. of water for 
systems with capacities equal to and above 60,000 Btu/h. ARI Standard 
210/240-94 prescribes five different values of the minimum external 
pressure, one for each of five specified cooling capacities up to 
135,000 Btu/h (ARI Standard 210/240-94, Table 6). Consequently, 
different external static pressures are used during tests in the two 
methods. For example, for a cooling capacity of 70,000 Btu/h, the ARI 
standard prescribes a minimum external resistance of 0.2[0] in. of 
water, while the ASHRAE standard stipulates 0.5 in. of water. It 
appears that computer room air conditioners may experience a higher 
external static pressure in a typical installation than conventional 
air conditioners, and that the ASHRAE standard reflects this 
difference.
    Similar differences also exist between ASHRAE Standard 127-88 and 
ARI standards 340/360 and 320-93. The last three differences lead to 
different energy efficiency ratios (EER) when using ASHRAE Standard 
127-88 and the ARI standards. The difference in the specified indoor 
dry bulb temperature (72 deg.F vs. 80 deg.F) has the dominating effect, 
which results in EERs from the ASHRAE Standard 127-88 test having lower 
values than those obtained from tests according to the ARI test 
procedures.
    Because of being referenced in ASHRAE Standard 90.1, the foregoing 
ARI standards are the EPCA test procedures for testing commercial air-
conditioning equipment. But as just discussed, these standards are not 
best suited for testing and rating computer room air conditioners. On 
the other hand, the consensus standard for performing such testing and 
rating, ASHRAE Standard 127-88, is not referenced in Standard 90.1 and, 
therefore, is not prescribed by EPCA. The omission from EPCA of a test 
procedure for computer room air conditioners provides further support 
for the conclusion that this product is not covered by the statute.
    e. October 1998 Workshop Discussion: The workshop participants also 
discussed the coverage of computer room air conditioners. Except for 
the CEC, all the participants took the position that computer room air 
conditioners is not a covered product under EPCA.
    f. Conclusion: Based on the above considerations, our view is that 
computer room air conditioners are not currently covered by EPCA within 
the definition of commercial package air-conditioning and heating 
equipment (section 343(8)-(9) of EPCA, 42 U.S.C. 6311(8)-(9)). If some 
of the above circumstances were to change, however--if, for example, 
ASHRAE Standard 90.1 were to incorporate efficiency standards and test 
procedures for this product or the product was to become widely used 
for conventional air conditioning applications--the Department might 
re-visit this issue.
3. Coverage of Equipment with a Variable-Speed Drive
    We received a written comment after the October 1998 workshop from 
Laclede Gas Company, which requested that a minimum energy efficiency 
standard be formulated for variable speed cooling equipment. The 
comment contended that the significant market penetration of this type 
of equipment mandates minimum energy efficiency standards. We believe 
the intent of the comment is to request establishment of efficiency 
standards and performance descriptors that would address part load 
performance of commercial equipment.
    Sections 342(a)(1), (2), and (3) of EPCA set forth efficiency 
standards and performance descriptors for cooling equipment. U.S.C. 
6313(a)(1), (2), and (3). Pursuant to these sections, only small 
commercial, air-cooled package air-conditioning equipment having 
cooling capacity less than 65 ,000 Btu/h have to meet a prescribed 
minimum Seasonal Energy Efficiency Ratio (SEER) which accounts for part 
load performance. For those systems that also have a heating function 
(i.e., heat pumps), a minimum Heating Seasonal Performance Factor 
(HSPF) is prescribed. For all other equipment, EPCA only mandates 
efficiency

[[Page 48832]]

descriptors that involve a steady-state operation and does not refer to 
any descriptors based on part load performance.
    With regard to efficiency standards, the purpose of this proposed 
rule is to incorporate the requirements currently imposed by EPCA. 
Today's proposal, therefore, incorporates standards for part load 
performance only in these instances where EPCA prescribes such 
standards. To the extent that EPCA does not prescribe efficiency 
standards for the part load performance of a product, it is beyond the 
scope of this rulemaking to do so.

C. Commercial Air Conditioner and Heat Pump Test Procedures for the 
Measurement of Energy Efficiency

    EPCA requires that the testing procedures for measuring the 
efficiency of commercial air conditioners and heat pumps must be those 
generally accepted industry testing procedures or rating procedures 
that were developed or are recognized by the American Society of 
Heating, Refrigerating and Air Conditioning Engineers, Inc., as 
referenced in ASHRAE/IES Standard 90.1 and that were in effect on June 
30, 1992. Also, if such an industry test procedure or rating procedure 
for commercial air conditioner or heat pump is amended, the Secretary 
must adopt such revisions unless the Secretary determines that to do so 
would not produce test results which reflect energy efficiency, energy 
use, and estimated operating costs, or that the procedures would be 
unduly burdensome to conduct.
1. Test Procedures the Department Intends to Adopt
    ASHRAE Standard 90.1-1989 was in effect on June 30, 1992, and 
referenced four industry test standards that apply to commercial air 
conditioners and heat pumps. Three of these industry standards were 
published by the Air-Conditioning and Refrigeration Institute (ARI) and 
the fourth was jointly published by the ARI and the Canadian Standards 
Association (CSA). The current versions of the four standards are as 
follows:
     ARI Standard 210/240-94, ``Unitary Air-Conditioning and 
Air-Source Heat Pump Equipment;''
     ARI Standard 340/360-93, ``Commercial and Industrial 
Unitary Air-Conditioning and Heat Pump Equipment;''
     ARI Standard 320-98, ``Water-Source Heat Pumps;'' and
     ARI Standard 310/380-93 (which also has a CSA designation 
CSA-C744-93), ``Standard for Package Terminal Air-Conditioners and Heat 
Pumps.''
    These current versions of the four standards require the same test 
methods and calculation procedures as do the versions that were 
referenced by ASHRAE Standard 90.1-1989. These new versions of the ARI 
standards have better availability than the older standards and are 
referenced for convenience of the parties affected by the rule.
    Today's proposed rule reflects our intent to adopt the amended ARI 
standards, in accordance with section 343(a)(4)(B) of EPCA, 42 U.S.C. 
6314(a)(4)(B). The Department does not intend to determine that any of 
these amendments to the ARI standards contains a test procedure that is 
either unduly burdensome to conduct or not reasonably designed to 
reflect the energy efficiency of commercial air conditioners and heat 
pumps.
2. Minimum External Static Pressure
    ARI Standard 210/240-94, ARI Standard 340/360-93 and ARI Standard 
320-93 specify the minimum external static pressures to test commercial 
air-conditioning and heating equipment with indoor fans and field-
installed ducts. The standards prescribe the minimum pressures in a 
table which lists the levels of external resistance by system capacity 
(appearing in Table 6 in ARI Standard 210/240-94, Table 2B in ARI 
Standard 340/360, and Table 2 in ARI Standard 320-93.) The standards 
prescribe larger values of minimum external resistance for larger-
capacity systems based on the assumption that larger systems would be 
connected to longer duct systems with more bends and obstructions. 
Before the April 1998 workshop, we had the concern that external 
pressures specified by the ARI standards would be lower than values 
that one generally encounters in commercial buildings. This could lead 
to a potentially overstated efficiency rating. Consequently, we raised 
this issue for discussion at the April 1998 workshop.
    None of the participants at the April 1998 workshop shared our 
concern regarding the minimum external static pressure specified in the 
ARI standards, and several participants spoke in support of not 
changing the current test requirements. They observed that: (1) Actual 
static pressure varied among building sites, so any single 
specification could not be fully representative; (2) the present test 
procedures--ARI Standard 210/240-94, ARI Standard 340/360-93 and ARI 
Standard 320-98--provide consistency for purposes of comparing 
equipment; (3) the differences in static pressure would primarily 
affect the energy consumption of the indoor air circulating fan, which 
represents a very small fraction of the total energy consumed by the 
unit, so the effect of changing the pressure specification on the 
energy efficiency would be minimal; and (4) because an increase in the 
pressure specification, above the levels in the ARI test procedures, 
would likely result in some reduction in rated efficiencies, if the DOE 
test procedures were to contain such an increase manufacturers would 
have to re-test and re-rate their products, and incur testing and 
marketing costs as a consequence.
    Section 343(a) of EPCA, 42 U.S.C. 6314(a), provides in essence that 
the test procedures under EPCA for measuring the efficiency of 
commercial air conditioners and heat pumps shall be industry test 
procedures developed or recognized by ARI or ASHRAE, and that DOE has 
limited authority to adopt other test procedures for these products. 
Indeed, it can be argued that because the external static pressures in 
the ARI standards have not changed since June 1992, DOE has virtually 
no power to change them. See EPCA Section 343 (a)(4)(B)-(C), 42 U.S.C. 
6314(a)(4)(B)-(C).
    In view of the above, we have decided not to propose any changes in 
the minimum static pressures. We believe that if we were developing 
from scratch a test procedure for commercial air-conditioning and 
heating equipment, inclusion of static pressures higher than those in 
the existing test procedures might well be warranted. But the reasons 
for retaining the pressure specifications in the existing test 
procedures have considerable merit, and to some extent offset any 
benefits of making a change at this point. Our limited authority to 
alter the existing test procedures provides a further reason not to 
make such a change at this point.
3. Test Procedure for Water-Source Heat Pumps
    In ASHRAE Standard 90.1-1999, ASHRAE amended Standard 90.1's 
provisions for water source heat pumps by both changing the level of 
the applicable efficiency standards and changing the referenced test 
procedure from ARI Standard 320, ``Water-Source Heat Pumps,'' to the 
International Standards Organization (ISO) Standard 13256-1, ``Water-
Source Heat Pumps--Testing and Rating for Performance--Part 1: Water-
to-Air and Brine-to-Air Heat Pumps.'' Under the amendments, the new 
efficiency levels will go into effect on October 29, 2001, and ISO

[[Page 48833]]

Standard 13256-1 will be used to measure compliance with those levels. 
Prior to that time, ARI Standard 320 will remain in force under 
Standard 90.1 to measure compliance with existing efficiency levels for 
water source heat pumps. Recently, the Department has become aware that 
ARI has changed its certification program for water-source heat pumps 
to reference ISO Standard 13256-1 as the test procedure used in its 
program.
    As discussed above, we intend to prescribe ARI Standard 320-98 as 
the DOE test procedure for water-source heat pumps, in the final rule 
in this proceeding. This is the test procedure that is currently in 
place under ASHRAE Standard 90.1. We also intend to address DOE 
adoption of the ISO test procedure, to replace ARI 320-98, in a 
subsequent proceeding.
    Nevertheless, in light of ASHRAE's adoption in Standard 90.1-1999 
of ISO Standard 13256-1, as well as ARI's actions, we are also 
considering adoption in the final rule in this proceeding of ISO 
Standard 13256-1, instead of ASHRAE Standard 320, as the DOE test 
procedure for water source heat pumps. We would like to receive comment 
on that issue. In particular, we would like to receive results of 
testing the same products using the two test procedures, to compare 
efficiency differences of the two test procedures. We will decide 
whether to adopt ISO Standard 13256-1 in the final rule as the DOE test 
procedure for water-source heat pumps after reviewing this data, and 
after addressing any technical, legal and procedural issues and 
concerns about its immediate adoption.

III. Procedural Requirements

A. Review Under the National Environmental Policy Act of 1969

    EPCA prescribes energy efficiency standards and test procedures for 
commercial products, and in today's rule, we propose to implement these 
requirements for commercial air conditioners and heat pumps. We have 
reviewed the proposed rule under the National Environmental Policy Act 
of 1969 (NEPA), 42 U.S.C. 4321 et seq., the regulations of the Council 
on Environmental Quality, 40 CFR parts 1500-1508, our regulations for 
compliance with NEPA, 10 CFR Part 1021, and the Secretarial Policy on 
the National Environmental Policy Act (June 1994). Implementation of 
the proposed rule would not result in environmental impacts. We have 
therefore determined that the proposed rule is covered under the 
Categorical Exclusion found at paragraph A6 of appendix A to subpart D 
of the Department's Regulations, which applies to rulemakings that are 
strictly procedural. Accordingly, neither an environmental assessment 
nor an environmental impact statement is required.

B. Review Under Executive Order 12866, ``Regulatory Planning and 
Review''

    Today's proposed rule has been determined not to be a ``significant 
regulatory action,'' as defined in section 3(f) of Executive Order 
12866, ``Regulatory Planning and Review.'' 58 FR 51735 (October 4, 
1993). Accordingly, this action was not subject to review under the 
Executive Order by the Office of Information and Regulatory Affairs.

C. Review Under the Regulatory Flexibility Act

    The Regulatory Flexibility Act of 1980, 5 U.S.C. 603, requires the 
preparation of an initial regulatory flexibility analysis for every 
rule which, by law, the agency must propose for public comment, unless 
the agency certifies that the rule, if promulgated, will not have a 
significant economic impact on a substantial number of small entities. 
A regulatory flexibility analysis examines the impact of the rule on 
small entities and considers alternative ways of reducing negative 
impacts.
    The Small Business Administration considers an entity to be a small 
business if, together with its affiliates, it employs fewer than a 
threshold number of workers specified in 13 CFR Part 121. The threshold 
number for SIC classification 3585, which includes air conditioners and 
heat pumps, is 750. We estimate that approximately 31 firms manufacture 
covered commercial air conditioners and heat pumps, and of these, 14 
are considered small businesses.
    EPCA establishes efficiency standards for covered commercial 
equipment and requires us to prescribe test procedures that are 
accepted by industry and referenced in ASHRAE Standard 90.1. As EPCA 
specifies the standards and test procedures incorporated in today's 
proposed rule, any costs of complying with them are imposed by EPCA and 
not the rule. Moreover, today's proposed rule simply codifies testing 
procedures that are already generally employed by manufacturers, both 
large and small.
    The cost of meeting the requirements of today's proposed rule will 
depend on the number of basic models a manufacturer produces and the 
number of these models that do not comply with the efficiency standards 
imposed by EPCA and would consequently need to be redesigned or removed 
from the market. Since the efficiency standards have been in force by 
statute since 1994, we expect that a negligible number of products 
presently manufactured would need to be redesigned or discontinued. The 
cost of performing the proposed test procedures depends on unit size, 
but could amount to several thousands of dollars per basic model. To 
the extent that manufacturers must already test their products for 
efficiency to assure that they meet the existing statutory efficiency 
standards, or for any other reason, they will not incur new costs in 
complying with today's proposed rule. We believe that any significant 
economic impact will fall only on those firms which do not now 
routinely test their products. We further believe that testing is a 
widely accepted practice, and that companies that do not test are rare 
and do not represent a substantial number of small entities.
    We have no discretion to apply different requirements to small 
manufacturers. EPCA mandates uniform standards and test procedures for 
commercial products. In this regard, it is noteworthy that although 
EPCA contains a ``small manufacturer exemption'' for consumer products 
(42 U.S.C. 6295 (t)), it includes no such exemption for commercial and 
industrial products.
    Based on the above, DOE certifies that the proposed rule would not 
impose a significant impact on a substantial number of small 
businesses.

D. Review Under Executive Order 13132, ``Federalism''

    Executive Order 13132 (64 FR 43255, August 4, 1999) imposes certain 
requirements on agencies formulating and implementing policies or 
regulations that preempt State law or that have federalism 
implications. Agencies are required to examine the constitutional and 
statutory authority supporting any action that would limit the 
policymaking discretion of the States and carefully assess the 
necessity for such actions. The proposed rule published today would not 
regulate the States. The proposed rule would primarily codify energy 
efficiency standards and test procedures already established in EPCA 
for commercial air conditioners and heat pumps. We have determined that 
today's proposed rule would not have a substantial direct effect on the 
States, on the relationship between the national government and the 
States, or on the distribution of power and responsibilities among the 
various levels of government. No further action is required by 
Executive Order 13132.

[[Page 48834]]

E. Review Under Executive Order 12630, ``Governmental Actions and 
Interference with Constitutionally Protected Property Rights''

    We have determined under Executive Order 12630, ``Governmental 
Actions and Interference with Constitutionally Protected Property 
Rights,'' 52 FR 8859 (March 18, 1988), that this proposed regulation 
would not result in any takings which might require compensation under 
the Fifth Amendment to the United States Constitution.

F. Review Under the Paperwork Reduction Act

    No new collection of information is imposed by this proposed rule. 
Accordingly, no clearance by the Office of Management and Budget is 
required under the Paperwork Reduction Act (44 U.S.C. 3501 et seq.).

G. Review Under Executive Order 12988, ``Civil Justice Reform''

    With respect to the review of existing regulations and the 
promulgation of new regulations, Section 3(a) of Executive Order 12988, 
``Civil Justice Reform,'' 61 FR 4729 (February 7, 1996), imposes on 
executive agencies the general duty to adhere to the following 
requirements: (1) Eliminate drafting errors and ambiguity; (2) write 
regulations to minimize litigation; and (3) provide a clear legal 
standard for affected conduct rather than a general standard and 
promote simplification and burden reduction. With regard to the review 
required by Section 3(a), Section 3(b) of the Executive Order 
specifically requires that Executive agencies make every reasonable 
effort to ensure that the regulation: (1) Clearly specifies the 
preemptive effect, if any; (2) clearly specifies any effect on existing 
Federal law or regulation; (3) provide a clear legal standard for 
affected conduct while promoting simplification and burden reduction; 
(4) specifies the retroactive effect, if any; (5) adequately defines 
key terms; and (6) addresses other important issues affecting clarity 
and general draftsmanship under any guidelines issued by the Attorney 
General. Section 3(c) of the Executive Order requires agencies to 
review regulations in light of applicable standards Section 3(a) and 
Section 3(b) to determine whether they are met or it is unreasonable to 
meet one or more of them.
    We reviewed today's proposed rule under the standards of Section 3 
of the Executive Order and determined that, to the extent permitted by 
law, it meets the requirements of those standards.

H. Review Under Section 32 of the Federal Energy Administration Act of 
1974

    Under section 301 of the Department of Energy Organization Act 
(Pub. L. 95-91), we must comply with section 32 of the Federal Energy 
Administration Act of 1974, as amended by the Federal Energy 
Administration Authorization Act of 1977. 15 U.S.C. 788. Section 32 
provides in part that, where a proposed rule contains or involves use 
of commercial standards, the notice of proposed rulemaking must inform 
the public of the use and background of such standards.
    The rule proposed in this notice incorporates certain commercial 
standards which EPCA requires to be used. These include testing 
standards referenced by ASHRAE Standard 90.1-1989 for the measurement 
of steady state thermal efficiency of commercial air conditioners and 
heat pumps. Because we have very limited discretion to depart from the 
standards referenced in ASHRAE/IES 90.1, Section 32 of the FEAA does 
not apply to them.

I. Review Under Unfunded Mandates Reform Act of 1995

    Section 202 of the Unfunded Mandates Reform Act of 1995 (``Unfunded 
Mandates Act'') requires that we prepare an impact assessment before 
promulgating a rule that includes a Federal mandate that may result in 
expenditure by state, local, and tribal governments, in the aggregate, 
or by the private sector, of $100 million or more in any one year. The 
impact assessment must include: (i) Identification of the Federal law 
under which the rule is promulgated; (ii) a qualitative and 
quantitative assessment of anticipated costs and benefits of the 
Federal mandate and an analysis of the extent to which such costs to 
state, local, and tribal governments may be paid with Federal financial 
assistance; (iii) if feasible, estimates of the future compliance costs 
and of any disproportionate budgetary effects the mandate has on 
particular regions, communities, non-Federal units of government, or 
sectors of the economy; (iv) if feasible, estimates of the effect on 
the national economy; and (v) a description of our prior consultation 
with elected representatives of state, local, and tribal governments 
and a summary and evaluation of the comments and concerns presented.
    We have determined that the action proposed today does not include 
a Federal mandate that may result in estimated costs of $100 million or 
more to state, local or to tribal governments in the aggregate or to 
the private sector. Therefore, the requirements of Sections 203 and 204 
of the Unfunded Mandates Act do not apply to this action.

J. Review Under the Plain Language Directives

    The President's Memorandum on ``Plain Language in Government 
Writing,'' 63 FR 31885 (June 10, 1998) directs each Federal agency to 
write all published rulemaking documents in plain language. The 
Memorandum includes general guidance on what constitutes ``plain 
language.'' Plain language requirements will vary from one document to 
another, depending on the intended audience, but all plain language 
documents should be logically organized and clearly written.
    We have tried to make this proposed rule easy to understand. We are 
also requesting suggestions on how to improve its readability further.

K. Review Under the Treasury and General Government Appropriations Act, 
1999

    Section 654 of the Treasury and General Government Appropriations 
Act, 1999 (Pub. L. No. 105-277) requires federal agencies to issue a 
Family Policymaking Assessment for any proposed rule or policy that may 
affect family well-being. Today's proposal would not have any impact on 
the autonomy or the integrity of the family as an institution. 
Accordingly, DOE has concluded that it is not necessary to prepare a 
Family Policymaking Assessment.

IV. Public Comment

A. Written Comment Procedures

    We invite interested persons to participate in the proposed 
rulemaking by submitting data, comments, or information with respect to 
the issues set forth in today's rule to Ms. Brenda Edward-Jones, at the 
address indicated at the beginning of the notice. We will consider all 
submittals received by the date specified at the beginning of this 
notice in developing the final rule.
    According to 10 CFR 1004.11, any person submitting information 
which he or she believes to be confidential and exempt by law from 
public disclosure should submit one complete copy of the document and 
ten (10) copies, if possible, from which the information believed to be 
confidential has been deleted. We will make our own determination with 
regard to the confidential status of the information and treat it 
according to our determination.
    Factors of interest to us, when evaluating requests to treat as

[[Page 48835]]

confidential information that has been submitted, include:
    (1) A description of the items;
    (2) An indication as to 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) An indication as to 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.

B. Public Workshop

1. Procedures for Submitting Requests to Speak
    You will find the time and place of the public workshop listed at 
the beginning of this notice of proposed rulemaking. We invite any 
person who has an interest in today's notice of proposed rulemaking, or 
who is a representative of a group or class of persons that has an 
interest in these proposed issues, to make a request for an opportunity 
to make an oral presentation. If you would like to attend the public 
workshop, please notify Ms. Brenda Edwards-Jones at (202) 586-2945. You 
may hand deliver requests to speak to the address indicated at the 
beginning of this notice between the hours of 8:00 a.m. and 4:00 p.m., 
Monday through Friday, except Federal holidays, or send them by mail.
    The person making the request should state why he or she, either 
individually or as a representative of a group or class of persons, is 
an appropriate spokesperson, briefly describe the nature of the 
interest in the rulemaking, and provide a telephone number for contact. 
We request each person selected to be heard to submit an advance copy 
of his or her statement at least two weeks prior to the date of this 
workshop as indicated at the beginning of this notice. At our 
discretion, we may permit any person who cannot do this to participate 
if that person has made alternative arrangements with the Office of 
Building Research and Standards in advance. The request to give an oral 
presentation should ask for such alternative arrangements.
2. Conduct of Workshop
    The Department will designate a Department official to preside at 
the workshop and we may also use a professional facilitator to 
facilitate discussion. The workshop will not be a judicial or 
evidentiary-type hearing, but the Department will conduct it in 
accordance with 5 U.S.C. 553 and Section 336 of the Act and a court 
reporter will be present to record the transcript of the workshop. We 
reserve the right to schedule the presentations by workshop 
participants, and to establish the procedures governing the conduct of 
the workshop.
    The Department will permit each participant to make a prepared 
general statement, limited to five (5) minutes, prior to the discussion 
of specific topics. The general statement should not address these 
specific topics, but may cover any other issues pertinent to this 
rulemaking. The Department will permit other participants to briefly 
comment on any general statements. We will divide the remainder of the 
hearing into segments, with each segment consisting of one or more of 
the following specific topics covered by this notice:
Commercial Air Conditioner and Heat Pump Definition and Scope of 
Coverage
     Coverage of Heating-Only Heat Pumps
     Coverage of Computer Room Air Conditioners
     Coverage of Equipment with a Variable-Speed Drive
Commercial Air Conditioner and Heat Pump Test Procedures for the 
Measurement of Energy Efficiency
     Test Procedures the Department Intends to Adopt
     Minimum External Static Pressure
     Test Procedure for Water-Source Heat Pumps
     Other Test Procedure Topics
    The Department will introduce each topic with a brief summary of 
the relevant provisions of the proposed rule, and the significant 
issues involved. We will then permit participants in the hearing to 
make a prepared statement limited to five (5) minutes on that topic. At 
the end of all prepared statements on a topic, the Department will 
permit each participant to briefly clarify his or her statement and 
comment on statements made by others. Participants should be prepared 
to answer questions by us and by other participants concerning these 
issues. Our representatives may also ask questions of participants 
concerning other matters relevant to the hearing. The total cumulative 
amount of time allowed for each participant to make prepared statements 
will be 20 minutes.
    The official conducting the hearing will accept additional comments 
or questions from those attending, as time permits. The presiding 
official will announce any further procedural rules, or modification of 
the above procedures, needed for the proper conduct of the hearing.
    We will make the entire record of this rulemaking, including the 
transcript, available for inspection in the Department's Freedom of 
Information Reading Room. Any person may purchase a copy of the 
transcript from the transcribing reporter.

C. Issues on Which Comments Are Requested

    We are interested in receiving comments and/or data concerning the 
feasibility, workability and appropriateness of the test procedures 
proposed in today's rulemaking. Also, we welcome discussion on 
improvements or alternatives to the proposed approaches. We also invite 
comments on how to make this proposed rule easier to understand. For 
example:
     Are the requirements in the rule clearly stated?
     Have we organized the material to suit your needs, or 
would a different organization be better?
     Can we improve the rule's format?

List of Subjects in 10 CFR Part 431

    Administrative practice and procedure, Commercial products, Energy 
conservation, Incorporation by reference.

    Issued in Washington, DC, on June 9, 2000.
Dan W. Reicher,
Assistant Secretary, Energy Efficiency and Renewable Energy.
    For the reasons set forth in the preamble, Title 10, Part 431 of 
the Code of Federal Regulations is proposed to be amended as set forth 
below:

PART 431--ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND 
INDUSTRIAL EQUIPMENT

    1. The authority citation for Part 431 continues to read as 
follows:

    Authority: 42 U.S.C. 6311-6316.

    2. Subpart J is added to read as follows:
Subpart J--Commercial Air Conditioners and Heat Pumps
Sec.
431.251   Purpose and scope.
431.252   Definitions for commercial air conditioners and heat 
pumps.

Test Procedures

431.261   Materials incorporated by reference.
431.262   Uniform test method for the measurement of energy 
efficiency of

[[Page 48836]]

small and large commercial package air conditioning and heating 
equipment, packaged terminal air conditioners, and packaged terminal 
heat pumps.

Energy Efficiency Standards

431.271   Energy efficiency standards and effective dates.

Subpart J--Commercial Air Conditioners and Heat Pumps


Sec. 431.251  Purpose and scope.

    This subpart contains energy conservation requirements for certain 
commercial air conditioners and heat pumps, pursuant to Part C of Title 
III of the Energy Policy and Conservation Act, as amended, 42 U.S.C. 
6311-6316.


Sec. 431.252  Definitions for commercial air conditioners and heat 
pumps.

    For purposes of subparts I through P of this part, terms are 
defined as provided for elsewhere in this subpart, in section 340 of 
the Act, and as follows--
    Coefficient of Performance, or COP means the ratio of the produced 
cooling effect of an air conditioner or heat pump (or its produced 
heating effect, depending on the mode of operation) to its net work 
input, when both the cooling (or heating) effect and the net work input 
are expressed in identical units of measurement.
    Energy Efficiency Ratio, or EER, means the ratio of the produced 
cooling effect of an air conditioner or heat pump to its net work 
input, expressed in Btu/watt-hour.
    Heating seasonal performance factor or HSPF means the total heating 
output of a central air-conditioning heat pump during its normal annual 
usage period for heating, expressed in Btu's and divided by the total 
electric power input, expressed in watt-hours, during the same period.
    Large commercial package air-conditioning and heating equipment 
means air-cooled, water-cooled, evaporatively cooled, or water-source 
(not including ground water-source) electrically operated, unitary 
central air conditioners and central air-conditioning heat pumps for 
commercial application that are rated at or above 135,000 Btu per hour 
and below 240,000 Btu per hour (cooling capacity), and that are 
commercial HVAC & WH products.
    Packaged terminal air conditioner means a wall sleeve and a 
separate un-encased combination of heating and cooling assemblies 
specified by the builder and intended for mounting through the wall, 
and that is a commercial HVAC & WH product. 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.
    Packaged terminal heat pump means a packaged terminal air 
conditioner that utilizes reverse cycle refrigeration as its prime heat 
source, that has a supplementary heat source available, with the choice 
of hot water, steam, or electric resistant heat, and that is a 
commercial HVAC & WH product.
    Seasonal energy efficiency ratio or SEER means the total cooling 
output of a central air conditioner or central air-conditioning heat 
pump, expressed in Btu's, during its normal annual usage period for 
cooling and divided by the total electric power input, expressed in 
watt-hours, during the same period.
    Single package unit means any central air conditioner or central 
air-conditioning heat pump in which all the major assemblies are 
enclosed in one cabinet.
    Small commercial package air-conditioning and heating equipment 
means air-cooled, water-cooled, evaporatively cooled, or water-source 
(not including ground water-source) electrically operated, unitary 
central air conditioners and central air-conditioning heat pumps for 
commercial application which are rated below 135,000 Btu per hour 
(cooling capacity), and which are commercial HVAC & WH products.
    Split system means any central air conditioner or central air 
conditioning heat pump in which one or more of the major assemblies are 
separate from the others.

Test Procedures


Sec. 431.261  Materials incorporated by reference.

    (a) The Department incorporates by reference the following test 
procedures which are not otherwise set forth in this part 431. The 
Director of the Federal Register has approved the material listed in 
paragraph (b) of this section for incorporation by reference in 
accordance with 5 U.S.C. 552(a) and 1 CFR Part 51. Any subsequent 
amendment to this material by the standard-setting organization will 
not affect the DOE test procedures unless and until DOE amends its test 
procedures. The Department incorporates the material as it exists on 
the date of the approval and a notice of any change in the material 
will be published in the Federal Register.
    (b) List of test procedures incorporated by reference.
    (1) Air-Conditioning and Refrigeration Institute (ARI) Standard 
210/240-94 published in 1994, ``Unitary Air-Conditioning and Air-Source 
Heat Pump Equipment.''
    (2) ARI Standard 310/380-93 published in 1993, ``Standard for 
Package Terminal Air-Conditioners and Heat Pumps.''
    (3) ARI Standard 320-98 published in 1998, ``Water-Source Heat 
Pumps.''
    (4) ARI Standard 340/360-93 published in 1993, ``Commercial and 
Industrial Unitary Air-Conditioning and Air-Source Heat Pump 
Equipment.''
    (c) Availability of references.
    (1) Inspection of test procedures. You may inspect the test 
procedures incorporated by reference at:
    (i) Office of the Federal Register, 800 North Capitol Street, NW., 
Suite 700, Washington, DC.
    (ii) U.S. Department of Energy, Office of Energy Efficiency and 
Renewable Energy, Hearings and Dockets, ``Test Procedures and 
Efficiency Standards for Commercial Air Conditioners and Heat Pumps,'' 
Docket No. EE-RM/TP-99-460, 1000 Independence Avenue, SW., Washington, 
DC 20585.
    (2) Obtaining copies of Standards. You may obtain a copy of the ARI 
standards from the Air-Conditioning and Refrigeration Institute, 4301 
North Fairfax Drive, Suite 425, Arlington, VA 22203, http://www.ari.org/.


Sec. 431.262  Uniform test method for the measurement of energy 
efficiency of small and large commercial package air conditioning and 
heating equipment, packaged terminal air conditioners, and packaged 
terminal heat pumps.

    (a) Scope. This section contains test procedures you must follow 
if, pursuant to EPCA, you are measuring the energy efficiency of small 
and large commercial package air-conditioning and heating equipment, 
packaged terminal air conditioners and packaged terminal heat pumps.
    (b) Testing and Calculations. For each covered product, determine 
the energy efficiency by conducting the test procedure listed in the 
rightmost column of the following table for that product, category, 
cooling capacity, and energy efficiency descriptor:

[[Page 48837]]



----------------------------------------------------------------------------------------------------------------
                                                                       Energy efficiency   Use tests, conditions
            Product                   Category       Cooling capacity      descriptor        and procedures in
----------------------------------------------------------------------------------------------------------------
Small Commercial Packaged Air    Air Cooled, 3      65,000 Btu/h.....  SEER.............  ARI Standard 210/240-
 Conditioning and Heating         Phase, AC and HP.                    HSPF.............   94
 Equipment.                                                                               ARI Standard 210/240-
                                                                                           94
                                 Air Cooled AC and  65,000  EER..............  ARI Standard 210/240-
                                  HP.                Btu/h and         COP..............   94
                                                     135,000 Btu/h.                       ARI Standard 210/240-
                                                                                           94
                                 Water Cooled AC..  135,000 Btu/h....  EER..............  ARI Standard 210/240-
                                                                                           94
                                 Evaporatively      135,000 Btu/h....  EER..............  ARI Standard 210/240-
                                  Cooled AC.                                               94
                                 Water-Source HP..  135,000 Btu/h....  EER..............  ARI Standard 320-98
                                                                       COP..............  ARI Standard 320-98
Large Commercial Packaged Air    Air Cooled AC and  135,00  EER..............  ARI Standard 340/360-
 Conditioning and Heating         HP.                0 Btu/h and       COP..............   93
 Equipment.                                          240,000 Btu/h.                       ARI Standard 340/360-
                                                                                           93
                                 Water Cooled AC..  135,00  EER..............  ARI Standard 340/360-
                                                     0 Btu/h and                           93
                                                     240,000 Btu/h.
                                 Evaporatively      135,00  EER..............  ARI Standard 340/360-
                                  Cooled AC.         0 Btu/h and                           93
                                                     240,000 Btu/h.
Packaged Terminal Air            AC and HP........  All..............  EER..............  ARI Standard 310/380-
 Conditioners and Heat Pumps.                                          COP..............   93
                                                                                          ARI Standard 310/380-
                                                                                           93
----------------------------------------------------------------------------------------------------------------

Energy Efficiency Standards


Sec. 431.271  Energy efficiency standards and effective dates.

    Each commercial air conditioner or heat pump manufactured on or 
after January 1, 1994 (except for large commercial package air-
conditioning and heating equipment, for which the effective date is 
January 1, 1995) must meet the applicable minimum energy efficiency 
standard level(s) set forth in Tables 1 and 2 of this section.

                                   TABLE 1.--Minimum Cooling Efficiency Levels
----------------------------------------------------------------------------------------------------------------
            Product                   Category       Cooling capacity     Subcategory      Efficiency Level \1\
----------------------------------------------------------------------------------------------------------------
Small Commercial Packaged Air     Air Cooled, 3     65,000  Split System.....  SEER = 10.0
 Conditioning and Heating         Phase.             Btu/h.            Single Package...  SEER = 9.7
 Equipment.
                                 Air Cooled.......  65,000  All..............  EER = 8.9
                                                     Btu/h and 135,000
                                                     Btu/h.
                                 Water Cooled       65,000  All..............  EER = 9.3
                                  Evaporatively      Btu/h.            All..............  EER = 10.5
                                  Cooled, and       65,000 Btu/h and
                                  Water-Source.      135,0
                                                     00 Btu/h.
Large Commercial Packaged Air    Air Cooled.......   deg.135,000 Btu/  All..............  EER = 8.5
 Conditioning and Heating                            h and 240,000 Btu/h.
                                 Water-Cooled, and  135,000 Btu/h and  All..............  EER = 9.6
                                  Evaporatively      240,0
                                  Cooled.            00 Btu/h.
Packaged Terminal Air            All..............  7,000   All..............  EER = 8.88
 Conditioners and Heat Pumps.                        Btu/h.                               EER = 10.0-(0.16  x
                                                    7,000                       capacity [in
                                                     Btu/h and 15,000                      thousands of Btu/h at
                                                     Btu/h.                                95 deg. outdoor dry-
                                                    15,000                      bulb temperature])
                                                     Btu/h.                               EER = 7.6
----------------------------------------------------------------------------------------------------------------
\1\ All EER values must be rated at 95 deg.F outdoor dry-bulb temperature for air-cooled products and
  evaporatively-cooled products and at 85 deg.F entering water temperature for water-source and water-cooled
  products.


                                   TABLE 2.--MINIMUM HEATING EFFICIENCY LEVELS
----------------------------------------------------------------------------------------------------------------
            Product                   Category       Cooling capacity     Subcategory      Efficiency Level \2\
----------------------------------------------------------------------------------------------------------------
Small Commercial Packaged Air    Air Cooled, 3      65,000  Split System.....  HSPF = 6.8
 Conditioning and Heating         Phase.             Btu/h.            Single Package...  HSPF = 6.6
 Equipment.
                                 Water-Source.....  135,00  Split System and   COP = 3.8
                                                     0 Btu/h.           Single Package.
                                 Air Cooled.......  65,000 Btu/h and   All..............  COP = 3.0
                                                     135,0
                                                     00 Btu/h.

[[Page 48838]]

 
Large Commercial Packaged Air    Air Cooled.......  135,000 Btu/h and  Split System and   COP = 2.9
 Conditioning and Heating                            240,0   Single Package.
 Equipment.                                          00 Btu/h.
Packaged Terminal Heat Pumps...  All..............  All..............  All..............  COP = 1.3+(0.16  x
                                                                                           the applicable
                                                                                           minimum cooling EER
                                                                                           prescribed in Table
                                                                                           1--Minimum Cooling
                                                                                           Efficiency Levels)
----------------------------------------------------------------------------------------------------------------
\2\ All COP values must be rated at 47 deg.F outdoor dry-bulb temperature for air-cooled products and
  evaporatively-cooled products and at 70 deg.F entering water temperature for water-source products.

[FR Doc. 00-19723 Filed 8-8-00; 8:45 am]
BILLING CODE 6450-01-P